SELECTED FCM FINANCIAL DATA 

FROM REPORTS FILED BY 

March 31, 2004

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

Futures Commission Merchant Date Net Capital Requirement Requirement Net Capit

(4% of Seg, SEC Capital 

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

1 ABN AMRO INCORPORATED Y CBOT 02/27/2004 932,062,111 65,182,377 96,599,815 835,42 ABN AMRO SAGE CORPORATION Y NFA 02/29/2004 43,688,179 2,876,809 2,876,801 40,83 ADM INVESTOR SERVICES INC N CBOT 02/29/2004 73,135,001 27,032,921 26,050,605 46,14 ADVANTAGE FUTURES LLC N CME 02/29/2004 8,307,611 2,969,638 2,733,237 5,35 ADVEST INC Y NFA 02/29/2004 45,567,704 1,000,000 0 44,56 AG EDWARDS & SONS INC Y CBOT 02/29/2004 611,551,653 45,463,153 3,852,007 566,07 AIG CLEARING CORPORATION N NYME 02/29/2004 181,204,386 250,000 13,165,948 168,08 ALARON TRADING CORPORATION N CME 02/29/2004 4,958,681 2,446,081 1,354,686 2,59 ALCO COMMODITIES INC N NFA 02/29/2004 456,309 250,000 0 2

10 AMERICAN MUTUAL HOLDING CORPORATION N NFA 02/29/2004 392,235 250,000 0 111 AMERICAN NATIONAL TRADING CORP N NFA 02/29/2004 1,874,967 885,821 635,700 912 BANC OF AMERICA FUTURES INCORPORATED Y CME 02/29/2004 59,176,655 10,012,713 36,063,284 23,113 BANC ONE CAPITAL MARKETS INC Y CBOT 02/29/2004 551,308,943 15,508,184 25,619,255 525,614 BARCLAYS CAPITAL INC Y NYME 02/27/2004 352,130,241 87,534,465 144,462,129 207,615 BEAR STEARNS & CO INC Y CBOT 02/27/2004 2,344,348,429 66,695,504 0 2,277,616 BEAR STEARNS SECURITIES CORP Y CME 02/29/2004 3,623,328,914 1,023,584,926 133,813,687 2,599,717 BIELFELDT & COMPANY LLC N CBOT 02/29/2004 395,804 250,000 0 118 BLAYLOCK AND PARTNERS LP Y NFA 02/29/2004 7,686,544 330,264 0 7,319 BNP PARIBAS BROKERAGE SERVICES INC Y CME 02/29/2004 39,808,851 14,924,807 19,102,109 20,720 BNP PARIBAS COMMODITY FUTURES INC N NYME 02/29/2004 48,626,024 10,362,117 21,691,697 26,921 BNP PARIBAS SECURITIES CORP Y CBOT 02/29/2004 363,202,825 2,323,480 0 360,822 C CZARNIKOW SUGAR FUTURES INC N NFA 02/29/2004 1,569,233 