SELECTED FCM FINANCIAL DATA 

FROM REPORTS FILED BY 

August 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 07/31/2002 1,293,825,678 95,250,739 93,211,821 1,198,574,939 1,809,784,608 60,679,052

2 ABN AMRO SAGE CORPORATION Y NFA 07/31/2002 32,936,238 8,060,688 8,060,688 24,875,550 137,469,099 0

3 ADM INVESTOR SERVICES INC N CBOT 07/31/2002 63,136,644 13,157,287 15,582,892 47,553,752 369,901,035 13,662,934

4 ADVEST INC Y NFA 07/31/2002 33,881,964 1,000,000 0 32,881,964 0 0

5 AG EDWARDS & SONS INC Y CBOT 07/31/2002 611,398,970 43,305,831 2,437,152 568,093,139 70,285,183 0

6 AGE COMMODITY CLEARING CORP N CBOT 07/31/2002 11,189,864 1,559,754 3,246,047 7,943,817 48,102,773 0

7 AIG CLEARING CORPORATION N NYME 07/31/2002 120,274,176 250,000 5,314,428 114,959,748 0 0

8 ALARON TRADING CORPORATION N CME 07/31/2002 3,291,492 1,686,367 995,480 1,605,125 47,082,998 10,539

9 ALCO COMMODITIES INC N NFA 07/31/2002 456,919 250,000 0 206,919 0 0

10 AMERICAN NATIONAL TRADING CORP N NFA 07/31/2002 1,017,525 516,604 0 500,921 12,915,111 0

11 BANC OF AMERICA FUTURES INCORPORATED Y CME 07/31/2002 59,992,829 4,142,807 16,042,423 43,950,406 103,570,172 0

12 BANC ONE CAPITAL MARKETS INC Y CBOT 07/31/2002 385,952,495 67,603,961 122,720,551 263,231,944 1,998,728,333 9,290,739

13 BARCLAYS CAPITAL INC Y CBOT 07/31/2002 383,974,648 53,582,083 99,456,789 284,517,859 1,319,556,591 56,145,868

14 BAXTER FINANCIAL SERVICES LTD N NFA 07/31/2002 30,898 250,000 0 -219,102 0 0

15 BEAR STEARNS & CO INC Y NFA 07/31/2002 1,436,881,667 46,611,393 0 1,390,270,274 0 0

16 BEAR STEARNS SECURITIES CORP Y CME 07/31/2002 1,977,153,381 644,827,871 95,729,579 1,332,325,510 1,613,433,732 174,906,311

