SELECTED FCM FINANCIAL DATA 

FROM REPORTS FILED BY 

November 30, 2002

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

Futures Commission Merchant Date Net Capital Requirement Requirement Net Cap

(4% of Seg, SEC Capital 

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

1 ABN AMRO INCORPORATED Y CBOT 10/31/2002 1,239,181,232 134,672,679 78,563,497 1,104,502 ABN AMRO SAGE CORPORATION Y NFA 10/31/2002 37,865,533 3,475,219 3,475,219 34,393 ADM INVESTOR SERVICES INC N CBOT 10/31/2002 65,518,698 15,659,617 19,627,079 45,894 ADVEST INC Y NFA 10/31/2002 21,242,391 1,000,000 0 20,245 AG EDWARDS & SONS INC Y CBOT 10/31/2002 582,072,658 41,256,088 2,354,375 540,816 AGE COMMODITY CLEARING CORP N CBOT 10/31/2002 11,257,843 1,454,505 3,102,775 8,157 AIG CLEARING CORPORATION N NYME 10/31/2002 120,449,837 250,000 4,647,060 115,808 ALARON TRADING CORPORATION N CME 10/31/2002 3,452,231 1,880,513 933,856 1,579 ALCO COMMODITIES INC N NFA 10/31/2002 449,772 250,000 0 19

10 AMERICAN NATIONAL TRADING CORP N NFA 10/31/2002 1,051,452 383,897 271,170 6611 BANC OF AMERICA FUTURES INCORPORATED Y CME 10/31/2002 64,245,785 6,734,442 21,749,845 42,4912 BANC ONE CAPITAL MARKETS INC Y CBOT 10/31/2002 361,200,546 56,572,014 102,417,116 258,7813 BARCLAYS CAPITAL INC Y CBOT 10/31/2002 273,407,321 51,143,571 93,337,491 180,0614 BEAR STEARNS & CO INC Y CBOT 10/31/2002 1,462,600,741 38,447,045 0 1,424,1515 BEAR STEARNS SECURITIES CORP Y CME 10/31/2002 2,232,111,649 709,420,212 87,701,288 1,522,6916 BIELFELDT & COMPANY LLC N CBOT 10/31/2002 425,006 250,000 0 1717 BNP PARIBAS BROKERAGE SERVICES INC Y CME 10/31/2002 22,956,281 2,594,136 12,864,682 10,0918 BNP PARIBAS COMMODITY FUTURES INC N NYME 10/31/2002 51,034,857 8,988,368 10,722,400 40,3119 BNP PARIBAS SECURITIES CORP Y CBOT 10/31/2002 287,777,900 832,896 0 286,9420 BNY CLEARING SERVICES LLC Y NFA 10/31/2002 82,683,248 14,506,194 0 68,1721 BOSTON CABOT LLC Y NFA 10/31/2002 582,782 250,000 0 3322 C CZARNIKOW SUGAR FUTURES INC N NFA 10/31/2002 1,553,514 250,000 176,592 1,3023 CANTOR FITZGERALD & CO Y CBOT 10/31/2002 64,283,807 1,850,583 294 62,4324 CAPITAL MARKET SERVICES LLC N NFA 10/31/2002 410,108 250,000 0 1625 CARGILL INVESTOR SERVICES INC N CBOT 10/31/2002 83,291,928 39,428,031 47,640,999 35,6526 CARR FUTURES INC Y CME 10/31/2002 148,147,661 89,446,441 121,225,470 26,9227 CDC SECURITIES Y NFA 10/31/2002 76,568,248 250,000 0 76,3128 CIBC WORLD MARKETS CORP Y NYME 10/31/2002 864,638,749 22,957,905 8,598,799 841,6829 CLIFDEN FUTURES LLC N NFA 10/31/2002 473,571 250,000 0 2230 COES FX CLEARING INC N NFA 10/31/2002 489,910 250,000 0 2331 COMMERZ FUTURES LLC Y CME 10/31/2002 7,989,340 1,624,633 3,116,258 4,8732 COUNTRY HEDGING INC N NFA 10/31/2002 7,420,939 1,304,329 3,469,399 3,9533 CREDIT LYONNAIS ROUSE USA LIMITED N NYME 10/31/2002 22,822,032 3,969,353 17,427,723 5,3934 CREDIT SUISSE FIRST BOSTON CORPORATION Y CBOT 10/31/2002 3,262,527,726 86,488,807 63,661,131 3,176,0335 CROSSLAND LLC N CBOT 10/31/2002 3,783,826 290,837 53,384 3,4936 CUNNINGHAM COMMODITIES INC N CBOT 10/31/2002 1,818,233 250,000 174,736 1,5637 DAIWA SECURITIES AMERICA INC Y CME 10/31/2002 222,060,077 3,931,213 6,119,046 215,9438 DEUTSCHE BANK SECURITIES INC Y CBOT 10/31/2002 1,169,653,177 118,774,362 51,559,000 1,050,8739 DIRECT TRADING GROUP LLC N NFA 10/31/2002 2,253,596 250,000 31,665 2,0040 DONALDSON LUFKIN & JENRETTE SEC CORP Y CBOT 10/31/2002 1,142,611,000 87,390,440 0 1,055,2241 DORMAN TRADING LLC N CME 10/31/2002 6,872,521 699,895 245,940 6,1742 DUNAVANT COMMODITY CORP N NYCE 09/30/2002 17,906,530 1,012,962 25,730 16,89

