SELECTED FCM FINANCIAL DATA 

FROM REPORTS FILED BY 

November 30, 2003

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 10/31/2003 1,282,598,426 162,022,518 106,270,329 1,120,575,909 1,742,304,549 113,235,294

2 ABN AMRO SAGE CORPORATION Y NFA 10/31/2003 36,345,669 1,602,043 1,592,634 34,743,626 58,704,488 0

3 ADM INVESTOR SERVICES INC N CBOT 10/31/2003 72,315,768 22,321,314 20,009,101 49,994,454 588,768,381 12,608,716

4 ADVANTAGE FUTURES LLC N CME 10/31/2003 5,705,303 2,493,214 1,196,464 3,212,089 58,123,010 10,382,934

5 ADVEST INC Y NFA 10/31/2003 55,541,725 1,000,000 0 54,541,725 0 0

6 AG EDWARDS & SONS INC Y CBOT 10/31/2003 606,371,617 44,537,413 4,702,386 561,834,204 117,486,520 5,004

7 AGE COMMODITY CLEARING CORP N CBOT 10/31/2003 13,717,873 3,439,969 4,619,512 9,098,361 100,522,538 0

8 AIG CLEARING CORPORATION N NYME 10/31/2003 181,031,718 250,000 9,890,028 171,141,690 0 0

9 ALARON TRADING CORPORATION N CME 10/31/2003 5,050,432 2,551,923 1,554,809 2,498,509 72,281,839 126,920

10 ALCO COMMODITIES INC N NFA 10/31/2003 470,272 250,000 0 220,272 0 0

11 AMERICAN NATIONAL TRADING CORP N NFA 10/31/2003 1,274,797 584,263 375,780 690,534 17,190,650 0

12 BANC OF AMERICA FUTURES Y CME 10/31/2003 62,753,586 8,202,478 36,882,504 25,871,082 205,061,943 0

13 BANC ONE CAPITAL MARKETS INC Y CBOT 10/31/2003 437,992,921 11,065,830 24,740,614 413,252,307 488,584,665 61,884,381

14 BARCLAYS CAPITAL INC Y CBOT 10/31/2003 412,187,599 76,775,404 124,660,321 287,527,278 1,725,037,335 276,356,501

15 BEAR STEARNS & CO INC Y CBOT 10/31/2003 1,982,581,886 46,110,465 0 1,936,471,421 0 0

16 BEAR STEARNS SECURITIES CORP Y CME 10/31/2003 3,208,495,526 916,619,572 109,350,046 2,291,875,954 1,788,388,969 312,623,596

17 BIELFELDT & COMPANY LLC N CBOT 10/31/2003 387,781 250,000 0 137,781 0 0

18 BLAYLOCK AND PARTNERS LP Y NFA 10/31/2003 18,131,491 305,483 0 17,826,008 0 0

19 BNP PARIBAS BROKERAGE SERVICES INC Y CME 10/31/2003 38,538,358 20,755,818 16,234,028 17,782,540 518,895,458 0

20 BNP PARIBAS COMMODITY FUTURES INC N NYME 10/31/2003 51,476,691 4,115,090 13,633,651 37,843,040 213,180,193 20,475,698

21 BNP PARIBAS SECURITIES CORP Y CBOT 10/31/2003 242,580,692 385,157 0 242,195,535 0 0

22 BNY CLEARING SERVICES LLC Y NFA 10/31/2003 93,627,799 6,382,588 0 87,245,211 0 0

23 C CZARNIKOW SUGAR FUTURES INC N NFA 10/31/2003 1,607,740 250,000 154,607 1,357,740 1,847,542 0

24 CADENT FINANCIAL SERVICES LLC N CME 10/31/2003 2,533,005 250,000 5,006 2,283,005 28,493 0

25 CANTOR FITZGERALD & CO Y CBOT 10/31/2003 66,867,993 684,210 150,029 66,183,783 960,022 0

26 CAPITAL MARKET SERVICES LLC N NFA 10/31/2003 1,609,020 250,000 0 1,359,020 0 0

27 CARGILL INVESTOR SERVICES INC N CBOT 10/31/2003 88,748,969 49,629,318 67,274,224 21,474,745 1,259,389,907 101,423,932

28 CARR FUTURES INC Y CME 10/31/2003 245,131,772 125,380,459 178,135,718 66,996,054 3,042,685,138 1,598,025,851

29 CDC SECURITIES Y NFA 10/31/2003 78,768,816 250,000 0 78,518,816 0 0

30 CIBC WORLD MARKETS CORP Y CME 10/31/2003 957,864,111 35,973,290 11,638,765 921,890,821 0 0

31 CITIGROUP GLOBAL MARKETS INC. Y CBOT 10/31/2003 4,442,366,755 513,063,359 233,215,233 3,929,303,396 5,876,972,928 96,384,225