17 BIELFELDT & COMPANY LLC N CBOT 07/31/2002 425,058 250,000 0 175,058 0 0

18 BLAYLOCK AND PARTNERS LP Y NFA 07/31/2002 2,952,099 250,000 0 2,702,099 0 0

19 BNP PARIBAS BROKERAGE SERVICES INC Y CME 07/31/2002 24,965,050 1,661,642 10,900,976 14,064,074 41,541,054 0

20 BNP PARIBAS COMMODITY FUTURES INC N NYME 07/31/2002 50,338,509 8,255,219 6,339,715 42,083,290 237,555,542 1,226,960

21 BNP PARIBAS SECURITIES CORP Y CBOT 07/31/2002 337,705,125 316,513 0 337,388,612 0 0

22 BNY CLEARING SERVICES LLC Y CFTC 06/30/2002 92,671,687 16,883,808 75,787,879 0 0

23 BOSTON CABOT LLC N NFA 07/31/2002 603,165 250,000 0 353,165 0 0

24 C CZARNIKOW SUGAR FUTURES INC N NFA 07/31/2002 1,516,279 250,000 90,258 1,266,279 621,265 0

25 CANTOR FITZGERALD & CO Y CBOT 07/31/2002 32,090,774 1,215,176 14,760 30,875,598 5,000 0

26 CAPITAL MARKET SERVICES LLC N NFA 07/31/2002 376,054 250,000 0 126,054 0 0

27 CARGILL INVESTOR SERVICES INC N CBOT 07/31/2002 82,840,289 37,573,872 48,306,881 34,533,408 922,345,463 90,827,446

28 CARR FUTURES INC Y CME 07/31/2002 180,507,463 93,075,311 129,595,331 50,912,132 2,330,451,072 1,212,500,664

29 CDC SECURITIES Y NFA 07/31/2002 76,870,872 250,000 0 76,620,872 0 0

30 CIBC WORLD MARKETS CORP Y NYME 07/31/2002 919,573,735 19,601,170 15,194,789 899,972,565 4,935,068 0

31 CLIFDEN FUTURES LLC N NFA 07/31/2002 477,386 250,000 0 227,386 204,514 0

32 COMMERZ FUTURES LLC Y CME 07/31/2002 8,126,244 1,929,654 4,124,981 4,001,263 76,895,941 7,028,286

33 COUNTRY HEDGING INC N NFA 07/31/2002 3,661,857 658,156 2,022,477 1,639,380 22,413,037 35,841

34 CREDIT LYONNAIS ROUSE USA LIMITED N NYME 07/31/2002 22,572,065 4,007,506 15,226,906 7,345,159 147,087,073 0

35 CREDIT SUISSE FIRST BOSTON CORPORATION Y CBOT 07/31/2002 3,507,418,412 56,286,635 69,282,716 3,438,135,696 1,153,445,257 212,512,059

36 CROSSLAND LLC N CBOT 07/31/2002 2,806,061 338,904 0 2,467,157 8,557,269 0

37 CUNNINGHAM COMMODITIES INC N CBOT 07/31/2002 1,840,684 250,000 118,520 1,590,684 5,888,298 100,990

38 DAIWA SECURITIES AMERICA INC Y CME 07/31/2002 218,107,819 5,575,252 6,653,194 211,454,625 86,708,168 2,003,604

39 DEUTSCHE BANK FUTURES INC N CME 07/31/2002 143,029,825 32,650,413 140,408,120 2,621,705 878,606,088 8,472,115

40 DEUTSCHE BANK SECURITIES INC Y CBOT 07/31/2002 1,084,221,331 94,678,260 46,443,920 989,543,071 865,494,297 168,299,061

41 DIRECT TRADING GROUP LLC N NFA 07/31/2002 409,236 250,000 14,912 159,236 1,550,683 0

42 DONALDSON LUFKIN & JENRETTE SEC CORP Y CBOT 07/31/2002 1,489,539,000 88,766,500 0 1,400,772,500 0 0

43 DORMAN TRADING LLC N CME 07/31/2002 3,627,769 869,878 218,228 2,757,891 21,748,204 0

44 DUNAVANT COMMODITY CORP N NYBOT 06/30/2002 14,192,799 898,152 0 13,294,647 32,301,735 0

45 EAGLE MARKET MAKERS INC N CBOT 07/31/2002 1,803,016 250,000 21,418 1,553,016 1,730,541 128,457

46 EM COMBS & SON N CBOT 07/31/2002 1,776,921 250,000 28,367 1,526,921 1,793,936 0

47 FAHNESTOCK & CO INC Y NFA 07/31/2002 166,041,639 8,297,957 0 157,743,682 938,057 0

48 FARR FINANCIAL INC N NFA 07/31/2002 786,876 396,134 148,988 390,742 10,074,214 81,949

49 FC STONE LLC N CME 07/31/2002 14,281,586 6,799,924 9,257,820 5,023,766 216,849,751 753,595
SELECTED FCM FINANCIAL DATA 

FROM REPORTS FILED BY 

August 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)