250,000 117,883 1,323 CADENT FINANCIAL SERVICES LLC N CME 02/29/2004 3,827,969 540,687 304,130 3,224 CANTOR FITZGERALD & CO Y CBOT 02/27/2004 39,136,903 2,021,487 30,675 37,125 CAPITAL MARKET SERVICES LLC N NFA 02/29/2004 935,130 250,000 0 626 CARGILL INVESTOR SERVICES INC N CBOT 02/29/2004 88,058,262 47,081,663 64,764,671 23,227 CARR FUTURES INC Y CME 02/29/2004 286,335,139 168,808,351 222,932,527 63,428 CDC SECURITIES Y NFA 02/29/2004 79,102,479 250,000 0 78,829 CIBC WORLD MARKETS CORP Y CME 02/29/2004 844,816,379 43,054,601 15,437,980 801,730 CITIGROUP GLOBAL MARKETS INC. Y CBOT 02/29/2004 3,911,895,572 544,421,842 271,178,412 3,367,431 CLIFDEN FUTURES LLC N NFA 02/29/2004 545,794 285,977 178,120 232 CLIFF LARSON COMPANY THE N NFA 02/29/2004 430,183 250,000 85,485 133 CMC GROUP PLC N NFA 02/29/2004 6,043,851 250,000 0 5,734 COESfx CLEARING INC N NFA 02/29/2004 390,463 250,000 0 135 COMMERZ FUTURES LLC N CME 02/29/2004 14,849,732 4,178,283 6,100,906 8,736 COUNTRY HEDGING INC N NFA 02/29/2004 6,209,964 1,435,103 2,624,618 3,537 CREDIT LYONNAIS ROUSE USA LIMITED N NYME 02/29/2004 30,786,173 4,576,176 14,107,351 16,638 CREDIT SUISSE FIRST BOSTON LLC Y CBOT 02/29/2004 3,455,100,804 147,025,011 130,158,438 3,308,039 CRESSWELL CAPITAL LLC N NFA 02/29/2004 3,091,311 1,046,228 630,198 2,040 CROSSLAND LLC N CBOT 02/27/2004 3,380,379 321,310 98,049 3,041 CUNNINGHAM COMMODITIES INC N CBOT 02/27/2004 1,833,556 623,059 300,547 1,242 DAIWA SECURITIES AMERICA INC Y CME 02/29/2004 202,660,771 1,984,241 973,425 200,643 DAVID A NOYES & CO Y NFA 02/29/2004 2,051,902 250,000 0 1,844 DEUTSCHE BANK SECURITIES INC Y CBOT 02/27/2004 2,075,736,732 97,313,384 185,061,029 1,890,645 DORMAN TRADING LLC N CME 02/29/2004 5,080,462 767,654 476,467 4,346 DUNAVANT COMMODITY CORP N NYCE 12/31/2003 22,882,575 1,263,945 1,984,732 20,847 EAGLE MARKET MAKERS INC N CBOT 02/29/2004 2,111,907 250,000 96,380 1,848 ED &F MAN COMMODITY ADVISORS INC N NFA 02/29/2004 419,696 250,000 0 1
SELECTED FCM FINANCIAL DATA 

