SELECTED FCM FINANCIAL DATA 

FROM REPORTS FILED BY 

June 30, 2002

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

Futures Commission Merchant Date Net Capital Requirement Requirement Net Capi

(4% of Seg, SEC Capital 

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

1 ABN AMRO INCORPORATED Y CBOT 05/31/2002 1,188,128,935 107,105,650 57,866,919 1,081,022 ABN AMRO SAGE CORPORATION Y NFA 05/31/2002 46,042,238 4,782,020 4,782,020 41,263 ADM INVESTOR SERVICES INC N CBOT 05/31/2002 70,247,132 11,881,814 12,430,898 57,814 ADVEST INC Y NFA 05/31/2002 39,810,215 1,000,000 0 38,815 AG EDWARDS & SONS INC Y CBOT 05/31/2002 596,970,316 48,473,521 2,212,967 548,496 AGE COMMODITY CLEARING CORP N CBOT 05/31/2002 10,992,770 1,281,224 2,922,307 8,077 AIG CLEARING CORPORATION N NYME 05/31/2002 120,115,321 250,000 6,217,184 113,898 ALARON TRADING CORPORATION N CME 05/31/2002 3,870,218 1,619,366 771,095 2,259 ALCO COMMODITIES INC N NFA 05/31/2002 460,278 250,000 0 21

10 AMERICAN NATIONAL TRADING CORP. N NFA 05/31/2002 641,463 379,527 0 2611 BANC OF AMERICA FUTURES INCORPORATED Y CME 05/31/2002 60,492,150 7,562,207 17,611,718 42,8812 BANC ONE CAPITAL MARKETS INC Y CBOT 05/31/2002 375,500,619 76,763,756 129,464,041 246,0313 BARCLAYS CAPITAL INC Y CBOT 05/31/2002 419,999,530 56,794,998 108,663,373 311,3314 BAXTER FINANCIAL SERVICES LTD N NFA 05/31/2002 42,884 250,000 0 -2015 BEAR STEARNS & CO INC Y NFA 05/31/2002 2,298,925,123 18,415,420 0 2,280,5016 BEAR STEARNS SECURITIES CORP Y CME 05/31/2002 2,517,039,386 679,902,548 96,461,352 1,837,1317 BENSON-QUINN COMMODITIES INC N NFA 05/31/2002 3,926,794 745,569 1,053,206 2,8718 BIELFELDT & COMPANY LLC N CBOT 05/31/2002 389,988 250,000 0 1319 BLAYLOCK AND PARTNERS LP Y NFA 05/31/2002 5,404,142 250,000 0 5,1520 BNP PARIBAS BROKERAGE SERVICES INC Y CME 05/31/2002 32,510,856 513,450 17,705,727 14,8021 BNP PARIBAS COMMODITY FUTURES INC N NYME 05/31/2002 48,411,672 10,243,207 9,925,336 38,1622 BNP PARIBAS SECURITIES CORP Y CBOT 05/31/2002 389,094,860 422,393 0 388,6723 BOSTON CABOT