43 EAGLE MARKET MAKERS INC N CBOT 10/31/2002 1,991,674 250,000 57,179 1,7444 ED &F MAN COMMODITY ADVISORS INC N NFA 10/31/2002 384,713 250,000 0 1345 EM COMBS & SON N CBOT 10/31/2002 1,980,853 250,000 10,700 1,7346 FAHNESTOCK & CO INC Y NFA 10/31/2002 158,470,105 7,805,616 0 150,6647 FARR FINANCIAL INC N NFA 10/31/2002 966,767 441,279 172,766 52
SELECTED FCM FINANCIAL DATA 

FROM REPORTS FILED BY 

November 30, 2002

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

Futures Commission Merchant Date Net Capital Requirement Requirement Net Cap

(4% of Seg, SEC Capital 

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

48 FC STONE LLC N CME 10/31/2002 16,997,833 8,738,433 11,345,410 5,6549 FCT GROUP LLC N CME 10/31/2002 3,350,074 250,000 472,657 2,8750 FIMAT USA INC Y CME 10/31/2002 163,977,457 64,192,204 117,514,374 46,4651 FIRST CAPITOL GROUP LLC N NFA 10/31/2002 1,653,322 786,169 616,588 8652 FIRST OPTIONS OF CHICAGO INC Y CME 10/25/2002 152,716,228 8,278,180 33,479,107 119,2353 FOREX CAPITAL MARKETS LLC N NFA 10/31/2002 8,081,355 250,000 0 7,8354 FORTIS CLEARING CHICAGO LLC N CBOT 10/31/2002 6,042,923 1,639,620 557,220 4,4055 FRIEDBERG MERCANTILE GROUP INC Y NFA 10/31/2002 1,392,404 250,000 66,432 1,1456 FRONTIER FUTURES INC N NFA 10/31/2002 1,295,212 371,701 370,474 9257 FUTURES TECH LLC N NFA 10/31/2002 401,750 250,000 0 1558 FX SOLUTIONS LLC N NFA 10/31/2002 312,462 250,000 0 659 GAIN CAPITAL N NFA 10/31/2002 2,001,150 250,000 0 1,7560 GELBER GROUP LLC N CBOT 10/31/2002 12,440,271 792,566 172,163 11,6461 GFS SECURITIES & FUTURES INC N NFA 10/31/2002 291,776 250,000 0 462 GILDER GAGNON HOWE AND CO LLC Y NFA 10/31/2002 24,277,953 250,000 0 24,0263 GLOBAL FUTURES & FOREX LTD N NFA 10/31/2002 3,243,637 250,000 0 2,9964 GNI INCORPORATED N CBOT 10/31/2002 12,735,685 6,299,117 0 6,4365 GOLDENBERG HEHMEYER & CO Y CBOT 10/31/2002 11,839,309 1,499,854 1,666,614 10,1766 GOLDMAN SACHS & CO Y CBOT 10/25/2002 4,133,601,841 655,420,841 423,476,415 3,478,1867 GREENWICH CAPITAL MARKETS INC Y CBOT 10/31/2002 908,132,000 30,128,000 14,044,840 878,0068 HAGERTY GRAIN CO INC N CBOT 10/31/2002 1,664,821 250,000 61,538 1,4169 HORNBLOWER FISCHER & CO Y NFA 10/31/2002 2,045,326 265,884 173,813 1,7770 HOTSPOT FX INC N NFA 10/31/2002 3,957,091 250,000 0 3,7071 HSBC SECURITIES USA INC Y CME 10/31/2002 203,267,168 20,409,576 24,768,767 178,4972 INTEGRATED BROKERAGE SERVICES