50 FCT GROUP LLC N CME 07/31/2002 3,734,709 250,000 431,584 3,303,125 7,331,432 0

51 FIMAT USA INC Y CME 07/31/2002 159,452,923 63,446,590 109,836,240 49,616,683 2,083,038,443 403,529,149

52 FIRST CAPITOL GROUP LLC N NFA 07/31/2002 1,581,738 607,376 490,966 974,362 21,935,940 0

53 FIRST OPTIONS OF CHICAGO INC Y CME 07/26/2002 279,851,511 7,822,224 19,381,501 260,470,010 442,997,755 12,134,116

54 FOREX CAPITAL MARKETS LLC N NFA 07/31/2002 6,726,511 250,000 0 6,476,511 0 0

55 FORTIS CLEARING CHICAGO LLC N CBOT 07/31/2002 5,953,475 1,455,960 450,456 4,497,515 35,646,169 1,426,499

56 FRIEDBERG MERCANTILE GROUP INC Y NFA 07/31/2002 1,408,366 250,000 219,202 1,158,366 3,961,156 0

57 FRONTIER FUTURES INC N NFA 07/31/2002 962,256 313,870 237,261 648,386 10,510,648 0

58 FUTURES TECH LLC N NFA 07/31/2002 408,594 250,000 0 158,594 0 0

59 FX SOLUTIONS LLC N NFA 07/31/2002 417,724 250,000 0 167,724 0 0

60 GAIN CAPITAL N NFA 07/31/2002 1,570,460 250,000 0 1,320,460 0 0

61 GELBER GROUP LLC N CBOT 07/31/2002 9,996,434 777,244 232,571 9,219,190 20,876,520 184,472

62 GFS SECURITIES & FUTURES INC N NFA 07/31/2002 395,817 250,000 0 145,817 0 0

63 GILDER GAGNON HOWE AND CO LLC Y NFA 07/31/2002 22,881,416 250,000 0 22,631,416 0 0

64 GLOBAL FUTURES & FOREX LTD N NFA 07/31/2002 3,091,759 250,000 0 2,841,759 0 0

65 GNI INCORPORATED N CBOT 07/31/2002 12,213,525 5,272,248 4,721,428 6,941,277 115,714,594 17,052,895

66 GOLDENBERG HEHMEYER & CO Y CBOT 07/31/2002 10,990,937 1,440,393 1,137,135 9,550,544 45,604,781 3,630,632

67 GOLDMAN SACHS & CO Y CBOT 07/26/2002 3,681,653,472 582,390,453 432,742,740 3,099,263,019 7,383,796,552 2,965,293,975

68 GREENWICH CAPITAL MARKETS INC Y CBOT 07/31/2002 809,164,000 18,792,000 25,830,000 783,334,000 315,510,000 62,128,000

69 HAGERTY GRAIN CO INC N CBOT 07/31/2002 1,656,490 309,679 105,181 1,346,811 7,806,901 0

70 HORNBLOWER FISCHER & CO Y NFA 07/31/2002 1,925,026 575,960 301,266 1,349,066 14,420,103 0

71 HOTSPOT FX INC N NFA 07/31/2002 687,716 250,000 0 437,716 0 0

72 HSBC SECURITIES USA INC Y CME 07/31/2002 219,031,300 9,502,085 25,747,543 193,283,757 244,096,444 28,347,137

73 INTEGRATED BROKERAGE SERVICES INC N NFA 07/31/2002 642,264 250,000 0 392,264 752,006 0

74 INTERACTIVE BROKERS LLC Y NFA 07/31/2002 76,398,194 2,163,473 348,359 74,234,721 35,482,056 18,604,767

75 IOWA GRAIN CO N CBOT 07/31/2002 7,721,878 3,436,476 2,957,559 4,285,402 93,114,933 6,490

76 JP MORGAN FUTURES INC N NYME 07/31/2002 446,106,315 144,684,076 247,200,467 198,905,848 3,743,577,019 306,523,839