FROM REPORTS FILED BY 

March 31, 2004

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

Futures Commission Merchant Date Net Capital Requirement Requirement Net Capit

(4% of Seg, SEC Capital 

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

49 EM COMBS & SON N CBOT 02/29/2004 2,288,067 250,000 0 2,050 FARR FINANCIAL INC N NFA 02/29/2004 1,549,635 734,143 324,365 851 FC STONE LLC N CME 02/29/2004 17,844,891 10,541,132 13,932,063 3,952 FCT GROUP LLC N CME 02/29/2004 8,419,718 250,000 353,546 8,053 FIMAT USA INC Y CME 02/29/2004 253,345,664 139,146,933 161,270,283 92,054 FIRST CAPITOL GROUP LLC N NFA 02/29/2004 2,540,450 1,450,444 1,067,428 1,055 FIRST OPTIONS OF CHICAGO INC Y CME 02/27/2004 299,346,924 11,092,675 21,186,203 278,156 FOREX CAPITAL MARKETS LLC N NFA 02/29/2004 29,044,942 250,000 0 28,757 FORTIS CLEARING CHICAGO LLC N CBOT 02/29/2004 18,172,244 3,740,421 2,983,162 14,458 FRIEDBERG MERCANTILE GROUP INC N NFA 02/29/2004 1,641,162 250,000 100,820 1,359 FRONTIER FUTURES INC N NFA 02/29/2004 1,006,560 675,767 435,207 360 FUTURES TECH LLC N NFA 02/29/2004 418,256 250,000 0 161 FX SOLUTIONS LLC N NFA 02/29/2004 954,919 250,000 0 762 GAIN CAPITAL INC. N NFA 02/27/2004 8,059,660 250,000 0 7,863 GELBER GROUP LLC N CBOT 02/29/2004 17,892,120 717,861 359,613 17,164 GFS SECURITIES & FUTURES INC N NFA 02/29/2004 370,553 250,000 0 165 GILDER GAGNON HOWE AND CO LLC Y NFA 02/29/2004 25,046,913 250,000 0 24,766 GLOBAL FUTURES & FOREX LTD N NFA 02/29/2004 8,074,927 250,000 0 7,867 GLOBAL FUTURES LLC N NFA 02/29/2004 375,966 250,000 0 168 GOLDENBERG HEHMEYER & CO Y CBOT 02/29/2004 12,122,072 2,036,539 1,785,485 10,069 GOLDMAN SACHS & CO Y CBOT 02/27/2004 4,641,524,516 1,013,256,995 530,165,939 3,628,270 GREENWICH CAPITAL MARKETS INC Y CBOT 02/29/2004 794,450,000 26,906,000 20,175,200 767,571 HAGERTY GRAIN CO INC N CBOT 02/29/2004 1,651,211 274,111 95,602 1,372 HORNBLOWER FISCHER & CO Y NFA 02/29/2004 694,891 250,000 75,846 473 HOTSPOT FX INC N NFA 02/29/2004 2,447,919 250,000 0 2,174 HSBC SECURITIES USA INC Y CME 02/29/2004 215,665,296 19,232,945 41,674,534 173,975 IFSCL USA INC N NFA 02/29/2004 377,707 250,000 0 176 IFX MARKETS INC N NFA 02/29/2004 475,951 250,000 0 277 INTEGRATED BROKERAGE SERVICES INC N NFA 02/29/2004 1,150,274 250,000 93,461 978 INTERACTIVE BROKERS LLC Y NFA 02/29/2004 142,418,798 6,053,851 4,253,068 136,379 INVESTEC (US) INCORPORATED Y NFA 02/27/2004 19,299,242 250,000 0 19,080 IOWA GRAIN CO N CBOT 02/29/2004 9,089,573 5,629,593 5,138,141 3,481 ITAU SECURITIES INC Y NFA 02/29/2004 2,267,791 250,000 0 2,082 JP MORGAN FUTURES INC N NYME 02/29/2004 644,259,565 230,543,191 338,463,761 305,783 JULIUS BAER SECURITIES INC Y NFA 02/29/2004 13,794,433 1,772,962 0 12,084 KJW LLC N NFA 02/29/2004 587,258 250,000 0 385 KOTTKE ASSOCIATES LLC N CBOT 02/29/2004 10,269,816 336,223 184,693 9,986 LADENBURG THALMANN & CO INC Y NFA 02/29/2004 7,016,783 250,000 0 6,787 LAWRENCE-BONFITTO TRADING COMPANY N CBOT 02/29/2004 2,346,143 250,000 71,338 2,088 LBS LIMITED PARTNERSHIP N CBOT 02/29/2004 487,718 250,000 0 289 LEADER INVESTMENTS INC Y NFA 02/29/2004 399,954 250,000 0 190 LEGG MASON WOOD WALKER INC Y NYME 02/29/2004 396,596,457 23,691,460 0 372,991 LEHMAN BROTHERS INC Y CBOT 02/29/2004 1,989,317,000 177,557,080 98,280,200 1,811,792 LINN GROUP ( THE ) N NFA 02/29/2004 368,116 250,000 0 193 LINSCO/PRIVATE LEDGER CORP Y NFA 02/29/2004 93,132,144 4,136,969 0 88,994 LOEB PARTNERS CORPORATION Y NFA 02/29/2004 23,569,221 250,000 0 23,395 MAN FINANCIAL INC N CME 02/29/2004 229,229,422 136,990,119 167,692,389 61,596 MARQUETTE ELECTRONIC BROKERAGE LLC N NFA 02/27/2004 1,002,025 250,000 0 797 MAXCOR FINANCIAL INC Y NFA 02/29/2004 45,627,954 250,000 0 45,3
SELECTED FCM FINANCIAL DATA 