32 CLIFDEN FUTURES LLC N NFA 10/31/2003 548,565 250,000 4,570 298,565 2,086,895 0

33 CLIFF LARSON COMPANY THE N NFA 10/31/2003 386,549 250,000 47,836 136,549 2,046,091 0

34 CMC GROUP PLC N NFA 10/31/2003 6,412,981 250,000 0 6,162,981 0 0

35 COESfx CLEARING INC N NFA 10/31/2003 422,968 250,000 0 172,968 0 0

36 COMMERZ FUTURES LLC N CME 10/31/2003 5,564,988 3,162,533 5,675,836 -110,848 93,541,347 4,518,292

37 COUNTRY HEDGING INC N NFA 10/31/2003 5,771,634 1,330,525 2,373,233 3,398,401 37,095,495 22,851

38 CREDIT LYONNAIS ROUSE USA LIMITED N NYME 10/31/2003 27,917,364 4,444,580 14,973,375 12,943,989 119,989,939 332,689

39 CREDIT SUISSE FIRST BOSTON LLC Y CBOT 10/31/2003 3,156,250,565 136,715,908 111,470,420 3,019,534,657 1,548,749,561 626,257,319

40 CRESSWELL CAPITAL LLC N NFA 10/31/2003 749,114 250,000 279,464 469,650 6,618,123 17,259

41 CROSSLAND LLC N CBOT 10/31/2003 3,013,840 329,793 114,803 2,684,047 8,313,000 0

42 CUNNINGHAM COMMODITIES INC N CBOT 10/31/2003 1,894,189 375,816 210,343 1,518,373 9,330,617 99,685

43 DAIWA SECURITIES AMERICA INC Y CME 10/31/2003 197,795,638 3,158,559 3,110,687 194,637,079 45,851,482 140,360

44 DAVID A NOYES & CO Y NFA 10/31/2003 2,014,029 250,000 0 1,764,029 0 0

45 DEUTSCHE BANK SECURITIES INC Y CBOT 10/31/2003 2,628,339,354 96,574,237 180,579,178 2,447,760,176 1,490,511,782 499,561,737

46 DORMAN TRADING LLC N CME 10/31/2003 4,697,037 711,025 315,008 3,986,012 17,778,887 0

47 DUNAVANT COMMODITY CORP N NYCE 09/30/2003 20,321,229 951,272 785,938 19,369,957 34,983,344 0

48 EAGLE MARKET MAKERS INC N CBOT 10/31/2003 2,020,845 250,000 66,990 1,770,845 3,973,728 68,363

49 ED &F MAN COMMODITY ADVISORS INC N NFA 10/31/2003 390,559 250,000 0 140,559 0 0

50 EM COMBS & SON N CBOT 10/31/2003 2,393,929 250,000 56,670 2,143,929 6,027,382 0

51 FARR FINANCIAL INC N NFA 10/31/2003 1,158,307 738,254 351,217 420,053 19,261,509 111,754
SELECTED FCM FINANCIAL DATA 

FROM REPORTS FILED BY 

November 30, 2003

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)