77 JULIUS BAER SECURITIES INC Y NFA 07/31/2002 10,149,496 951,249 0 9,198,247 0 0

78 KOTTKE ASSOCIATES LLC N CBOT 07/31/2002 18,596,959 414,516 145,876 18,182,443 15,801,336 23,867

79 LADENBURG THALMANN & CO INC Y NFA 07/31/2002 3,507,436 1,000,000 0 2,507,436 0 0

80 LAWRENCE-BONFITTO TRADING COMPANY N CBOT 07/31/2002 2,682,081 250,000 75,269 2,432,081 5,414,473 0

81 LBS LIMITED PARTNERSHIP N CBOT 07/31/2002 400,017 250,000 0 150,017 0 0

82 LEGG MASON WOOD WALKER INC Y NFA 07/31/2002 322,728,063 19,055,030 0 303,673,033 0 0

83 LEHMAN BROTHERS INC Y CBOT 07/31/2002 1,754,997,000 127,733,340 120,170,640 1,627,263,660 1,391,383,000 13,997,000

84 LINN GROUP ( THE ) N NFA 07/31/2002 498,110 250,000 0 248,110 0 0

85 LINSCO/PRIVATE LEDGER CORP Y NFA 07/31/2002 97,097,721 3,742,813 0 93,354,908 0 0

86 LOEB PARTNERS CORPORATION Y NFA 07/31/2002 15,485,759 250,000 0 15,235,759 0 0

87 MACQUARIE FUTURES INC N CBOT 07/31/2002 679,152 250,000 0 429,152 0 0

88 MAN FINANCIAL INC Y CME 07/31/2002 168,032,933 84,878,311 77,281,305 83,154,622 1,971,886,861 310,142,120

89 MARQUETTE ELECTRONIC BROKERAGE LLC N NFA 07/31/2002 1,321,006 250,000 0 1,071,006 0 0

90 MAXCOR FINANCIAL INC Y NFA 07/31/2002 22,205,230 250,000 0 21,955,230 0 0

91 MBF CLEARING CORP N NYME 07/31/2002 6,016,322 2,155,498 500,542 3,860,824 53,939,913 166,236

92 MCVEAN TRADING AND INVESTMENTS LLC N NFA 07/31/2002 6,873,047 3,589,844 854,975 3,283,203 90,292,161 0

93 MERRILL LYNCH PIERCE FENNER & SMITH Y CBOT 08/02/2002 3,071,053,235 291,372,638 221,962,186 2,779,680,597 4,573,144,015 381,317,492

94 MERRILL LYNCH PROFESSIONAL CLEARING CORP Y NFA 08/02/2002 1,059,758,105 34,199,224 55,353,586 1,004,404,519 957,825,558 0

95 MID-CO COMMODITIES INC N NFA 07/31/2002 3,522,130 250,000 688,901 2,833,229 2,482,000 0

96 MIDLAND EURO INC N NFA 07/31/2002 180,517 250,000 0 -69,483 0 0

97 MITSUI & CO INVESTMENT PRODUTS CORP N NFA 07/31/2002 2,731,387 250,000 1,704 2,481,387 1,570,701 0

98 MIZUHO SECURITIES USA INC Y CME 07/31/2002 258,786,966 15,135,768 14,230,317 243,651,198 319,870,453 36,559,541
SELECTED FCM FINANCIAL DATA 

FROM REPORTS FILED BY 

August 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)

99 MONEY GARDEN CORP N NFA 07/31/2002 3,337,212 250,000 0 3,087,212 0 0

100 MORGAN KEEGAN & COMPANY INC Y NFA 07/31/2002 156,527,202 9,583,563 0 146,943,639 0 0

101 MORGAN STANLEY & CO INCORPORATED Y CME 07/31/2002 5,445,638,716 652,213,471 170,026,986 4,793,425,246 2,741,673,039 928,101,469

