SELECTED FCM FINANCIAL DATA 

FROM REPORTS FILED BY 

October 31, 2002

1 of 5

B/D? DSRO A/O Adjusted Net Capital Risk Based Excess Customers' Customer 

Futures Commission Merchant Date Net Capital Requirement Requirement Net Capital Seg Required Amount 

(4% of Seg, SEC Capital 4d(2) Pt. 30 Required 

(a) (b) or $250,000) (c) (d) (e) (f)

1 ABN AMRO INCORPORATED Y CBOT 09/30/2002 1,228,884,844 115,329,359 86,009,085 1,113,555,485 1,337,202,601 77,735,042

2 ABN AMRO SAGE CORPORATION Y NFA 09/30/2002 38,879,517 3,421,369 3,421,370 35,458,147 111,857,959 0

3 ADM INVESTOR SERVICES INC N CBOT 09/30/2002 60,375,797 16,069,447 18,604,464 41,771,333 422,576,862 15,051,506

4 ADVEST INC Y NFA 09/30/2002 40,013,284 1,000,000 0 39,013,284 0 0

5 AG EDWARDS & SONS INC Y CBOT 09/30/2002 573,457,568 42,408,474 2,376,669 531,049,094 60,587,488 40,951

6 AGE COMMODITY CLEARING CORP N CBOT 09/30/2002 11,390,051 1,330,679 3,131,729 8,258,322 43,453,206 0

7 AIG CLEARING CORPORATION N NYME 09/30/2002 120,525,247 250,000 4,972,480 115,552,767 0 0

8 ALARON TRADING CORPORATION N CME 09/30/2002 2,942,378 1,750,247 1,030,386 1,192,131 50,006,966 35,964

9 ALCO COMMODITIES INC N NFA 09/30/2002 453,189 250,000 0 203,189 0 0

10 AMERICAN NATIONAL TRADING CORP N NFA 09/30/2002 1,190,353 405,207 360,674 785,146 14,332,527 0

11 BANC OF AMERICA FUTURES INCORPORATED Y CME 09/30/2002 65,083,044 5,112,184 18,694,685 46,388,359 127,632,882 171,730

12 BANC ONE CAPITAL MARKETS INC Y CBOT 09/30/2002 373,631,486 56,250,904 98,106,883 275,524,603 1,951,016,729 8,701,168

13 BARCLAYS CAPITAL INC Y CBOT 09/30/2002 335,038,233 55,521,170 89,498,657 245,539,576 1,374,831,749 54,290,887

14 BEAR STEARNS & CO INC Y CBOT 09/30/2002 1,394,927,993 47,602,993 0 1,347,325,000 0 0

15 BEAR STEARNS SECURITIES CORP Y CME 09/30/2002 2,155,137,135 653,278,961 87,122,824 1,501,858,174 1,393,222,262 145,546,350