FROM REPORTS FILED BY 

March 31, 2004

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

Futures Commission Merchant Date Net Capital Requirement Requirement Net Capit

(4% of Seg, SEC Capital 

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

98 MBF CLEARING CORP N NYME 02/29/2004 7,292,460 2,642,389 1,055,689 4,699 MCVEAN TRADING AND INVESTMENTS LLC N NFA 02/29/2004 17,717,553 10,015,128 1,651,990 7,7

100 MERRILL LYNCH PIERCE FENNER & SMITH Y CBOT 02/27/2004 2,312,123,085 292,646,334 292,646,334 2,019,4101 MERRILL LYNCH PROFESSIONAL CLEARING CORP Y NFA 02/27/2004 728,638,378 19,860,832 41,098,503 687,5102 MID-CO COMMODITIES INC N NFA 02/29/2004 3,839,973 572,940 1,287,417 2,5103 MITSUI & CO INVESTMENT PRODUTS CORP N NFA 02/29/2004 598,763 250,000 0 3104 MIZUHO SECURITIES USA INC Y CME 02/29/2004 163,650,226 15,934,189 20,939,677 142,7105 MONEY GARDEN CORPORATION, THE N NFA 02/29/2004 3,780,166 250,000 0 3,5106 MORGAN KEEGAN & COMPANY INC Y NFA 02/29/2004 246,199,223 11,675,932 0 234,5107 MORGAN STANLEY & CO INCORPORATED Y CME 02/27/2004 3,544,573,410 814,054,079 228,192,471 2,730,5108 MORGAN STANLEY DW INC Y CBOT 02/29/2004 1,196,502,004 111,591,717 3,559,450 1,084,9109 NATIONAL COMMODITIES CORPORATION INC N NFA 02/27/2004 1,232,432 250,000 96,337 9110 NEUBERGER BERMAN LLC Y NFA 02/29/2004 297,645,521 19,192,420 441,990 278,4111 NIKKO SECURITIES CO INTERNATIONAL INC Y NFA 02/29/2004 24,406,687 250,000 0 24,1112 NOMURA SECURITIES INTERNATIONAL INC Y CBOT 02/29/2004 421,134,080 11,695,615 405,260 409,4113 OANDA CORPORATION N NFA 02/29/2004 4,321,297 250,000 0 4,0114 OCONNOR & COMPANY LLC Y CBOT 02/29/2004 34,133,744 2,500,000 2,052,908 31,6115 OPEN E CRY LLC N NFA 02/29/2004 477,412 250,000 105,224 2116 OPPENHEIMER & CO INC Y NFA 02/29/2004 176,676,335 21,882,931 0 154,7117 PATTERSON CAPITAL MARKETS LTD N CBOT 02/29/2004 625,084 250,000 0 3118 PAX CLEARING CORPORATION Y CME 02/29/2004 56,333,710 1,506,854 3,522,586 52,8119 