SELECTED FCM FINANCIAL DATA 

FROM REPORTS FILED BY 

December 31, 2002

1 of 4

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 11/30/2002 1,169,382,495 134,222,570 79,791,752 1,035,159,925 1,419,514,824 51,584,448

2 ABN AMRO SAGE CORPORATION Y NFA 11/30/2002 57,719,348 4,017,952 4,017,952 53,701,396 66,378,312 0

3 ADM INVESTOR SERVICES INC N CBOT 11/30/2002 67,871,394 15,381,028 17,445,661 50,425,733 408,431,487 9,840,894

4 ADVEST INC Y NFA 11/30/2002 13,829,540 1,000,000 0 12,829,540 0 0

5 AG EDWARDS & SONS INC Y CBOT 11/30/2002 581,146,469 42,276,527 2,370,846 538,869,942 66,691,994 43,105

6 AGE COMMODITY CLEARING CORP N CBOT 11/30/2002 13,676,203 1,460,680 2,302,623 11,373,580 44,083,452 0

7 AIG CLEARING CORPORATION N NYME 11/30/2002 120,577,105 250,000 4,738,244 115,838,861 0 0

8 ALARON TRADING CORPORATION N CME 11/30/2002 3,066,147 1,797,344 942,266 1,268,803 49,539,192 110,825

9 ALCO COMMODITIES INC N NFA 11/30/2002 461,757 250,000 0 211,757 0 0

10 AMERICAN NATIONAL TRADING CORP N NFA 11/30/2002 965,799 362,352 239,437 603,447 10,830,730 0

11 BANC OF AMERICA FUTURES INCORPORATED Y CME 11/30/2002 64,179,973 7,973,502 23,799,610 40,380,363 199,115,622 221,924

12 BANC ONE CAPITAL MARKETS INC Y CBOT 11/30/2002 307,953,342 4,515,101 8,746,164 299,207,178 239,292,276 8,901,396

13 BARCLAYS CAPITAL INC Y CBOT 11/29/2002 339,048,678 51,678,917 93,819,025 245,229,653 1,274,601,414 55,319,275

14 BEAR STEARNS & CO INC Y CBOT 10/31/2002 1,462,600,741 38,447,045 0 1,424,153,696 0 0

15 BEAR STEARNS SECURITIES CORP Y CME 10/31/2002 2,232,111,649 709,420,212 87,701,288 1,522,691,437 1,503,613,959 161,415,336