LLC N NFA 05/31/2002 285,389 250,000 0 324 C CZARNIKOW SUGAR FUTURES INC N NFA 05/31/2002 1,455,055 250,000 0 1,2025 CANTOR FITZGERALD & CO Y CBOT 05/31/2002 68,206,699 1,027,856 26,118 67,1726 CAPITAL MARKET SERVICES LLC N NFA 05/31/2002 376,657 250,000 0 1227 CARGILL INVESTOR SERVICES INC Y CBOT 05/31/2002 74,918,225 37,693,493 4,521,979 37,2228 CARR FUTURES INC Y CME 05/31/2002 176,563,822 87,209,322 117,716,619 58,8429 CDC SECURITIES Y NFA 05/31/2002 76,273,874 350,000 0 75,9230 CIBC WORLD MARKETS CORP Y NYME 05/31/2002 940,577,696 20,944,040 15,162,508 919,6331 CLIFDEN FUTURES LLC N NFA 05/31/2002 488,671 250,000 0 2332 COMMERZ FUTURES LLC Y CME 05/31/2002 8,266,484 1,827,251 244,436 6,4333 COUNTRY HEDGING INC N NFA 05/31/2002 3,475,821 655,151 1,304,026 2,1734 CREDIT LYONNAIS ROUSE USA LIMITED N NYME 05/31/2002 12,744,902 3,103,991 9,663,592 3,0835 CREDIT SUISSE FIRST BOSTON CORPORATION Y CBOT 05/31/2002 3,311,546,355 73,739,561 68,590,583 3,237,8036 CROSSLAND LLC N CBOT 05/31/2002 3,482,757 387,371 148,457 3,0937 CUNNINGHAM COMMODITIES INC N CBOT 05/31/2002 1,752,913 315,587 41,572 1,4338 DAIWA SECURITIES AMERICA INC Y CME 05/31/2002 229,355,803 4,923,106 3,929,892 224,4339 DEUTSCHE BANK FUTURES INC N CME 05/31/2002 144,126,648 34,291,374 125,264,080 18,8640 DEUTSCHE BANK SECURITIES INC Y CBOT 05/31/2002 768,485,607 70,702,413 40,583,320 697,7841 DIRECT TRADING GROUP LLC N NFA 05/31/2002 401,861 250,000 23,339 1542 DONALDSON LUFKIN & JENRETTE SEC CORP Y CBOT 05/31/2002 1,150,949,000 111,731,920 0 1,039,2143 DORMAN TRADING LLC N CME 05/31/2002 3,935,051 759,757 239,263 3,1744 DUNAVANT COMMODITY CORP N NYCE 03/31/2002 12,534,961 1,003,704 494,960 11,5345 E FUTURES. COM LLC N NFA 05/31/2002 1,358,114 522,573 0 8346 EAGLE MARKET MAKERS INC N CBOT 05/31/2002 1,731,232 250,000 23,157 1,4847 EM COMBS & SON N CBOT 05/31/2002 1,879,230 250,000 22,572 1,6248 FAHNESTOCK & CO INC Y NFA 05/31/2002 168,159,782 9,596,357 0 158,5649 FARR FINANCIAL INC N NFA 05/31/2002 661,957 401,107 137,374 26
SELECTED FCM FINANCIAL DATA 