16 BIELFELDT & COMPANY LLC N CBOT 09/30/2002 408,266 250,000 0 158,266 0 0

17 BNP PARIBAS BROKERAGE SERVICES INC Y CME 09/30/2002 20,039,367 2,045,148 9,500,872 10,538,495 51,128,698 0

18 BNP PARIBAS COMMODITY FUTURES INC N NYME 09/30/2002 50,942,360 8,842,901 10,375,915 40,566,445 250,589,932 8,317,691

19 BNP PARIBAS SECURITIES CORP Y CBOT 09/30/2002 288,189,392 250,000 0 287,939,392 0 0

20 BNY CLEARING SERVICES LLC Y CFTC 09/30/2002 88,367,634 14,939,779 0 73,427,855 0 0

21 BOSTON CABOT LLC Y NFA 09/30/2002 597,779 250,000 0 347,779 0 0

22 C CZARNIKOW SUGAR FUTURES INC N NFA 09/30/2002 1,543,642 250,000 131,508 1,293,642 1,359,676 0

23 CANTOR FITZGERALD & CO Y CBOT 09/30/2002 54,744,937 992,484 1,024 53,752,453 294,789 0

24 CAPITAL MARKET SERVICES LLC N NFA 09/30/2002 410,029 250,000 0 160,029 0 0

25 CARGILL INVESTOR SERVICES INC N CBOT 09/30/2002 88,104,989 44,343,348 54,193,942 33,911,047 1,089,377,120 97,397,233

26 CARR FUTURES INC Y CME 09/30/2002 187,334,159 89,994,091 119,012,176 68,321,983 2,239,342,778 1,273,689,999

27 CDC SECURITIES Y NFA 09/30/2002 77,583,129 250,000 0 77,333,129 0 0

28 CIBC WORLD MARKETS CORP Y NYME 09/30/2002 915,831,676 17,107,852 9,357,311 898,723,824 4,593,253 0

29 CLIFDEN FUTURES LLC N NFA 09/30/2002 434,739 250,000 0 184,739 622,074 0

30 COES FX CLEARING INC N NFA 09/30/2002 490,087 250,000 0 240,087 0 0

31 COMMERZ FUTURES LLC Y CME 09/30/2002 8,217,696 1,500,186 3,907,793 4,309,903 74,750,359 3,891,384

32 COUNTRY HEDGING INC N NFA 09/30/2002 3,991,871 1,316,272 2,782,299 1,209,572 43,155,039 59,032

33 CREDIT LYONNAIS ROUSE USA LIMITED N NYME 09/30/2002 22,868,255 3,221,483 15,440,231 7,428,024 132,658,172 149,787

34 CREDIT SUISSE FIRST BOSTON CORPORATION Y CBOT 09/30/2002 3,625,013,631 63,633,473 57,390,401 3,561,380,158 1,001,569,497 260,743,680

35 CROSSLAND LLC N CBOT 09/30/2002 3,778,917 294,875 124,304 3,484,042 7,526,071 0

36 CUNNINGHAM COMMODITIES INC N CBOT 09/30/2002 1,707,730 250,000 198,836 1,457,730 5,793,216 108,883

37 DAIWA SECURITIES AMERICA INC Y CME 09/30/2002 220,831,268 4,699,596 5,345,336 215,485,932 85,673,529 259,766

38 DEUTSCHE BANK FUTURES INC N CME 09/30/2002 161,349,795 40,031,396 122,359,120 38,990,675 1,061,810,396 11,506,382

39 DEUTSCHE BANK SECURITIES INC Y CBOT 09/30/2002 942,236,054 107,716,035 56,101,400 834,520,019 1,208,828,869 115,374,870

40 DIRECT TRADING GROUP LLC N NFA 09/30/2002 442,109 250,000 25,657 192,109 2,511,451 0

41 DONALDSON LUFKIN & JENRETTE SEC CORP Y CBOT 09/30/2002 1,186,375,000 91,335,040 0 1,095,039,960 0 0

42 DORMAN TRADING LLC N CME 09/30/2002 3,987,965 799,765 244,069 3,188,200 20,010,379 0

43 DUNAVANT COMMODITY CORP N NYCE 09/30/2002 17,906,530 1,012,962 25,730 16,893,568 26,163,988 0

44 EAGLE MARKET MAKERS INC N CBOT 09/30/2002 1,931,327 250,000 32,296 1,681,327 1,741,461 74,492

45 EM COMBS & SON N CBOT 09/30/2002 2,125,905 250,000 32,479 1,875,905 1,025,055 0

46 FAHNESTOCK & CO INC Y NFA 09/30/2002 154,368,893 8,170,792 0 146,198,101 821,400 0

47 FARR FINANCIAL INC N NFA 09/30/2002 893,404 465,941 203,226 427,463 11,982,300 30,860

48 FC STONE LLC N CME 09/30/2002 15,841,453 10,037,576 13,292,985 2,548,468 304,918,023 864,074

49 FCT GROUP LLC N CME 09/30/2002 3,555,768 250,000 492,405 3,063,363 7,593,081 0

50 FIMAT USA INC Y CME 09/30/2002 152,637,269 40,223,389 114,475,710 38,161,559 2,324,569,143 383,825,973
SELECTED FCM FINANCIAL DATA 