52 FC STONE LLC N CME 10/31/2003 15,052,552 9,855,905 12,055,543 2,997,009 313,346,444 664,345

53 FCT GROUP LLC N CME 10/31/2003 7,560,043 250,000 631,564 6,928,479 8,051,446 40,000

54 FIMAT USA INC Y CME 10/31/2003 209,446,465 116,117,073 138,392,618 71,053,847 3,108,788,046 578,150,303

55 FIRST CAPITOL GROUP LLC N NFA 10/31/2003 1,897,591 1,249,168 710,851 648,423 37,380,027 34,094

56 FIRST OPTIONS OF CHICAGO INC Y CME 10/31/2003 255,709,345 10,008,144 20,303,439 235,405,906 466,254,944 5,648,067

57 FOREX CAPITAL MARKETS LLC N NFA 10/31/2003 16,462,311 250,000 0 16,212,311 0 0

58 FORTIS CLEARING CHICAGO LLC N CBOT 10/31/2003 18,135,667 2,263,278 1,500,402 15,872,389 47,768,937 10,093,449

59 FRIEDBERG MERCANTILE GROUP INC N NFA 10/31/2003 1,737,127 250,000 135,454 1,487,127 4,398,823 0

60 FRONTIER FUTURES INC N NFA 10/31/2003 948,057 535,750 445,470 412,307 17,192,168 0

61 FUTURES TECH LLC N NFA 10/31/2003 391,673 250,000 0 141,673 0 0

62 FX SOLUTIONS LLC N NFA 10/31/2003 1,250,022 250,000 0 1,000,022 0 0

63 GAIN CAPITAL INC. N NFA 10/31/2003 4,106,705 250,000 0 3,856,705 0 0

64 GELBER GROUP LLC N CBOT 10/31/2003 17,349,641 620,636 312,620 16,729,005 16,623,976 400,359

65 GFS SECURITIES & FUTURES INC N NFA 10/31/2003 334,770 250,000 0 84,770 0 0

66 GILDER GAGNON HOWE AND CO LLC Y NFA 10/31/2003 33,225,289 250,000 0 32,975,289 0 0

67 GLOBAL FUTURES & FOREX LTD N NFA 10/31/2003 8,486,908 250,000 0 8,236,908 0 0

68 GOLDENBERG HEHMEYER & CO Y CBOT 10/31/2003 16,024,107 2,122,569 1,288,542 13,901,538 64,804,114 4,196,617

69 GOLDMAN SACHS & CO Y CBOT 10/31/2003 4,317,661,733 830,229,750 454,163,373 3,487,431,983 8,023,462,808 3,535,814,529

70 GREENWICH CAPITAL MARKETS INC Y CBOT 10/31/2003 888,458,000 30,401,000 23,075,400 858,057,000 278,622,000 8,374,000

71 HAGERTY GRAIN CO INC N CBOT 10/31/2003 1,620,420 250,000 200,453 1,370,420 6,116,082 0

72 HORNBLOWER FISCHER & CO Y NFA 10/31/2003 1,118,460 250,000 99,281 868,460 3,874,297 0

73 HOTSPOT FX INC N NFA 10/31/2003 2,842,874 250,000 0 2,592,874 0 0

74 HSBC SECURITIES USA INC Y CME 10/31/2003 302,153,564 15,145,552 35,783,802 266,369,762 349,547,743 31,940,312

75 IFSCL USA INC N NFA 10/31/2003 396,756 250,000 0 146,756 115,646 0

76 IFX MARKETS INC N NFA 10/31/2003 499,942 250,000 0 249,942 0 0

77 INTEGRATED BROKERAGE SERVICES INC N NFA 10/31/2003 928,117 250,000 93,060 678,117 1,492,229 0

78 INTERACTIVE BROKERS LLC Y NFA 10/31/2003 125,983,626 4,615,284 2,146,991 121,368,342 26,186,695 8,417,900

79 INVESTEC ERNST & COMPANY Y NFA 10/31/2003 16,827,961 250,000 0 16,577,961 0 0

80 IOWA GRAIN CO N CBOT 10/31/2003 8,447,707 4,451,628 4,152,146 3,996,079 126,412,377 135,268