INC N NFA 10/31/2002 613,053 250,000 0 3673 INTERACTIVE BROKERS LLC Y NFA 10/31/2002 86,151,331 1,625,468 627,886 84,5274 INVESTEC ERNST & COMPANY N NFA 10/31/2002 32,257,265 2,867,060 0 29,3975 IOWA GRAIN CO N CBOT 10/31/2002 7,617,391 3,563,988 3,360,627 4,0576 JP MORGAN FUTURES INC N NYME 10/31/2002 454,797,478 150,466,893 260,036,558 194,7677 JULIUS BAER SECURITIES INC Y NFA 10/31/2002 7,433,488 858,697 0 6,5778 KOTTKE ASSOCIATES LLC N CBOT 10/31/2002 8,869,560 409,839 158,600 8,4579 LADENBURG THALMANN & CO INC Y NFA 10/31/2002 3,879,906 1,000,000 0 2,8780 LAWRENCE-BONFITTO TRADING COMPANY N CBOT 10/31/2002 2,787,451 250,000 67,527 2,5381 LBS LIMITED PARTNERSHIP N CBOT 10/31/2002 407,092 250,000 0 1582 LEADER INVESTMENTS INC N NFA 10/31/2002 801,383 250,000 0 5583 LEGG MASON WOOD WALKER INC Y NFA 10/31/2002 327,451,803 18,891,040 0 308,5684 LEHMAN BROTHERS INC Y CBOT 10/31/2002 1,607,368,000 150,497,880 139,303,720 1,456,8785 LINN GROUP ( THE ) N NFA 10/31/2002 474,460 250,000 0 2286 LINSCO/PRIVATE LEDGER CORP Y NFA 10/31/2002 94,267,425 3,435,474 0 90,8387 LOEB PARTNERS CORPORATION Y NFA 10/31/2002 25,078,137 250,000 0 24,8288 MAN FINANCIAL INC Y CME 10/31/2002 185,294,903 88,437,707 83,630,496 96,8589 MARQUETTE ELECTRONIC BROKERAGE LLC N NFA 10/31/2002 2,692,494 250,000 0 2,4490 MAXCOR FINANCIAL INC Y NFA 10/31/2002 22,421,313 250,000 0 22,1791 MBF CLEARING CORP N NYME 10/31/2002 6,322,238 2,258,849 674,140 4,0692 MCVEAN TRADING AND INVESTMENTS LLC N NFA 10/31/2002 6,987,326 4,395,914 822,827 2,5993 MERRILL LYNCH PIERCE FENNER & SMITH Y CBOT 11/01/2002 2,920,381,624 302,440,895 202,060,297 2,617,9494 MERRILL LYNCH PROFESSIONAL CLEARING CORP Y NFA 11/01/2002 973,125,791 15,086,669 39,751,670 933,37
SELECTED FCM FINANCIAL DATA 

FROM REPORTS FILED BY 

November 30, 2002

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

Futures Commission Merchant Date Net Capital Requirement Requirement Net Cap

(4% of Seg, SEC Capital 

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

95 MID-CO COMMODITIES INC N NFA 10/31/2002 3,429,739 601,454 1,140,737 2,2896 MITSUI & CO INVESTMENT PRODUTS CORP N NFA 10/31/2002 2,530,608 250,000 7,152 2,2897 MIZUHO SECURITIES USA INC Y CME 10/31/2002 90,604,476 11,280,774 17,416,267 73,1898 MONEY GARDEN CORP N NFA 10/31/2002 2,730,736 250,000 0 2,4899 MORGAN KEEGAN & COMPANY INC Y NFA 10/31/2002 150,183,359 9,596,813 0 140,58