102 MORGAN STANLEY DW INC Y CBOT 07/31/2002 1,353,395,633 107,403,248 2,133,730 1,245,992,385 542,869,401 917,173,638

103 NATIONAL COMMODITIES CORPORATION INC N NFA 07/31/2002 1,804,494 250,000 11,050 1,554,494 12,898,575 0

104 NEUBERGER BERMAN LLC Y NFA 07/31/2002 218,373,702 18,465,541 413,289 199,908,161 11,680,789 0

105 NIKKO SECURITIES CO INTERNATIONAL INC Y NFA 07/31/2002 8,560,946 250,000 0 8,310,946 0 0

106 NOMURA SECURITIES INTERNATIONAL INC Y CBOT 07/31/2002 591,720,447 5,848,673 745,832 585,871,774 12,318,417 0

107 NOYES DAVID A Y NFA 07/31/2002 1,535,181 250,000 0 1,285,181 0 0

108 OCONNOR & COMPANY LLC Y CBOT 07/31/2002 33,443,655 2,094,006 1,347,109 31,349,649 56,719,911 0

109 PACKERS TRADING CO INC N NFA 07/31/2002 2,900,811 250,000 209,084 2,650,811 5,529,407 0

110 PATTERSON CAPITAL MARKETS LTD N CBOT 07/31/2002 448,020 250,000 0 198,020 0 0

111 PAX CLEARING CORPORATION Y CME 07/31/2002 62,657,303 1,231,075 1,086,563 61,426,228 31,682,638 0

112 PENSON FINANCIAL FUTURES INC N NFA 07/31/2002 449,597 250,000 3,977 199,597 273,458 0

113 PEREGRINE FINANCIAL GROUP INC N NFA 07/31/2002 7,486,653 3,098,583 1,265,985 4,388,070 80,680,855 839,203

114 PIONEER CAPITAL CORP Y NFA 07/31/2002 4,257,828 250,000 0 4,007,828 0 0

115 PIONEER FUTURES INC N NYME 07/31/2002 5,874,367 2,736,861 1,387,620 3,137,506 75,179,622 119,847

116 PREFERRED TRADE INC Y NFA 07/31/2002 9,698,803 639,935 0 9,058,868 0 0

117 PRUDENTIAL SECURITIES INCORPORATED Y CBOT 07/26/2002 527,453,000 74,542,700 48,606,920 452,910,300 1,030,935,000 80,479,000

118 QTECH DERIVATIVES INC N NFA 07/31/2002 510,000 250,000 0 260,000 0 0

119 RAND FINANCIAL SERVICES INC N CME 07/31/2002 12,595,519 6,793,533 10,978,131 1,617,388 169,751,000 20,963,200

120 RAYMOND JAMES & ASSOCIATES INC Y NFA 07/26/2002 323,040,747 21,188,745 17,355 301,852,002 0 0

121 RB&H FINANCIAL SERVICES LP N CME 07/31/2002 3,286,180 1,954,715 482,633 1,331,465 51,430,756 70,600

122 RBC DAIN RAUSCHER INC Y NFA 07/31/2002 204,122,276 27,943,342 0 176,178,934 0 0

123 RBC DOMINION SECURITIES CORPORATION Y CME 07/31/2002 124,926,357 1,000,000 1,059,822 123,866,535 0 0

124 REFCO LLC N CME 07/31/2002 170,793,758 103,558,737 89,702,082 67,235,021 2,889,048,398 55,320,653

125 RJ OBRIEN ASSOCIATES INC N CME 07/31/2002 25,574,993 12,319,077 13,099,868 12,475,125 343,463,991 4,002,493

126 ROBBINS FUTURES INC N NFA 07/31/2002 421,427 250,000 63,153 171,427 5,870,149 0

127 ROBERTSON STEPHENS INC Y CME 07/31/2002 341,575,203 2,787,210 0 338,787,993 0 0

128 ROSENTHAL COLLINS GROUP LLC N CME 07/31/2002 46,865,712 8,825,782 5,558,419 38,039,930 240,937,346 1,042,090

129 ROSENTHAL GLOBAL SECURITIES LLC Y CBOT 07/31/2002 9,992,150 878,539 0 9,113,611 0 0

130 ROTSCHILD INC N NYME 07/31/2002 9,468,321 250,000 9,218,321 0 0

131 SALOMON SMITH BARNEY INC Y CBOT 07/31/2002 3,679,737,439 388,089,267 176,008,776 3,291,648,172 4,934,070,019 104,193,087