FROM REPORTS FILED BY 

October 31, 2002

2 of 5

B/D? DSRO A/O Adjusted Net Capital Risk Based Excess Customers' Customer 

Futures Commission Merchant Date Net Capital Requirement Requirement Net Capital Seg Required Amount 

(4% of Seg, SEC Capital 4d(2) Pt. 30 Required 

(a) (b) or $250,000) (c) (d) (e) (f)

51 FIRST CAPITOL GROUP LLC N NFA 09/30/2002 1,466,112 736,131 657,885 729,981 23,749,463 0

52 FIRST OPTIONS OF CHICAGO INC Y CME 09/27/2002 275,796,649 8,805,599 19,577,747 256,218,902 485,126,605 14,462,952

53 FOREX CAPITAL MARKETS LLC N NFA 09/30/2002 7,802,890 250,000 0 7,552,890 0 0

54 FORTIS CLEARING CHICAGO LLC N CBOT 09/30/2002 5,964,095 1,422,735 170,577 4,541,360 36,670,587 2,165,800

55 FRIEDBERG MERCANTILE GROUP INC Y NFA 09/30/2002 1,394,496 250,000 58,892 1,144,496 6,133,329 0

56 FRONTIER FUTURES INC N NFA 09/30/2002 973,831 376,340 390,718 583,113 13,834,848 0

57 FUTURES TECH LLC N NFA 09/30/2002 409,276 250,000 0 159,276 0 0

58 FX SOLUTIONS LLC N NFA 09/30/2002 378,971 250,000 0 128,971 0 0

59 GAIN CAPITAL N NFA 09/30/2002 1,808,826 250,000 0 1,558,826 0 0

60 GELBER GROUP LLC N CBOT 09/30/2002 10,630,818 723,728 256,724 9,907,090 19,334,658 104,989

61 GFS SECURITIES & FUTURES INC N NFA 09/30/2002 366,245 250,000 0 116,245 0 0

62 GILDER GAGNON HOWE AND CO LLC Y NFA 09/30/2002 23,203,981 250,000 0 22,953,981 0 0

63 GLOBAL FUTURES & FOREX LTD N NFA 09/30/2002 3,066,097 250,000 0 2,816,097 0 0

64 GNI INCORPORATED N CBOT 09/30/2002 12,394,297 6,290,399 5,644,365 6,103,898 144,398,946 14,194,437

65 GOLDENBERG HEHMEYER & CO Y CBOT 09/30/2002 10,425,943 1,565,874 1,669,291 8,756,652 53,697,349 3,536,845

66 GOLDMAN SACHS & CO Y CBOT 09/27/2002 3,254,988,574 604,757,408 411,203,199 2,650,231,166 5,456,379,138 3,030,159,977

67 GREENWICH CAPITAL MARKETS INC Y CBOT 09/30/2002 952,907,000 21,601,000 15,866,800 931,306,000 176,457,000 15,450,000

68 HAGERTY GRAIN CO INC N CBOT 09/30/2002 1,684,243 250,000 68,975 1,434,243 4,610,970 0

69 HORNBLOWER FISCHER & CO Y NFA 09/30/2002 1,933,150 508,899 359,955 1,424,251 12,726,189 0

70 HOTSPOT FX INC N NFA 09/30/2002 4,397,519 250,000 0 4,147,519 0 0

71 HSBC SECURITIES USA INC Y CME 09/30/2002 192,402,783 8,249,330 24,500,393 167,902,390 216,460,477 22,191,096

72 INTEGRATED BROKERAGE SERVICES INC N NFA 09/30/2002 613,790 250,000 0 363,790 627,075 0

73 INTERACTIVE BROKERS LLC Y NFA 09/30/2002 81,160,957 1,938,489 517,688 79,222,468 32,339,926 16,122,288

74 IOWA GRAIN CO N CBOT 09/30/2002 7,761,654 3,783,545 3,274,696 3,978,109 100,805,140 32,435

75 JP MORGAN FUTURES INC N NYME 09/30/2002 428,292,547 149,540,939 253,692,195 174,600,352 3,895,720,995 433,110,159