16 BIELFELDT & COMPANY LLC N CBOT 11/30/2002 416,367 250,000 0 166,367 0 0

17 BNP PARIBAS BROKERAGE SERVICES INC Y CME 11/30/2002 12,772,577 3,085,643 11,431,302 1,341,275 77,141,070 0

18 BNP PARIBAS COMMODITY FUTURES INC N NYME 11/30/2002 51,064,321 9,911,837 12,635,436 38,428,885 267,204,522 13,851,866

19 BNP PARIBAS SECURITIES CORP Y CBOT 11/30/2002 283,627,654 288,383 0 283,339,271 0 0

20 BNY CLEARING SERVICES LLC Y CFTC 10/31/2002 82,683,248 14,506,194 0 68,177,054 0 0

21 BOSTON CABOT LLC Y NFA 11/30/2002 528,714 250,000 0 278,714 0 0

22 C CZARNIKOW SUGAR FUTURES INC N NFA 11/30/2002 1,564,019 250,000 0 1,314,019 2,260,165 0

23 CANTOR FITZGERALD & CO Y CBOT 11/30/2002 35,231,866 1,715,972 51 33,515,894 209,379 0

24 CAPITAL MARKET SERVICES LLC N NFA 11/30/2002 623,801 250,000 0 373,801 0 0

25 CARGILL INVESTOR SERVICES INC N CBOT 11/30/2002 55,927,036 37,263,553 44,737,351 11,189,685 937,180,775 64,853,640

26 CARR FUTURES INC Y CME 11/30/2002 184,643,838 93,379,591 115,310,333 69,333,505 2,270,526,300 1,211,788,162

27 CDC SECURITIES Y NFA 11/30/2002 77,192,670 250,000 0 76,942,670 0 0

28 CIBC WORLD MARKETS CORP Y NYME 11/30/2002 895,083,671 23,906,202 12,056,741 871,177,469 4,924,533 0

29 CLIFDEN FUTURES LLC N NFA 11/30/2002 432,298 250,000 0 182,298 479,742 0

30 COES FX CLEARING INC N NFA 11/29/2002 490,452 250,000 0 240,452 0 0

31 COMMERZ FUTURES LLC Y CME 11/30/2002 8,208,815 2,693,683 4,079,653 4,129,162 70,490,249 3,043,882

32 COUNTRY HEDGING INC N NFA 11/30/2002 7,375,686 1,220,675 3,113,299 4,262,387 37,267,064 73,626

33 CREDIT LYONNAIS ROUSE USA LIMITED N NYME 11/30/2002 22,422,346 3,741,334 17,129,948 5,292,398 162,664,234 745,781

34 CREDIT SUISSE FIRST BOSTON CORPORATION Y CBOT 11/30/2002 2,917,642,369 62,327,398 59,536,355 2,855,314,971 1,031,045,359 225,743,284

35 CROSSLAND LLC N CBOT 11/29/2002 3,710,304 261,798 68,975 3,448,506 6,662,657 0

36 CUNNINGHAM COMMODITIES INC N CBOT 11/30/2002 1,780,652 250,000 146,125 1,530,652 5,503,653 79,282

37 DAIWA SECURITIES AMERICA INC Y CME 11/30/2002 96,831,115 4,021,455 6,341,490 90,489,625 99,095,342 1,441,025

38 DAVID A NOYES & CO Y NFA 11/30/2002 1,740,079 250,000 0 1,490,079 0 0

39 DEUTSCHE BANK SECURITIES INC Y CBOT 11/30/2002 878,085,487 90,003,501 128,046,680 750,038,807 1,214,069,144 205,405,367

40 DIRECT TRADING GROUP LLC N NFA 11/30/2002 1,889,383 250,000 29,206 1,639,383 4,054,939 0

41 DONALDSON LUFKIN & JENRETTE SEC CORP Y CBOT 11/30/2002 1,226,147,000 94,335,280 0 1,131,811,720 0 0

42 DORMAN TRADING LLC N CME 11/30/2002 5,615,807 673,254 141,368 4,942,553 16,918,422 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 11/30/2002 1,970,113 250,000 21,520 1,720,113 1,898,560 34,063

45 ED &F MAN COMMODITY ADVISORS INC N NFA 11/30/2002 383,033 250,000 0 133,033 0 0

46 EM COMBS & SON N CBOT 11/30/2002 1,912,882 250,000 21,102 1,662,882 2,713,034 0

47 FAHNESTOCK & CO INC Y NFA 11/30/2002 158,939,621 7,832,254 0 151,107,367 631,553 0

48 FARR FINANCIAL INC N NFA 11/30/2002 858,659 459,466 172,766 399,193 11,784,340 58,527

49 FC STONE LLC N CME 11/30/2002 17,709,368 8,996,004 11,010,716 6,698,652 266,864,881 767,707

50 FCT GROUP LLC N CME 11/30/2002 3,171,759 250,000 447,999 2,723,760 5,778,565 0
SELECTED FCM FINANCIAL DATA 

FROM REPORTS FILED BY 

December 31, 2002

2 of 4

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 FIMAT USA INC Y CME 11/30/2002 186,650,385 59,024,969 100,175,347 86,475,038 2,440,363,713 299,105,751