132 SANFORD C BERNSTEIN & CO LLC Y NFA 07/31/2002 189,035,964 10,207,535 0 178,828,429 0 0

133 SAVANT USA LIMITED N NFA 07/31/2002 558,755 250,000 0 308,755 0 0

134 SENTINEL MANAGEMENT GROUP INC N NFA 07/31/2002 921,259 250,000 0 671,259 472,060,378 0

135 SG COWEN SECURITIES CORPORATION Y NFA 07/31/2002 765,555,063 1,940,988 0 763,614,075 0 0

136 SHATKIN ARBOR KARLOV & CO N CBOT 07/31/2002 6,173,234 373,703 100,493 5,799,531 9,878,826 173,485

137 SHAY GRAIN CLEARING COMPANY N KCBT 06/30/2002 729,475 250,000 0 479,475 0 0

138 SHEPARD INTERNATIONAL INC N NFA 07/31/2002 2,086,255 250,000 0 1,836,255 0 0

139 SHERWOOD FUTURES GROUP LLC N NFA 07/31/2002 898,570 250,000 0 648,570 8,045,615 0

140 SIEGEL TRADING CO INC THE N NFA 07/31/2002 524,714 250,000 0 274,714 1,482,664 0

141 SMW TRADING COMPANY INC N CME 07/31/2002 7,091,679 505,019 367,541 6,586,660 13,020,040 0

142 SPEAR LEEDS & KELLOG Y NYME 07/26/2002 1,081,600,752 30,739,220 3,972,077 1,050,861,532 196,007,784 87,164

143 STAFF USA INC N NFA 07/31/2002 338,949 250,000 88,949 0 0

144 STEPHENS INC Y NFA 07/26/2002 73,683,028 9,521,754 0 64,161,274 0 0

145 STERLING COMMODITIES CORP N NYME 07/31/2002 5,355,108 855,886 262,055 4,499,222 21,371,093 610,301

146 SWISS AMERICAN SECURITIES INC Y NFA 07/31/2002 68,478,381 4,285,127 0 64,193,254 0 0

147 TCA FUTURES LLC N NFA 07/31/2002 411,680 250,000 0 161,680 0 0
SELECTED FCM FINANCIAL DATA 

FROM REPORTS FILED BY 

August 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)

148 TENCO INC N CBOT 07/31/2002 25,811,368 1,403,735 1,929,807 23,881,561 49,975,803 0

149 TIMBER HILL LLC Y CME 07/31/2002 251,842,869 276,741 361,695 251,481,174 7,028,994 0

150 TOKYO GENERAL USA INC N NFA 07/31/2002 482,166 250,000 7,270 232,166 1,645,047 21,098

151 TOKYO-MITSUBISHI FUTURES USA INC N CME 07/31/2002 21,028,022 389,325 3,769,971 17,258,051 9,707,611 25,526

152 TRADELINK LLC Y CBOT 07/31/2002 14,754,756 250,000 677,254 14,077,502 0 0

153 TRANSMARKET GROUP LLC Y CBOT 07/31/2002 7,009,873 1,273,059 0 5,736,814 0 0

154 TRILAND USA INC N NYME 07/31/2002 19,348,061 696,022 609,080 18,652,039 17,402,447 0

155 UBS PAINEWEBBER INC Y CBOT 07/31/2002 1,239,385,993 201,679,747 14,882,528 1,037,706,246 696,149,880 73,458,448

156 UBS WARBURG LLC Y CBOT 07/31/2002 1,681,406,902 142,843,763 216,593,005 1,464,813,897 3,102,428,660 468,665,425

157 UFJ FUTURES LLC N CME 07/31/2002 15,034,852 250,000 1,626,846 13,408,006 0 0

158 UNIVERSAL FINANCIAL HOLDING CORP N NFA 07/31/2002 634,123 250,000 82,151 384,123 2,120,678 0

159 US BANCORP PIPER JAFFRAY INC Y NFA 07/31/2002 229,737,523 11,671,542 0 218,065,981 0 0

160 US SECURITIES & FUTURES CORP Y NFA 07/31/2002 389,398 250,000 0 139,398 0 0

161 VISION LIMITED PARTNERSHIP N NFA 07/31/2002 15,582,737 5,797,077 4,916,572 9,785,660 150,818,222 23,988

162 WACHOVIA SECURITIES INC Y CME 07/31/2002 395,617,120 2,500,508 0 393,116,612 0 0

163 WALL STREET DERIVATIVES INC N NFA 07/31/2002 394,328 250,000 0 144,328 0 0

164 WEISS PECK & GREER LLC Y NFA 07/26/2002 71,669,227 3,526,781 0 68,142,446 0 0

165 WHITE COMMERCIAL CORPORATION N NFA 07/31/2002 1,549,740 250,000 0 1,299,740 0 0

166 XPRESSTRADE LLC N NFA 07/31/2002 1,798,769 250,000 0 1,548,769 0 0

167 YORK BUSINESS ASSOCIATES LLC N NFA 07/31/2002 1,358,631 250,000 0 1,108,631 25,000 0

Totals 47,084,232,531 56,606,536,598 9,235,105,412

Name Changes

None
SELECTED FCM FINANCIAL DATA 

FROM REPORTS FILED BY 

August 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)

Reconcilation from July Web Page Update

July Web Page Update 168

Additions

1 Baxter Financial Services Ltd

Deletions

1 Benson-Quinn Commodities Inc

2 Fox Inc

August Web Page Update 167

(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. 

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

National Futures AssociationAssociation, 

was effective 10/31/00.