76 JULIUS BAER SECURITIES INC Y NFA 09/30/2002 7,824,276 873,914 0 6,950,362 0 0

77 KOTTKE ASSOCIATES LLC N CBOT 09/30/2002 9,553,754 384,590 166,576 9,169,164 14,804,974 3,597

78 LADENBURG THALMANN & CO INC Y NFA 09/30/2002 3,533,480 1,000,000 0 2,533,480 0 0

79 LAWRENCE-BONFITTO TRADING COMPANY N CBOT 09/30/2002 2,574,869 250,000 76,623 2,324,869 4,637,353 0

80 LBS LIMITED PARTNERSHIP N CBOT 09/30/2002 466,891 250,000 0 216,891 0 0

81 LEADER INVESTMENTS INC N NFA 09/30/2002 778,496 250,000 0 528,496 0 0

82 LEGG MASON WOOD WALKER INC Y NFA 09/30/2002 323,407,132 19,469,019 0 303,938,113 0 0

83 LEHMAN BROTHERS INC Y CBOT 09/30/2002 1,674,317,000 115,949,000 146,500,320 1,527,816,680 1,521,736,000 15,716,000

84 LINN GROUP ( THE ) N NFA 09/30/2002 511,007 250,000 0 261,007 0 0

85 LINSCO/PRIVATE LEDGER CORP Y NFA 09/30/2002 91,857,132 3,518,750 0 88,338,382 0 0

86 LOEB PARTNERS CORPORATION Y NFA 09/30/2002 21,886,339 250,000 0 21,636,339 0 0

87 MAN FINANCIAL INC Y CME 09/30/2002 182,267,162 96,197,447 88,829,607 86,069,715 2,200,914,598 370,404,792

88 MARQUETTE ELECTRONIC BROKERAGE LLC N NFA 09/30/2002 2,315,396 250,000 0 2,065,396 0 0

89 MAXCOR FINANCIAL INC Y NFA 09/30/2002 22,419,898 250,000 0 22,169,898 0 0

90 MBF CLEARING CORP N NYME 09/30/2002 6,162,893 2,080,811 694,414 4,082,082 52,164,581 133,913

91 MCVEAN TRADING AND INVESTMENTS LLC N NFA 09/30/2002 6,758,923 4,141,799 1,018,038 2,617,124 103,862,156 0

92 MERRILL LYNCH PIERCE FENNER & SMITH Y CBOT 09/27/2002 3,148,725,895 296,374,485 190,610,256 2,852,351,410 4,318,347,980 309,801,581

93 MERRILL LYNCH PROFESSIONAL CLEARING CORP Y NFA 09/27/2002 1,543,180,537 24,759,156 31,056,839 1,512,123,698 710,348,727 0

94 MID-CO COMMODITIES INC N NFA 09/30/2002 3,110,773 904,192 1,065,981 2,044,792 23,490,924 0

95 MIDLAND EURO INC N NFA 09/30/2002 290,243 250,000 0 40,243 0 0

96 MITSUI & CO INVESTMENT PRODUTS CORP N NFA 09/30/2002 2,626,197 250,000 2,592 2,376,197 1,469,895 0

97 MIZUHO SECURITIES USA INC Y CME 09/30/2002 175,718,085 16,907,012 18,032,687 157,685,398 368,568,451 38,323,544

98 MONEY GARDEN CORP N NFA 09/30/2002 3,312,043 250,000 0 3,062,043 0 0

99 MORGAN KEEGAN & COMPANY INC Y NFA 09/30/2002 143,484,531 9,969,108 0 133,515,423 0 0

100 MORGAN STANLEY & CO INCORPORATED Y CME 09/30/2002 5,135,000,057 632,076,123 181,874,673 4,502,923,934 2,981,467,810 937,733,551
SELECTED FCM FINANCIAL DATA 

FROM REPORTS FILED BY 

October 31, 2002

3 of 5

B/D? DSRO A/O Adjusted Net Capital Risk Based Excess Customers' Customer 

Futures Commission Merchant Date Net Capital Requirement Requirement Net Capital Seg Required Amount 