FROM REPORTS FILED BY 

June 30, 2002

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

Futures Commission Merchant Date Net Capital Requirement Requirement Net Capi

(4% of Seg, SEC Capital 

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

50 FC STONE LLC N CME 05/31/2002 16,378,507 5,977,797 6,676,018 9,7051 FCT GROUP LLC N CME 05/31/2002 3,200,760 250,000 475,054 2,7252 FIMAT USA INC Y CME 05/31/2002 148,393,912 37,940,502 92,258,540 56,1353 FIRST OPTIONS OF CHICAGO INC Y CME 05/31/2002 183,742,291 4,578,436 20,448,839 163,2954 FOREX CAPITAL MARKETS LLC N NFA 05/31/2002 4,851,108 250,000 0 4,6055 FORTIS CLEARING CHICAGO LLC N CBOT 05/31/2002 6,435,796 1,257,995 530,364 5,1756 FOX INC N NFA 05/31/2002 415,483 250,000 0 1657 FRIEDBERG MERCANTILE GROUP INC Y NFA 05/31/2002 1,510,351 250,000 4,322 1,2658 FRONTIER FUTURES INC N NFA 05/31/2002 957,527 346,645 217,958 6159 FUTURES TECH LLC N NFA 05/31/2002 408,320 250,000 0 1560 FX SOLUTIONS LLC N NFA 05/31/2002 511,762 250,000 0 2661 GAIN CAPITAL N NFA 05/31/2002 1,197,841 250,000 0 9462 GELBER GROUP LLC N CBOT 05/31/2002 5,970,435 610,646 148,097 5,3563 GFS SECURITIES & FUTURES INC N NFA 05/31/2002 282,928 250,000 0 364 GILDER GAGNON HOWE AND CO LLC Y NFA 05/31/2002 22,781,051 250,000 0 22,5365 GLOBAL FUTURES & FOREX LTD N NFA 05/31/2002 2,727,216 250,000 0 2,4766 GNI INCORPORATED N CBOT 05/31/2002 12,718,691 6,556,393 8,177,869 4,5467 GOLDENBERG HEHMEYER & CO Y CBOT 05/31/2002 10,104,398 1,231,811 717,245 8,8768 GOLDMAN SACHS & CO Y CBOT 05/31/2002 3,831,986,523 664,557,585 341,685,340 3,167,4269 GREENWICH CAPITAL MARKETS INC Y CBOT 05/31/2002 761,246,639 12,659,711 28,252,127 732,9970 GRUNTAL & CO LLC Y NFA 05/31/2002 2,461,021 250,000 0 2,2171 HAGERTY GRAIN CO INC N CBOT 05/31/2002 1,558,223 288,294 68,848 1,2672 HORNBLOWER FISCHER & CO Y NFA 05/31/2002 1,498,476 503,465 293,846 9973 HOTSPOT FX INC N NFA 05/31/2002 929,756 250,000 0 6774 HSBC SECURITIES USA INC Y CME 05/31/2002 231,478,430 9,006,142 24,140,642 207,3375 INTEGRATED BROKERAGE SERVICES INC N NFA 05/31/2002 623,285 250,000 8,799 3776 INTERACTIVE BROKERS LLC Y NFA 05/31/2002 72,709,392 2,737,662 0 69,9777 IOWA GRAIN CO N CBOT 05/31/2002 7,472,872 3,517,724 2,514,064 3,9578 JP MORGAN FUTURES INC N NYME 05/31/2002 444,786,119 138,371,043 236,521,391 208,2679 JULIUS BAER SECURITIES INC Y NFA 05/31/2002 11,335,952 347,295 0 10,9880 KOTTKE ASSOCIATES LLC N CBOT 05/31/2002 4,999,536 355,629 118,307 4,6481 LADENBURG THALMANN & CO INC Y NFA 05/31/2002 5,908,320 1,000,000 0 4,9082 LAWRENCE-BONFITTO TRADING COMPANY N CBOT 05/31/2002 2,642,363 250,000 81,149 2,3983 LBS LIMITED PARTNERSHIP N CBOT 05/31/2002 357,395 250,000 0 1084 LEGG MASON WOOD WALKER INC Y NFA 05/31/2002 313,504,887 19,868,610 0 293,6385 LEHMAN BROTHERS INC Y CBOT 05/31/2002 1,964,287,000 102,041,100 104,532,040 1,859,7586 LINN GROUP ( THE ) N NFA 05/31/2002 497,161 250,000 0 2487 LINSCO/PRIVATE LEDGER CORP Y NFA 05/31/2002 93,335,643 4,074,926 0 89,2688 LOEB PARTNERS CORPORATION Y NFA 05/31/2002 14,511,944 250,000 0 14,2689 MACQUARIE FUTURES INC N CBOT 05/31/2002 1,021,930 250,000 53,492 7790 MAN FINANCIAL INC Y CME 05/31/2002 145,357,974 69,180,213 84,184,472 61,1791 MARQUETTE ELECTRONIC BROKERAGE LLC N NFA 05/31/2002 1,182,088 250,000 0 9392 MAXCOR FINANCIAL INC Y NFA 05/31/2002 22,137,855 250,000 0 21,8893 MBF CLEARING CORP N NYME 05/31/2002 5,935,779 2,240,859 604,988 3,6994 MCVEAN TRADING AND INVESTMENTS LLC N NFA 05/31/2002 7,355,348 2,739,245 647,870 4,6195 MERRILL LYNCH PIERCE FENNER & SMITH Y CBOT 05/31/2002 2,725,659,553 333,321,975 196,077,156 2,392,3396 MERRILL LYNCH PROFESSIONAL CLEARING COR Y NFA 05/31/2002 1,044,638,466 26,893,708 52,883,670 991,7597 MID-CO COMMODITIES INC N NFA 05/31/2002 3,430,621 250,000 411,657 3,0198 MIDLAND EURO INC N NFA 05/31/2002 323,615 250,000 0 7
SELECTED FCM FINANCIAL DATA 