PENSON FINANCIAL FUTURES INC N NFA 02/29/2004 422,547 250,000 82,201 1120 PEREGRINE FINANCIAL GROUP INC N NFA 02/29/2004 17,063,834 3,349,870 367,751 13,7121 PERSHING LLC Y CBOT 02/29/2004 1,049,511,000 174,451,920 0 875,0122 PIONEER FUTURES INC N NYME 02/29/2004 8,025,451 4,507,461 2,310,402 3,5123 PIPER JAFFRAY & CO Y NFA 02/29/2004 221,423,747 10,740,145 0 210,6124 PREFERRED TRADE INC Y NFA 02/29/2004 8,084,624 736,774 0 7,3125 PRUDENTIAL EQUITY GROUP LLC Y NFA 02/29/2004 383,465,000 250,000 0 383,2126 PRUDENTIAL FINANCIAL DERIVATIVES LLC N CBOT 02/29/2004 87,430,000 54,528,040 60,769,760 26,6127 QIX FUTURES INC N NFA 02/29/2004 465,809 250,000 0 2128 QUALIFIED LEVERAGE PROVIDERS INC. N NFA 02/29/2004 3,618,043 250,000 0 3,3129 RAND FINANCIAL SERVICES INC N CME 02/29/2004 14,248,000 7,310,736 9,852,053 4,3130 RAYMOND JAMES & ASSOCIATES INC Y NFA 02/27/2004 356,731,997 23,083,808 19,373 333,6131 RBC DAIN RAUSCHER INC Y NFA 02/29/2004 338,099,711 30,949,804 0 307,1132 RBC DOMINION SECURITIES CORPORATION Y CME 02/29/2004 207,285,376 1,500,000 26,458,380 180,8133 REDSKY SECURITIES LLC Y NFA 02/29/2004 505,845 250,000 0 2134 REFCO LLC N CME 02/29/2004 223,636,835 128,081,563 131,209,406 92,4135 RJ OBRIEN ASSOCIATES INC N CME 02/27/2004 53,939,687 31,266,799 29,932,784 22,6136 ROBBINS FUTURES INC N NFA 02/29/2004 436,432 250,000 82,794 1137 ROBECO USA LLC Y NFA 01/30/2004 59,358,154 1,921,065 0 57,4138 ROSENTHAL COLLINS GROUP LLC N CME 02/29/2004 34,364,642 14,919,488 12,725,151 19,4139 ROSENTHAL GLOBAL SECURITIES LLC Y CBOT 02/29/2004 6,582,633 691,762 0 5,8140 SANFORD C BERNSTEIN & CO LLC Y NFA 02/29/2004 158,884,458 15,804,627 0 143,0141 SENTINEL MANAGEMENT GROUP INC N NFA 02/29/2004 1,392,833 250,000 0 1,1142 SG COWEN SECURITIES CORPORATION Y NFA 02/29/2004 801,647,923 1,630,668 0 800,0143 SHATKIN ARBOR KARLOV & CO N CBOT 02/29/2004 7,975,785 432,846 136,218 7,5144 SHAY GRAIN CLEARING COMPANY N KCBT 12/31/2003 755,356 250,000 15,016 5