(4% of Seg, SEC Capital 4d(2) Pt. 30 Required 

(a) (b) or $250,000) (c) (d) (e) (f)

101 MORGAN STANLEY DW INC Y CBOT 09/30/2002 1,224,270,678 104,195,457 2,344,389 1,120,075,221 653,786,668 1,035,123,411

102 NATIONAL COMMODITIES CORPORATION INC N NFA 09/01/2002 1,946,216 250,000 166,541 1,696,216 15,763,153 0

103 NEUBERGER BERMAN LLC Y NFA 09/30/2002 250,719,159 16,265,175 0 234,453,984 16,760,664 0

104 NEXUS TRADING LLC N NFA 09/30/2002 258,989 250,000 0 8,989 0 0

105 NIKKO SECURITIES CO INTERNATIONAL INC Y NFA 09/30/2002 8,344,826 250,000 0 8,094,826 0 0

106 NOMURA SECURITIES INTERNATIONAL INC Y CBOT 09/30/2002 660,934,840 5,971,582 709,352 654,963,258 7,590,906 0

107 NOYES DAVID A Y NFA 09/30/2002 1,602,561 250,000 0 1,352,561 0 0

108 OCONNOR & COMPANY LLC Y CBOT 09/30/2002 32,214,226 2,279,006 2,085,092 29,935,220 59,121,076 0

109 PACKERS TRADING CO INC N NFA 09/30/2002 3,317,416 250,000 164,957 3,067,416 6,248,372 0

110 PATTERSON CAPITAL MARKETS LTD N CBOT 09/30/2002 515,965 250,000 0 265,965 0 0

111 PAX CLEARING CORPORATION Y CME 09/30/2002 53,723,213 1,388,148 1,528,923 52,194,290 36,591,152 0

112 PENSON FINANCIAL FUTURES INC N NFA 09/30/2002 460,409 250,000 8,936 210,409 262,403 0

113 PEREGRINE FINANCIAL GROUP INC N NFA 09/30/2002 11,341,841 3,571,971 1,772,886 7,769,870 93,299,803 1,330,875

114 PIONEER CAPITAL CORP Y NFA 09/30/2002 3,976,999 250,000 0 3,726,999 0 0

115 PIONEER FUTURES INC N NYME 09/30/2002 5,503,530 2,630,526 1,236,223 2,873,004 73,050,607 503,366

116 PREFERRED TRADE INC Y NFA 09/30/2002 10,047,561 613,136 0 9,434,425 0 0

117 PRUDENTIAL SECURITIES INCORPORATED Y CBOT 09/27/2002 565,890,000 71,166,200 47,410,200 494,723,800 955,387,000 71,298,000

118 RAND FINANCIAL SERVICES INC N CME 09/30/2002 12,690,100 5,838,352 9,792,540 2,897,560 137,888,300 24,472,500

119 RAYMOND JAMES & ASSOCIATES INC Y NFA 09/27/2002 316,334,174 20,158,778 14,430 296,175,396 0 0

120 RB&H FINANCIAL SERVICES LP N CME 09/30/2002 2,978,957 1,865,400 986,486 1,113,557 49,436,198 186,885

121 RBC DAIN RAUSCHER INC Y NFA 09/30/2002 245,472,439 26,971,278 0 218,501,161 0 0

122 RBC DOMINION SECURITIES CORPORATION Y CME 09/30/2002 130,022,516 1,000,000 1,225,500 128,797,016 0 0

123 REFCO LLC N CME 09/30/2002 162,241,438 103,028,364 100,363,442 59,213,074 2,936,399,184 64,958,990

124 RJ OBRIEN ASSOCIATES INC N CME 09/30/2002 31,817,609 14,635,293 16,122,156 15,695,453 390,570,174 7,653,068

125 ROBBINS FUTURES INC N NFA 09/30/2002 434,008 264,608 73,512 169,400 6,770,991 0

126 ROBERTSON STEPHENS INC Y NFA 09/30/2002 185,639,762 1,000,000 0 184,639,762 0 0

127 ROSENTHAL COLLINS GROUP LLC N CME 09/30/2002 50,097,582 10,407,253 7,330,313 39,690,329 278,400,109 810,160

128 ROSENTHAL GLOBAL SECURITIES LLC Y CBOT 09/30/2002 10,691,654 1,006,525 0 9,685,129 0 0

129 ROTHSCHILD INC N NYME 09/30/2002 30,612,106 250,000 0 30,362,106 0 0

130 SALOMON SMITH BARNEY INC Y CBOT 09/30/2002 3,296,452,027 379,147,704 172,523,143 2,917,304,323 4,720,342,549 110,242,194