81 ISB CLEARING CORPORATION N NFA 10/31/2003 474,056 250,000 0 224,056 0 0

82 JP MORGAN FUTURES INC N NYME 10/31/2003 547,196,444 214,267,386 325,425,634 221,770,810 5,358,699,213 591,306,308

83 JULIUS BAER SECURITIES INC Y NFA 10/31/2003 6,338,249 1,798,159 0 4,540,090 0 0

84 KOTTKE ASSOCIATES LLC N CBOT 10/31/2003 6,892,345 360,457 158,091 6,531,888 13,751,119 0

85 LADENBURG THALMANN & CO INC Y NFA 10/31/2003 8,369,015 250,000 0 8,119,015 0 0

86 LAWRENCE-BONFITTO TRADING COMPANY N CBOT 10/31/2003 2,965,741 250,000 47,505 2,715,741 4,036,509 0

87 LBS LIMITED PARTNERSHIP N CBOT 10/31/2003 376,529 250,000 0 126,529 0 0

88 LEADER INVESTMENTS INC Y NFA 10/31/2003 448,310 250,000 0 198,310 0 0

89 LEGG MASON WOOD WALKER INC Y NYME 10/31/2003 359,631,696 23,321,590 0 336,310,106 0 0

90 LEHMAN BROTHERS INC Y CBOT 10/31/2003 2,443,645,000 218,094,460 123,856,320 2,225,550,540 1,997,715,000 49,855,000

91 LINN GROUP ( THE ) N NFA 10/31/2003 484,395 250,000 0 234,395 0 0

92 LINSCO/PRIVATE LEDGER CORP Y NFA 10/31/2003 88,126,679 4,288,545 0 83,838,134 0 0

93 LOEB PARTNERS CORPORATION Y NFA 10/31/2003 21,915,127 250,000 0 21,665,127 0 0

94 MAN FINANCIAL INC N CME 10/31/2003 196,527,753 121,360,666 135,539,445 60,988,308 3,007,728,374 667,372,649

95 MARQUETTE ELECTRONIC BROKERAGE N NFA 10/31/2003 5,640,669 250,000 0 5,390,669 0 0

96 MAXCOR FINANCIAL INC Y NFA 10/31/2003 47,002,871 250,000 0 46,752,871 0 0

97 MBF CLEARING CORP N NYME 10/31/2003 6,504,037 2,642,839 974,609 3,861,198 66,773,994 313,156

98 MCVEAN TRADING AND INVESTMENTS LLC N NFA 10/31/2003 16,594,805 10,635,316 1,828,363 5,959,489 271,612,702 0

99 MERRILL LYNCH PIERCE FENNER & SMITH Y CBOT 10/31/2003 2,825,852,527 280,694,470 235,921,606 2,545,158,057 4,991,638,986 532,614,742

100 MERRILL LYNCH PROFESSIONAL CLEARING Y NFA 10/31/2003 630,515,073 10,910,849 24,426,940 606,088,133 328,616,069 0

101 MID-CO COMMODITIES INC N NFA 10/31/2003 3,431,093 712,341 1,258,554 2,172,539 19,158,680 0

102 MITSUI & CO INVESTMENT PRODUTS CORP N NFA 10/31/2003 638,466 250,000 0 388,466 0 0

103 MIZUHO SECURITIES USA INC Y CME 10/31/2003 156,378,448 20,188,805 25,669,675 130,708,773 404,041,729 31,712,909
SELECTED FCM FINANCIAL DATA 

FROM REPORTS FILED BY 

November 30, 2003

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)

104 MONEY GARDEN CORPORATION, THE N NFA 10/31/2003 3,397,623 250,000 0 3,147,623 0 0

105 MORGAN KEEGAN & COMPANY INC Y NFA 10/31/2003 247,000,347 10,556,865 0 236,443,482 0 0

106 MORGAN STANLEY & CO INCORPORATED Y CME 10/31/2003 3,917,920,160 762,606,673 191,570,459 3,155,313,488 2,301,806,290 1,243,700,819