52 FIRST CAPITOL GROUP LLC N NFA 11/30/2002 1,710,760 805,492 564,081 905,268 23,249,544 6,084

53 FIRST OPTIONS OF CHICAGO INC Y CME 11/29/2002 201,341,208 10,192,244 30,446,005 170,895,203 518,868,032 11,570,785

54 FOREX CAPITAL MARKETS LLC N NFA 11/30/2002 9,042,148 250,000 0 8,792,148 0 0

55 FORTIS CLEARING CHICAGO LLC N CBOT 11/30/2002 6,601,397 1,287,326 920,873 5,314,071 34,481,507 1,894,718

56 FRIEDBERG MERCANTILE GROUP INC Y NFA 11/30/2002 1,634,024 250,000 71,652 1,384,024 5,331,764 0

57 FRONTIER FUTURES INC N NFA 11/30/2002 1,316,538 443,267 392,310 873,271 13,868,936 0

58 FUTURES TECH LLC N NFA 11/30/2002 402,051 250,000 0 152,051 0 0

59 FX SOLUTIONS LLC N NFA 11/30/2002 262,286 250,000 0 12,286 0 0

60 G7 CAPITAL MARKETS LP N NFA 11/30/2002 1,244,460 250,000 0 994,460 0 0

61 GAIN CAPITAL N NFA 11/30/2002 2,254,113 250,000 0 2,004,113 0 0

62 GELBER GROUP LLC N CBOT 11/30/2002 12,348,809 635,480 104,383 11,713,329 16,504,837 77,298

63 GFS SECURITIES & FUTURES INC N NFA 11/30/2002 277,082 250,000 0 27,082 0 0

64 GILDER GAGNON HOWE AND CO LLC Y NFA 11/30/2002 31,167,444 250,000 0 30,917,444 0 0

65 GLOBAL FUTURES & FOREX LTD N NFA 11/30/2002 3,463,669 250,000 0 3,213,669 0 0

66 GNI INCORPORATED N CBOT 11/30/2002 12,692,952 5,848,049 5,786,307 6,844,903 138,129,577 9,382,689

67 GOLDENBERG HEHMEYER & CO Y CBOT 11/30/2002 13,327,109 1,563,997 1,546,785 11,763,112 56,211,644 3,300,094

68 GOLDMAN SACHS & CO Y CBOT 10/25/2002 4,133,601,841 655,420,841 423,476,415 3,478,181,000 7,821,364,953 3,383,063,652

69 GREENWICH CAPITAL MARKETS INC Y CBOT 11/30/2002 849,463,000 17,803,000 15,131,160 831,660,000 150,457,000 552,000

70 HAGERTY GRAIN CO INC N CBOT 11/30/2002 1,669,701 250,000 57,425 1,419,701 5,179,855 0

71 HORNBLOWER FISCHER & CO Y NFA 11/30/2002 1,986,890 252,351 187,047 1,734,539 5,807,466 0

72 HOTSPOT FX INC N NFA 11/30/2002 3,672,969 250,000 0 3,422,969 0 0

73 HSBC SECURITIES USA INC Y CME 11/30/2002 270,820,786 14,302,504 25,042,777 245,778,009 245,634,562 26,069,105

74 INTEGRATED BROKERAGE SERVICES INC N NFA 11/30/2002 622,688 250,000 0 372,688 649,493 0

75 INTERACTIVE BROKERS LLC Y NFA 11/30/2002 79,627,208 1,747,899 574,125 77,879,309 6,602,310 2,081,856

76 INVESTEC ERNST & COMPANY N NFA 11/30/2002 33,535,592 1,500,000 0 32,035,592 0 0

77 IOWA GRAIN CO N CBOT 11/30/2002 7,698,833 3,669,112 3,349,490 4,029,721 95,338,463 4,886

78 JP MORGAN FUTURES INC N NYME 11/30/2002 436,194,574 176,639,575 269,532,366 166,662,208 4,420,274,622 578,311,156