131 SANFORD C BERNSTEIN & CO LLC Y NFA 09/30/2002 149,294,680 9,150,588 0 140,144,092 0 0

132 SENTINEL MANAGEMENT GROUP INC N NFA 09/30/2002 1,008,284 250,000 0 758,284 384,839,328 0

133 SG COWEN SECURITIES CORPORATION Y NFA 09/30/2002 807,915,362 1,500,000 0 806,415,362 0 0

134 SHATKIN ARBOR KARLOV & CO N CBOT 09/30/2002 6,383,449 363,606 95,135 6,019,843 9,635,272 142,318

135 SHAY GRAIN CLEARING COMPANY N KCBT 09/30/2002 792,447 250,000 25,454 542,447 2,900,780 0

136 SHEPARD INTERNATIONAL INC N NFA 09/30/2002 2,186,841 250,000 0 1,936,841 0 0

137 SHERWOOD FUTURES GROUP LLC N NFA 09/30/2002 1,055,755 250,000 0 805,755 14,375,579 0

138 SIEGEL TRADING CO INC THE N NFA 09/30/2002 460,561 250,000 0 210,561 1,369,174 0

139 SMW TRADING COMPANY INC N CME 09/30/2002 6,517,943 509,444 2,287,880 4,230,063 12,736,096 0

140 SPEAR LEEDS & KELLOG Y NYME 09/27/2002 1,259,646,098 31,818,675 3,512,876 1,227,827,423 201,249,320 108,198

141 STAFF USA INC N NFA 09/30/2002 339,378 250,000 0 89,378 0 0

142 STEPHENS INC Y NFA 09/27/2002 64,783,214 9,700,985 0 55,082,229 0 0

143 STERLING COMMODITIES CORP N NYME 09/30/2002 5,510,486 777,896 300,632 4,732,590 19,597,232 609,071

144 SWISS AMERICAN SECURITIES INC Y NFA 09/30/2002 74,204,751 4,922,895 0 69,281,856 0 0

145 TCA FUTURES LLC N NFA 09/30/2002 411,545 250,000 0 161,545 0 0

146 TENCO INC N CBOT 09/30/2002 26,657,604 1,876,504 2,061,469 24,596,135 57,894,653 0

147 TIMBER HILL LLC Y CME 09/30/2002 351,110,880 427,863 274,062 350,683,017 10,996,704 0

148 TOKYO GENERAL USA INC N NFA 09/30/2002 497,956 250,000 4,557 247,956 1,442,435 0

149 TOKYO-MITSUBISHI FUTURES USA INC N CME 09/30/2002 18,317,580 250,000 4,239,083 14,078,497 5,275,773 23,424

150 TRADELINK LLC Y CBOT 09/30/2002 23,354,287 250,000 735,779 22,618,508 0 0
SELECTED FCM FINANCIAL DATA 

FROM REPORTS FILED BY 

October 31, 2002

4 of 5

B/D? DSRO A/O Adjusted Net Capital Risk Based Excess Customers' Customer 

Futures Commission Merchant Date Net Capital Requirement Requirement Net Capital Seg Required Amount 

(4% of Seg, SEC Capital 4d(2) Pt. 30 Required 

(a) (b) or $250,000) (c) (d) (e) (f)