107 MORGAN STANLEY DW INC Y CBOT 10/31/2003 996,708,974 98,053,580 6,405,531 898,655,394 819,799,393 1,458,761,820

108 NATIONAL COMMODITIES CORPORATION N NFA 10/31/2003 1,447,659 250,000 84,642 1,197,659 13,675,496 0

109 NEUBERGER BERMAN LLC Y NFA 10/31/2003 303,471,622 19,165,956 654,304 284,305,666 14,743,275 0

110 NIKKO SECURITIES CO INTERNATIONAL INC Y NFA 10/31/2003 13,729,036 250,000 0 13,479,036 0 0

111 NOMURA SECURITIES INTERNATIONAL INC Y CBOT 10/31/2003 482,698,170 5,161,213 883,143 477,536,957 107,337,347 11,798

112 OANDA CORPORATION N NFA 10/31/2003 3,698,882 250,000 0 3,448,882 0 0

113 OCONNOR & COMPANY LLC Y CBOT 10/31/2003 32,555,481 2,500,000 1,604,988 30,055,481 64,606,799 383,882

114 OPPENHEIMER & CO. INC. Y NFA 10/31/2003 134,820,868 22,132,248 0 112,688,620 9,423,582 0

115 PACIFIC CAPITAL MARKETS N NFA 10/31/2003 422,606 250,000 0 172,606 0 0

116 PATTERSON CAPITAL MARKETS LTD N CBOT 10/31/2003 938,449 250,000 0 688,449 0 0

117 PAX CLEARING CORPORATION Y CME 10/31/2003 52,798,358 2,423,573 3,718,519 49,079,839 75,317,970 0

118 PENSON FINANCIAL FUTURES INC N NFA 10/31/2003 436,684 250,000 55,072 186,684 959,072 0

119 PEREGRINE FINANCIAL GROUP INC N NFA 10/31/2003 20,104,027 3,426,377 700,483 16,677,650 108,650,741 1,239,855

120 PERSHING LLC Y CBOT 10/31/2003 750,060,000 160,423,460 0 589,636,540 0 0

121 PIONEER FUTURES INC N NYME 10/31/2003 8,752,329 3,718,358 2,626,196 5,033,971 108,958,422 105,946

122 PREFERRED TRADE INC Y NFA 10/31/2003 8,597,775 693,751 0 7,904,024 838,700 0

123 PRUDENTIAL EQUITY GROUP INC Y CBOT 10/31/2003 547,838,000 50,185,000 59,347,840 488,490,160 1,264,304,000 126,912,000

124 PRUDENTIAL FINANCIAL DERIVATIVES LLC N NFA 10/31/2003 1,000,100 250,000 0 750,100 0 0

125 RAND FINANCIAL SERVICES INC N CME 10/31/2003 13,936,900 5,840,764 8,715,950 5,220,950 163,868,600 13,995,300

126 RAYMOND JAMES & ASSOCIATES INC Y NFA 10/31/2003 352,211,457 23,299,606 15,785 328,911,851 0 0

127 RB&H FINANCIAL SERVICES LP N CME 10/31/2003 4,359,862 2,006,483 1,251,808 2,353,379 56,950,089 9,102

128 RBC DAIN RAUSCHER INC Y NFA 10/31/2003 337,453,673 29,119,059 0 308,334,614 0 0

129 RBC DOMINION SECURITIES CORPORATION Y CME 10/31/2003 156,217,011 1,500,000 39,892,739 116,324,272 0 0

130 REDSKY SECURITIES LLC Y NFA 10/31/2003 703,692 250,000 0 453,692 0 0

131 REFCO LLC N CME 10/31/2003 189,605,133 113,188,587 116,384,909 73,220,224 3,118,933,552 75,303,197

132 RJ OBRIEN ASSOCIATES INC N CME 10/31/2003 45,781,664 26,959,669 28,816,030 16,965,634 743,622,680 4,603,737

133 ROBBINS FUTURES INC N NFA 10/31/2003 434,581 250,000 110,197 184,581 5,994,561 0

134 ROBECO USA LLC Y NFA 10/31/2003 73,059,201 5,112,298 0 67,946,903 0 0

135 ROSENTHAL COLLINS GROUP LLC N CME 10/31/2003 42,793,443 14,614,985 12,467,965 28,178,458 428,332,561 1,250,094

136 ROSENTHAL GLOBAL SECURITIES LLC Y CBOT 10/31/2003 12,348,793 1,332,941 0 11,015,852 0 0

137 ROTHSCHILD INC Y NFA 10/31/2003 23,800,874 250,000 0 23,550,874 0 0

138 SANFORD C BERNSTEIN & CO LLC Y NFA 10/31/2003 150,959,839 13,665,231 0 137,294,608 0 0
SELECTED FCM FINANCIAL DATA 

FROM REPORTS FILED BY 

November 30, 2003

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)