79 JULIUS BAER SECURITIES INC Y NFA 11/30/2002 11,584,566 1,469,886 0 10,114,680 0 0

80 KOTTKE ASSOCIATES LLC N CBOT 11/30/2002 9,735,812 475,568 169,363 9,260,244 15,956,907 3,605

81 LADENBURG THALMANN & CO INC Y NFA 11/30/2002 3,982,149 1,000,000 0 2,982,149 0 0

82 LAWRENCE-BONFITTO TRADING COMPANY N CBOT 11/30/2002 2,563,578 250,000 42,398 2,313,578 5,509,691 0

83 LBS LIMITED PARTNERSHIP N CBOT 11/30/2002 437,233 250,000 0 187,233 0 0

84 LEADER INVESTMENTS INC Y NFA 11/30/2002 788,504 250,000 0 538,504 0 0

85 LEGG MASON WOOD WALKER INC Y NFA 11/30/2002 346,807,637 20,443,734 0 326,363,903 0 0

86 LEHMAN BROTHERS INC Y CBOT 10/31/2002 1,607,368,000 150,497,880 139,303,720 1,456,870,120 1,496,159,000 26,517,000

87 LINN GROUP ( THE ) N NFA 11/30/2002 529,134 250,000 0 279,134 0 0

88 LINSCO/PRIVATE LEDGER CORP Y NFA 11/30/2002 94,697,147 3,574,351 0 91,122,796 0 0

89 LOEB PARTNERS CORPORATION Y NFA 11/30/2002 25,399,829 250,000 0 25,149,829 0 0

90 MAN FINANCIAL INC Y CME 11/30/2002 170,888,221 88,399,395 83,369,435 82,488,826 1,995,956,957 338,549,245

91 MARQUETTE ELECTRONIC BROKERAGE LLC N NFA 11/30/2002 2,898,932 250,000 0 2,648,932 0 0

92 MAXCOR FINANCIAL INC Y NFA 11/30/2002 23,019,822 250,000 0 22,769,822 0 0

93 MBF CLEARING CORP N NYME 11/30/2002 6,439,931 2,325,478 560,153 4,114,453 57,719,286 744,844

94 MCVEAN TRADING AND INVESTMENTS LLC N NFA 11/30/2002 7,342,874 4,695,447 877,142 2,647,427 119,926,955 0

95 MERRILL LYNCH PIERCE FENNER & SMITH Y CBOT 11/29/2002 2,560,327,932 335,189,202 201,917,787 2,225,138,730 4,694,711,967 343,927,482

96 MERRILL LYNCH PROFESSIONAL CLEARING CORP Y NFA 11/29/2002 946,006,544 20,699,026 43,299,393 902,707,151 564,414,445 0

97 MID-CO COMMODITIES INC N NFA 11/30/2002 3,557,846 631,919 930,250 2,627,596 16,482,965 0

98 MITSUI & CO INVESTMENT PRODUTS CORP N NFA 11/29/2002 2,531,089 250,000 12,040 2,281,089 870,129 0

99 MIZUHO SECURITIES USA INC Y CME 11/30/2002 178,200,945 11,032,912 18,518,799 159,682,146 286,907,509 30,646,081

100 MONEY GARDEN CORP N NFA 11/30/2002 3,421,501 250,000 0 3,171,501 0 0
SELECTED FCM FINANCIAL DATA 

FROM REPORTS FILED BY 

December 31, 2002

3 of 4

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 KEEGAN & COMPANY INC Y NFA 11/30/2002 151,914,376 9,652,403 0 142,261,973 0 0

102 MORGAN STANLEY & CO INCORPORATED Y CME 11/30/2002 4,995,920,738 568,154,466 151,787,436 4,427,766,272 2,796,466,290 962,045,085