100 MORGAN STANLEY & CO INCORPORATED Y CME 10/31/2002 4,834,907,699 705,014,786 0 4,129,89101 MORGAN STANLEY DW INC Y CBOT 10/31/2002 1,301,203,010 95,962,191 2,411,993 1,205,24102 NATIONAL COMMODITIES CORPORATION INC N NFA 10/31/2002 1,883,352 250,000 147,727 1,63103 NEUBERGER BERMAN LLC Y NFA 10/31/2002 254,201,476 20,771,339 315,806 233,43104 NEXUS TRADING LLC N NFA 10/31/2002 259,885 250,000 0 105 NIKKO SECURITIES CO INTERNATIONAL INC Y NFA 10/31/2002 8,536,776 250,000 0 8,28106 NOMURA SECURITIES INTERNATIONAL INC Y CBOT 10/31/2002 550,302,945 4,765,814 733,754 545,53107 NOYES DAVID A Y NFA 10/31/2002 1,633,593 250,000 0 1,38108 OCONNOR & COMPANY LLC Y CBOT 10/31/2002 35,411,383 2,370,633 1,901,839 33,04109 PACKERS TRADING CO INC N NFA 10/31/2002 2,483,097 250,000 239,329 2,23110 PATTERSON CAPITAL MARKETS LTD N CBOT 10/31/2002 486,650 250,000 0 23111 PAX CLEARING CORPORATION Y CME 10/31/2002 56,095,312 1,658,805 903,738 54,43112 PENSON FINANCIAL FUTURES INC N NFA 10/31/2002 468,381 250,000 10,012 21113 PEREGRINE FINANCIAL GROUP INC N NFA 10/31/2002 10,792,876 3,411,084 1,677,251 7,38114 PIONEER FUTURES INC N NYME 10/31/2002 5,905,084 2,679,878 1,219,757 3,22115 PREFERRED TRADE INC Y NFA 10/31/2002 10,551,086 717,547 0 9,83116 PRUDENTIAL SECURITIES INCORPORATED Y CBOT 10/25/2002 538,041,000 63,690,280 49,064,680 474,35117 RAND FINANCIAL SERVICES INC N CME 10/31/2002 13,698,973 5,572,615 10,320,172 3,37118 RAYMOND JAMES & ASSOCIATES INC Y NFA 10/25/2002 283,361,269 19,961,783 18,500 263,39119 RB&H FINANCIAL SERVICES LP N CME 10/31/2002 3,110,325 1,774,963 1,046,237 1,33120 RBC DAIN RAUSCHER INC Y NFA 10/31/2002 246,112,310 25,284,908 0 220,82121 RBC DOMINION SECURITIES CORPORATION Y CME 10/31/2002 117,167,296 1,000,000 1,225,500 115,94122 REFCO LLC N CME 10/31/2002 165,547,619 107,214,043 96,876,888 58,33123 RJ OBRIEN ASSOCIATES INC N CME 10/31/2002 33,053,851 14,307,258 15,382,393 17,67124 ROBBINS FUTURES INC N NFA 10/31/2002 483,220 263,107 62,525 22125 ROSENTHAL COLLINS GROUP LLC N CME 10/31/2002 56,167,854 10,209,624 7,386,436 45,95126 ROSENTHAL GLOBAL SECURITIES LLC Y CBOT 10/31/2002 13,233,457 1,239,024 0 11,99127 ROTHSCHILD INC N NYME 10/31/2002 24,398,597 250,000 24,14128 SALOMON SMITH BARNEY INC Y CBOT 10/31/2002 3,821,415,525 391,239,869 172,338,724 3,430,17129 SANFORD C BERNSTEIN & CO LLC Y NFA 10/31/2002 166,523,303 10,123,317 0 156,39130 SENTINEL MANAGEMENT GROUP INC N NFA 10/31/2002 1,019,688 250,000 0 76131 SG COWEN SECURITIES CORPORATION Y NFA 10/31/2002 752,635,965 1,855,629 0 750,78132 SHATKIN ARBOR KARLOV & CO N CBOT 10/31/2002 6,251,125 418,529 82,591 5,83133 SHAY GRAIN CLEARING COMPANY N KCBT 09/30/2002 792,447 250,000 25,454 54