145 SHEPARD INTERNATIONAL INC N NFA 02/29/2004 1,410,710 250,000 0 1,1146 SHERWOOD FUTURES GROUP LLC N NFA 02/29/2004 1,192,808 250,000 0 9
SELECTED FCM FINANCIAL DATA 

FROM REPORTS FILED BY 

March 31, 2004

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

Futures Commission Merchant Date Net Capital Requirement Requirement Net Capit

(4% of Seg, SEC Capital 

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

147 SMW TRADING COMPANY INC N CME 02/27/2004 6,760,943 497,568 210,503 6,2148 SNC INVESTMENTS INC N NFA 02/29/2004 355,762 250,000 0 1149 SOLID GOLD FINANCIAL SERVICES INC N NFA 02/29/2004 260,402 250,000 0 150 SPEAR LEEDS & KELLOG Y NFA 02/27/2004 1,072,582,509 29,858,157 6,487,130 1,042,7151 STEPHENS INC Y NFA 02/27/2004 72,986,007 8,686,099 0 64,2152 STERLING COMMODITIES CORP N NYME 02/29/2004 10,649,788 911,594 390,650 9,7153 SWISS AMERICAN SECURITIES INC Y NFA 02/29/2004 67,843,255 3,990,904 0 63,8154 TCA FUTURES LLC N NFA 02/29/2004 428,006 250,000 0 1155 TENCO INC N CBOT 02/29/2004 26,590,279 2,394,285 3,849,760 22,7156 TIMBER HILL LLC Y CME 02/29/2004 394,034,280 2,034,055 4,253,348 389,7157 TOKYO-MITSUBISHI FUTURES USA INC N CME 02/29/2004 15,807,630 250,000 1,954,115 13,8158 TRADELINK LLC Y CBOT 02/29/2004 29,448,183 250,000 399,216 29,0159 TRADESTATION SECURITIES INC Y NFA 02/29/2004 11,322,983 412,063 0 10,9160 TRADITION SECURITIES AND FUTURES INC N NFA 02/29/2004 386,280 250,000 0 1161 TRANSMARKET GROUP LLC Y CBOT 02/29/2004 12,062,130 250,000 0 11,8162 TRILAND USA INC N NYME 02/29/2004 20,152,306 2,191,477 2,681,117 17,4163 UBS FINANCIAL SERVICES INC. Y CBOT 02/29/2004 1,423,477,746 233,327,965 46,860,335 1,190,1164 UBS SECURITIES LLC Y CBOT 02/29/2004 3,003,233,193 239,471,578 241,381,794 2,761,8165 UFJ FUTURES LLC N CME 02/27/2004 12,833,363 250,000 1,634,109 11,1166 UNIVERSAL FINANCIAL HOLDING CORP N NFA 02/29/2004 656,032 250,000 175,166 4167 UTS WORLD INC N CFTC 02/29/2004 250,205 250,000 0 168 VELOCITY FUTURES LP N NFA 02/29/2004 476,575 250,000 0 2169 VIEWTRADE SECURITIES INC Y NFA 02/29/2004 734,589 561,000 0 1170 VISION LIMITED PARTNERSHIP N NFA 02/29/2004 12,132,704 6,175,508 4,620,167 5,9171 WACHOVIA SECURITIES FINANCIAL NETWORK LL Y NFA 02/29/2004 19,934,390 1,005,691 0 18,9172 WACHOVIA SECURITIES LLC Y NFA 02/29/2004 824,071,000 64,888,560 0 759,1173 WALL STREET DERIVATIVES INC N NFA 02/29/2004 416,283 250,000 0 1174 WESTMINSTER S&D LTD N NFA 02/29/2004 1,915,448 250,000 0 1,6175 WHITE COMMERCIAL CORPORATION N NFA 02/29/2004 1,863,979 250,000 0 1,6176 XPRESSTRADE LLC N NFA 02/29/2004 2,997,270 250,000 0 2,7177 YORK BUSINESS ASSOCIATES LLC N CBOT 02/28/2004 888,250 250,000 0 6

Total 50,717,940,762 43,401,4

January Web Page Update 177Additions 1Global Futures LLCDeletionsAGE Commodity Clearing Corporation 1Name ChangeFrom US Bancorp Piper Jaffray Inc to Piper Jaffray & CoF ebruary Web Page Update 177(a): B/D? : A 'Y' means the FCM is also registered with the Securities and Exchange 
SELECTED FCM FINANCIAL DATA 

FROM REPORTS FILED BY 

March 31, 2004

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

Futures Commission Merchant Date Net Capital Requirement Requirement Net Capit

(4% of Seg, SEC Capital 

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

Commission as a securities broker or dealer. (b): DSRO: Designated Self-Regulatory Organization. (c): Risk-based net capital requirement is the sum total of 8% of customer, and 4% of non-customer risk margin for domestic and foreign future accounts (excluding proprietary accounts). The risk based minimum requirement applies to all FCMs which are a member of the National Futures Association was effective 10/31/00.(d): Excess net capital is adjusted net capital, less the greater of the net capital requirement or riskbased requirement. (e): This represents the total amount of funds that an FCM is required to segregate on behalf of customers who are trading on commodity exchanges located in the United States. This is the sum of all accounts that contain a net liquidating equity.(f): This represents the amount of funds an FCM is required to set aside for customers who trade on commodity exchanges located outside of the United States. The amount to be set aside for a customer's foreign commodity account may be less than the net liquidating equity in the customer's account. Note: Any errors in this table should be brought to the attention of the CFTC's Division of Clearing and and Intermediary Oversight via e-mail: fzimmerle@cftc.gov or sgreska@cftc.gov.