151 TRANSMARKET GROUP LLC Y CBOT 09/30/2002 7,176,783 1,431,590 0 5,745,193 0 0

152 TRILAND USA INC N NYME 09/30/2002 19,309,266 731,049 534,547 18,578,217 18,331,767 0

153 UBS PAINEWEBBER INC Y CBOT 09/30/2002 1,218,652,170 195,241,308 16,068,027 1,023,410,862 730,168,389 77,062,674

154 UBS WARBURG LLC Y CBOT 09/30/2002 1,768,781,233 134,205,885 170,632,145 1,598,149,088 2,805,408,997 549,738,125

155 UFJ FUTURES LLC N CME 09/30/2002 15,644,268 250,000 723,987 14,920,281 0 0

156 UNIVERSAL FINANCIAL HOLDING CORP N NFA 09/30/2002 677,227 250,000 108,263 427,227 3,653,569 0

157 US BANCORP PIPER JAFFRAY INC Y NFA 09/30/2002 271,459,685 9,837,323 0 261,622,362 0 0

158 US SECURITIES & FUTURES CORP Y NFA 09/30/2002 392,059 250,000 0 142,059 0 0

159 VELOCITY FUTURES LP N NFA 09/30/2002 412,079 250,000 0 162,079 0 0

160 VISION LIMITED PARTNERSHIP N NFA 09/30/2002 14,890,102 5,749,930 3,409,005 9,140,172 149,725,010 28,374

161 WACHOVIA SECURITIES INC Y CME 09/30/2002 512,679,976 1,427,624 0 511,252,352 0 0

162 WALL STREET DERIVATIVES INC N NFA 09/30/2002 389,113 250,000 0 139,113 0 0

163 WEISS PECK & GREER LLC Y NFA 09/27/2002 73,018,804 3,404,947 0 69,613,857 0 0

164 WHITE COMMERCIAL CORPORATION N NFA 09/30/2002 1,633,765 250,000 0 1,383,765 0 0

165 XPRESSTRADE LLC N NFA 09/30/2002 1,664,957 250,000 0 1,414,957 0 0

166 YORK BUSINESS ASSOCIATES LLC N NFA 09/30/2002 1,759,918 250,000 0 1,509,918 88,929 0

Totals 46,520,864,204 54,695,375,440 9,625,807,293

Name Changes from September 2002 Update

QTECH DERIVATIVES INC to COES FX CLEARING INC

Reconcilation from September Web Page Update

September Web Page Update 169

Additions

1. LEADER INVESTMENTS INC 1

Deletions 4

1. BAXTER FINACIAL SERVICES LTD

2. MACQUARIE FUTURES INC

3. SAVANT USA LIMITED 

4. BLAYLOCK AND PARTNERS LP

October Web Page Update 166

(a): B/D? : A 'Y' means the FCM is also (d): Excess net capital is adjusted net capital, (f): This represents the amount of funds an FCM 

registered with the Securities and Exchange less the greater of the net capital requirement or risk- is required to set aside for customers who trade 

Commission as a securities broker or dealer. based requirement. on commodity exchanges located outside of 

the United States. The amount to be set aside for 

(b): DSRO: Designated Self-Regulatory Organization. a customer's foreign commodity account may 

be less than the net liquidating equity in the 

customer's account. 

(c): Risk-based net capital requirement is the (e): This represents the total amount of funds that Note: Any errors in this table should be brought 

sum total of 8% of customer, and 4% of an FCM is required to segregate on behalf of to the attention of the CFTC's Division of Clearing and 

non-customer risk margin for domestic and customers who are trading on commodity and Intermediary Oversight via e-mail: 

foreign future accounts (excluding proprietary exchanges located in the United States. fzimmerle@cftc.gov or 

accounts). The risk based minimum requirement This is the sum of all accounts that contain sgreska@cftc.gov. 
SELECTED FCM FINANCIAL DATA 

FROM REPORTS FILED BY 

October 31, 2002

5 of 5

B/D? DSRO A/O Adjusted Net Capital Risk Based Excess Customers' Customer 

Futures Commission Merchant Date Net Capital Requirement Requirement Net Capital Seg Required Amount 

(4% of Seg, SEC Capital 4d(2) Pt. 30 Required 

(a) (b) or $250,000) (c) (d) (e) (f)

applies to all FCMs which are a member of the a net liquidating equity.

National Futures AssociationAssociation, 

was effective 10/31/00.