134 SHEPARD INTERNATIONAL INC N NFA 10/31/2002 2,168,107 250,000 0 1,91135 SHERWOOD FUTURES GROUP LLC N NFA 10/31/2002 673,610 250,000 0 42136 SIEGEL TRADING CO INC THE N NFA 10/31/2002 397,322 250,000 0 14137 SMW TRADING COMPANY INC N CME 10/31/2002 7,219,430 563,124 333,763 6,65138 SPEAR LEEDS & KELLOG Y NYME 10/25/2002 1,334,834,009 43,303,878 3,700,582 1,291,53139 STAFF USA INC N NFA 10/31/2002 339,843 250,000 0 8140 STEPHENS INC Y NFA 10/25/2002 62,936,129 10,286,119 0 52,65141 STERLING COMMODITIES CORP N NYME 10/31/2002 5,598,689 813,371 240,976 4,78
SELECTED FCM FINANCIAL DATA 

FROM REPORTS FILED BY 

November 30, 2002

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

Futures Commission Merchant Date Net Capital Requirement Requirement Net Cap

(4% of Seg, SEC Capital 

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

142 SWISS AMERICAN SECURITIES INC Y NFA 10/31/2002 74,615,455 4,812,225 0 69,80143 TCA FUTURES LLC N NFA 10/31/2002 411,777 250,000 0 16144 TENCO INC N CBOT 10/31/2002 26,852,835 1,679,133 2,013,335 24,83145 TIMBER HILL LLC Y CME 10/31/2002 284,271,676 1,000,000 644,629 283,27146 TOKYO GENERAL USA INC N NFA 10/31/2002 486,625 250,000 2,968 23147 TOKYO-MITSUBISHI FUTURES USA INC N CME 10/31/2002 18,718,816 250,000 4,524,322 14,19148 TRADELINK LLC Y CBOT 10/31/2002 18,545,979 250,000 0 18,29149 TRANSMARKET GROUP LLC Y CBOT 10/31/2002 8,341,569 1,542,094 0 6,79150 TRILAND USA INC N NYME 10/31/2002 19,339,186 715,801 542,662 18,62151 UBS PAINEWEBBER INC Y CBOT 10/31/2002 1,335,766,783 193,987,234 12,777,986 1,141,77152 UBS WARBURG LLC Y CBOT 10/31/2002 1,965,316,887 146,024,706 177,795,784 1,787,52153 UFJ FUTURES LLC N CME 10/31/2002 16,068,243 250,000 1,321,581 14,74154 UNIVERSAL FINANCIAL HOLDING CORP N NFA 10/31/2002 666,049 250,000 115,409 41155 US BANCORP PIPER JAFFRAY INC Y NFA 10/31/2002 284,954,141 9,230,575 0 275,72156 US SECURITIES & FUTURES CORP Y NFA 10/31/2002 389,213 250,000 0 13157 VELOCITY FUTURES LP N NFA 10/31/2002 456,006 250,000 0 20158 VISION LIMITED PARTNERSHIP N NFA 10/31/2002 15,662,526 5,457,285 2,618,110 10,20159 WACHOVIA SECURITIES INC Y CME 10/31/2002 485,855,923 1,013,761 0 484,84160 WALL STREET DERIVATIVES INC N NFA 10/31/2002 386,837 250,000 0 13161 WEISS PECK & GREER LLC Y NFA 10/25/2002 76,269,686 3,978,114 0 72,29162 WHITE COMMERCIAL CORPORATION N NFA 10/31/2002 1,684,877 250,000 0 1,43163 XPRESSTRADE LLC N NFA 10/31/2002 1,879,280 250,000 0 1,62164 YORK BUSINESS ASSOCIATES LLC N NFA 10/31/2002 1,953,229 250,000 0 1,70

Totals 46,266,814,412 

Name Changes from September 2002 UpdateReconcilation from September Web Page UpdateSeptember Web Page Update 166Additions 21. ED &F MAN COMMODITY ADVISORS INC2. INVESTEC ERNST & COMPANYDeletions 41. DEUTSCHE BANK FUTURES INC2. MIDLAND EURO 3. PIONEER CAPITAL CORP4. ROBERTSON STEPHENS INCOctober Web Page Update 164(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 
SELECTED FCM FINANCIAL DATA 

FROM REPORTS FILED BY 

November 30, 2002

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

Futures Commission Merchant Date Net Capital Requirement Requirement Net Cap

(4% of Seg, SEC Capital 

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

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

the United States. The amount to be set aside fo

(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 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. applies to all FCMs which are a member of the a net liquidating equity.National Futures AssociationAssociation, was effective 10/31/00.