103 MORGAN STANLEY DW INC Y CBOT 11/30/2002 1,319,673,664 100,768,096 2,393,903 1,218,905,568 597,575,088 1,004,265,768

104 NATIONAL COMMODITIES CORPORATION INC N NFA 11/29/2002 1,736,574 250,000 186,037 1,486,574 10,296,771 0

105 NEUBERGER BERMAN LLC Y NFA 11/30/2002 249,754,570 17,841,556 620,440 231,913,014 16,135,648 0

106 NEXUS TRADING LLC N NFA 11/30/2002 264,613 250,000 0 14,613 0 0

107 NIKKO SECURITIES CO INTERNATIONAL INC Y NFA 11/30/2002 8,370,714 250,000 0 8,120,714 0 0

108 NOMURA SECURITIES INTERNATIONAL INC Y CBOT 11/30/2002 503,012,555 7,606,379 1,122,374 495,406,176 16,223,755 0

109 OCONNOR & COMPANY LLC Y CBOT 11/30/2002 36,142,417 2,546,164 2,009,993 33,596,253 65,987,190 0

110 PACKERS TRADING CO INC N NFA 11/30/2002 3,945,229 250,000 282,447 3,662,782 5,765,829 0

111 PATTERSON CAPITAL MARKETS LTD N CBOT 11/30/2002 443,118 250,000 0 193,118 0 0

112 PAX CLEARING CORPORATION Y CME 11/30/2002 38,898,742 2,273,309 1,671,722 36,625,433 59,526,304 0

113 PENSON FINANCIAL FUTURES INC N NFA 11/30/2002 475,855 250,000 2,988 225,855 151,165 0

114 PEREGRINE FINANCIAL GROUP INC N NFA 11/30/2002 10,179,767 3,519,516 1,592,968 6,660,251 89,858,778 703,193

115 PIONEER FUTURES INC N NYME 11/30/2002 5,821,083 2,767,958 1,307,157 3,053,125 77,299,177 615,155

116 PREFERRED TRADE INC Y NFA 11/30/2002 10,062,305 715,917 0 9,346,388 0 0

117 PRUDENTIAL SECURITIES INCORPORATED Y CBOT 11/29/2002 653,265,000 71,401,780 47,106,960 581,863,220 983,395,000 62,712,000

118 RAND FINANCIAL SERVICES INC N CME 11/30/2002 13,622,587 5,637,318 11,264,302 2,358,285 142,556,000 11,854,500

119 RAYMOND JAMES & ASSOCIATES INC Y NFA 11/29/2002 286,418,280 21,298,898 42,762 265,119,382 0 0

120 RB&H FINANCIAL SERVICES LP N CME 11/30/2002 2,950,352 1,805,239 970,535 1,145,113 48,765,902 220,089

121 RBC DAIN RAUSCHER INC Y NFA 11/30/2002 240,604,755 26,839,500 0 213,765,255 0 0

122 RBC DOMINION SECURITIES CORPORATION Y CME 11/30/2002 90,608,700 1,000,000 1,221,756 89,386,944 0 0

123 REDSKY SECURITIES INC N NFA 11/30/2002 571,615 250,000 0 321,615 0 0

124 REFCO LLC N CME 11/30/2002 173,465,466 106,541,062 102,786,377 66,924,404 2,998,277,218 40,504,284

125 RJ OBRIEN ASSOCIATES INC N CME 11/29/2002 33,363,269 15,125,417 14,913,922 18,237,852 397,891,149 5,954,442

126 ROBBINS FUTURES INC N NFA 11/30/2002 413,470 250,000 71,388 163,470 6,233,895 0

127 ROSENTHAL COLLINS GROUP LLC N CME 11/30/2002 52,115,963 10,333,913 7,462,591 41,782,050 279,352,160 478,334

128 ROSENTHAL GLOBAL SECURITIES LLC Y CBOT 11/30/2002 13,319,246 1,353,779 0 11,965,467 0 0

129 ROTHSCHILD INC N NYME 11/30/2002 22,626,422 250,000 0 22,376,422 0 0

130 SALOMON SMITH BARNEY INC Y CBOT 11/30/2002 3,048,203,468 380,684,155 172,905,888 2,667,519,313 4,888,492,213 84,017,296

131 SANFORD C BERNSTEIN & CO LLC Y NFA 11/30/2002 156,133,147 11,418,185 0 144,714,962 0 0

132 SENTINEL MANAGEMENT GROUP INC N NFA 11/30/2002 1,056,342 250,000 0 806,342 448,559,654 0

133 SG COWEN SECURITIES CORPORATION Y NFA 11/30/2002 756,426,482 1,803,995 0 754,622,487 0 0

134 SHATKIN ARBOR KARLOV & CO N CBOT 11/30/2002 6,172,320 431,223 87,553 5,741,097 11,002,019 192,929

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 11/30/2002 2,201,564 250,000 0 1,951,564 0 0