139 SENTINEL MANAGEMENT GROUP INC N NFA 10/31/2003 1,312,101 250,000 0 1,062,101 388,017,850 0

140 SG COWEN SECURITIES CORPORATION Y NFA 10/31/2003 658,518,596 1,500,000 0 657,018,596 0 0

141 SHATKIN ARBOR KARLOV & CO N CBOT 10/31/2003 6,789,761 365,754 118,783 6,424,007 10,059,469 40,311

142 SHAY GRAIN CLEARING COMPANY N KCBT 09/30/2003 813,266 250,000 12,188 563,266 2,801,733 0

143 SHEPARD INTERNATIONAL INC N NFA 10/31/2003 2,049,464 250,000 0 1,799,464 0 0

144 SHERWOOD FUTURES GROUP LLC N NFA 10/31/2003 1,156,856 250,000 0 906,856 17,766,516 0

145 SMW TRADING COMPANY INC N CME 10/31/2003 4,754,153 448,082 483,751 4,270,402 11,449,376 10,080

146 SNC INVESTMENTS INC N NFA 10/31/2003 375,890 250,000 0 125,890 0 0

147 SOLID GOLD FINANCIAL SERVICES INC N NFA 10/31/2003 332,012 250,000 0 82,012 0 0

148 SPEAR LEEDS & KELLOG Y NYME 10/31/2003 1,104,420,442 49,042,495 4,995,022 1,055,377,947 218,898,996 6,238,867

149 STEPHENS INC Y NFA 10/31/2003 70,396,071 9,604,822 0 60,791,249 0 0

150 STERLING COMMODITIES CORP N NYME 10/31/2003 5,333,802 748,393 213,572 4,585,409 18,003,291 925,059

151 SWISS AMERICAN SECURITIES INC Y NFA 10/31/2003 71,390,611 3,498,858 0 67,891,753 0 0

152 TCA FUTURES LLC N NFA 10/31/2003 392,516 250,000 0 142,516 0 0

153 TENCO INC N CBOT 10/31/2003 27,835,930 1,762,801 2,642,584 25,193,346 60,732,854 0

154 TIMBER HILL LLC Y CME 10/31/2003 342,030,646 1,162,955 2,389,733 339,640,913 29,171,490 0

155 TOKYO-MITSUBISHI FUTURES USA INC N CME 10/31/2003 15,202,233 250,000 2,427,017 12,775,216 5,846,497 0

156 TRADELINK LLC Y CBOT 10/31/2003 53,059,353 250,000 224,724 52,809,353 0 0

157 TRADESTATION SECURITIES INC N NFA 10/31/2003 10,779,301 468,660 0 10,310,641 0 0

158 TRADITION SECURITIES AND FUTURES INC N NFA 10/31/2003 393,316 250,000 0 143,316 0 0

159 TRANSMARKET GROUP LLC Y CBOT 10/31/2003 8,476,946 250,000 0 8,226,946 0 0

160 TRILAND USA INC N NYME 10/31/2003 18,576,569 1,357,242 1,511,916 17,064,653 34,520,558 0

161 UBS FINANCIAL SERVICES INC. Y CBOT 10/31/2003 1,347,214,081 231,118,034 16,800,807 1,116,096,047 1,094,072,304 13,957,438

162 UBS SECURITIES LLC Y CBOT 10/31/2003 3,179,725,965 181,908,082 168,262,520 2,997,817,883 3,244,811,976 887,528,558

163 UFJ FUTURES LLC N CME 10/31/2003 23,096,298 250,000 2,475,042 20,621,256 0 0

164 UNIVERSAL FINANCIAL HOLDING CORP N NFA 10/31/2003 738,490 250,000 139,626 488,490 3,887,127 0

165 US BANCORP PIPER JAFFRAY INC Y NFA 10/31/2003 213,796,621 12,182,872 0 201,613,749 0 0

166 UTS WORLD INC N NFA 10/31/2003 491,573 250,000 0 241,573 0 0

167 VELOCITY FUTURES LP N NFA 10/31/2003 621,590 250,000 0 371,590 1,500,680 35,188

168 VIEWTRADE SECURITIES INC. Y NFA 10/31/2003 631,292 382,500 0 248,792 0 0

169 VISION LIMITED PARTNERSHIP N NFA 10/31/2003 13,728,811 5,752,556 3,338,721 7,976,255 151,320,245 16,643

170 WACHOVIA SECURITIES FINANCIAL Y NFA 10/31/2003 15,552,855 2,025,204 0 13,527,651 0 0

171 WACHOVIA SECURITIES LLC Y NFA 10/31/2003 757,826,000 68,433,860 0 689,392,140 0 0

172 WALL STREET DERIVATIVES INC N NFA 10/31/2003 417,080 250,000 640 167,080 35,817 0

173 WHITE COMMERCIAL CORPORATION N NFA 10/31/2003 1,740,251 250,000 0 1,490,251 0 0

174 XPRESSTRADE LLC N NFA 10/31/2003 2,723,116 250,000 0 2,473,116 0 0

175 YORK BUSINESS ASSOCIATES LLC N CBOT 10/31/2003 1,924,312 250,000 0 1,674,312 430,521 341

Total 51,310,427,999 65,388,235,357 13,626,777,403

September Web Page Update 177

Name Changes 0

Additions 0

Deletions 2

FX First Inc

Siegel Trading Company Inc

October Web Page Update 175
SELECTED FCM FINANCIAL DATA 

FROM REPORTS FILED BY 

November 30, 2003

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)

(a): B/D? : A 'Y' means the FCM is also 

registered with the Securities and Exchange 

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.