137 SHERWOOD FUTURES GROUP LLC N NFA 11/30/2002 604,837 250,000 0 354,837 8,359,023 0

138 SIEGEL TRADING CO INC THE N NFA 11/30/2002 417,355 250,000 0 167,355 1,232,913 0

139 SMW TRADING COMPANY INC N CME 11/29/2002 7,098,933 578,942 333,172 6,519,991 14,473,558 0

140 SPEAR LEEDS & KELLOG Y NYME 10/25/2002 1,334,834,009 43,303,878 3,700,582 1,291,530,131 172,698,336 67,250

141 STAFF USA INC N NFA 11/30/2002 340,594 250,000 0 90,594 0 0

142 STEPHENS INC Y NFA 11/29/2002 63,627,699 11,134,055 0 52,493,644 0 0

143 STERLING COMMODITIES CORP N NYME 11/30/2002 5,551,117 863,779 191,103 4,687,338 21,455,425 641,880

144 SWISS AMERICAN SECURITIES INC Y NFA 11/30/2002 54,174,783 4,146,999 0 50,027,784 0 0

145 TCA FUTURES LLC N NFA 11/30/2002 411,652 250,000 0 161,652 0 0

146 TENCO INC N CBOT 11/30/2002 27,370,993 1,808,382 2,225,329 25,145,664 46,927,214 0

147 TIMBER HILL LLC Y CME 11/30/2002 375,054,012 1,000,000 590,007 374,054,012 10,826,938 0

148 TOKYO GENERAL USA INC N NFA 11/30/2002 473,857 250,000 4,598 223,857 1,155,006 0

149 TOKYO-MITSUBISHI FUTURES USA INC N CME 11/30/2002 18,895,614 250,000 4,459,616 14,435,998 5,285,173 0

150 TRADELINK LLC Y CBOT 11/30/2002 35,948,443 250,000 384,728 35,563,715 0 0
SELECTED FCM FINANCIAL DATA 

FROM REPORTS FILED BY 

December 31, 2002

4 of 4

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 11/30/2002 9,771,820 1,102,444 0 8,669,376 0 0

152 TRILAND USA INC N NYME 11/30/2002 19,241,615 672,908 463,343 18,568,707 16,843,430 0

153 UBS PAINEWEBBER INC Y CBOT 11/30/2002 1,502,957,832 209,405,144 15,845,109 1,293,552,688 807,903,436 20,956,230

154 UBS WARBURG LLC Y CBOT 11/30/2002 1,999,104,990 148,688,899 175,085,706 1,824,019,284 2,766,687,670 626,343,300

155 UFJ FUTURES LLC N CME 11/30/2002 16,631,976 250,000 1,295,523 15,336,453 0 0

156 UNIVERSAL FINANCIAL HOLDING CORP N NFA 11/29/2002 611,235 250,000 116,873 361,235 2,749,276 0

157 US BANCORP PIPER JAFFRAY INC Y NFA 11/30/2002 271,850,460 9,138,555 0 262,711,905 0 0

158 US SECURITIES & FUTURES CORP Y NFA 11/30/2002 352,997 250,000 0 102,997 0 0

159 VELOCITY FUTURES LP N NFA 11/30/2002 438,440 250,000 0 188,440 0 0

160 VISION LIMITED PARTNERSHIP N NFA 11/30/2002 12,706,136 5,361,192 4,109,473 7,344,944 138,255,983 35,709

161 WACHOVIA SECURITIES INC Y CME 11/30/2002 522,156,563 1,000,000 0 521,156,563 0 0

162 WALL STREET DERIVATIVES INC N NFA 11/30/2002 382,710 250,000 0 132,710 0 0

163 WEISS PECK & GREER LLC Y NFA 11/29/2002 81,987,803 4,235,018 0 77,752,785 0 0

164 WHITE COMMERCIAL CORPORATION N NFA 11/30/2002 1,751,226 250,000 0 1,501,226 0 0

165 XPRESSTRADE LLC N NFA 11/30/2002 2,064,566 250,000 0 1,814,566 0 0

166 YORK BUSINESS ASSOCIATES LLC N NFA 11/30/2002 1,745,636 250,000 0 1,495,636 22,836 0

Totals 45,063,841,041 55,016,148,023 9,892,739,190

Name Changes from October 2002 Update

None

Reconcilation from October Web Page Update

October Web Page Update 164

Additions

1. REDSKYSECURITIES INC

2. G7 Capital Markets LP

Deletions

None

November 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. 

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

National Futures AssociationAssociation, 

was effective 10/31/00.