FROM REPORTS FILED BY 

June 30, 2002

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

Futures Commission Merchant Date Net Capital Requirement Requirement Net Capi

(4% of Seg, SEC Capital 

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

99 MITSUI & CO INVESTMENT PRODUTS CORP N NFA 05/31/2002 2,747,123 250,000 2,448 2,49

100 MIZUHO SECURITIES USA INC Y CME 05/31/2002 254,758,538 11,775,658 14,905,989 239,85101 MONEY GARDEN CORP N NFA 05/31/2002 2,618,212 250,000 0 2,36102 MORGAN KEEGAN & COMPANY INC Y NFA 05/31/2002 162,208,449 10,078,787 0 152,12103 MORGAN STANLEY & CO INCORPORATED Y CME 05/31/2002 5,116,772,518 630,980,858 157,161,912 4,485,79104 MORGAN STANLEY DW INC Y CBOT 05/31/2002 1,275,216,513 123,849,274 1,921,378 1,151,36105 NATIONAL COMMODITIES CORPORATION INC N NFA 05/31/2002 1,655,428 250,000 0 1,40106 NEUBERGER BERMAN LLC Y NFA 05/31/2002 203,215,327 14,462,316 466,245 188,75107 NIKKO SECURITIES CO INTERNATIONAL INC Y NFA 05/31/2002 8,867,808 250,000 0 8,61108 NOMURA SECURITIES INTERNATIONAL INC Y CBOT 05/31/2002 623,794,390 1,683,314 1,001,489 622,11109 NOYES DAVID A & CO Y NFA 05/31/2002 1,633,915 250,000 0 1,38110 OCONNOR & COMPANY LLC Y CBOT 05/31/2002 35,169,500 2,003,113 1,831,291 33,16111 PACKERS TRADING CO INC N NFA 05/31/2002 1,152,286 250,000 186,339 90112 PATTERSON CAPITAL MARKETS LTD N CBOT 05/31/2002 496,894 250,000 0 24113 PAX CLEARING CORPORATION Y CME 05/31/2002 59,131,233 1,465,222 1,696,616 57,43114 PENSON FINANCIAL FUTURES INC N NFA 05/31/2002 437,818 250,000 2,088 18115 PEREGRINE FINANCIAL GROUP INC N NFA 05/31/2002 6,696,788 3,175,457 1,645,504 3,52116 PIONEER CAPITAL CORP Y NFA 05/31/2002 2,057,709 250,000 0 1,80117 PIONEER FUTURES INC N NYME 05/31/2002 6,704,379 2,608,948 1,634,463 4,09118 PREFERRED TRADE INC Y NFA 05/31/2002 8,739,519 751,060 0 7,98119 PRUDENTIAL SECURITIES INCORPORATED Y CBOT 05/31/2002 782,819,000 86,824,520 72,098,960 695,99120 QTECH DERIVATIVES INC N NFA 05/31/2002 499,202 250,000 0 24121 RAND FINANCIAL SERVICES INC N CME 05/31/2002 11,942,177 5,432,770 8,305,830 3,63122 RAYMOND JAMES & ASSOCIATES INC Y NFA 05/31/2002 333,256,858 23,158,690 26,969 310,09123 RB&H FINANCIAL SERVICES LP N CME 05/31/2002 3,718,179 2,008,894 985,074 1,70124 RBC DAIN RAUSCHER INC Y NFA 05/31/2002 176,629,269 29,318,236 0 147,31125 RBC DOMINION SECURITIES CORPORATION Y CME 05/31/2002 93,657,570 1,000,000 1,802,984 91,85126 REFCO LLC N CME 05/31/2002 152,274,569 98,356,807 79,840,031 53,91127 RJ OBRIEN ASSOCIATES INC N CME 05/31/2002 23,997,557 12,561,553 10,511,266 11,43128 ROBBINS FUTURES INC N NFA 05/31/2002 461,859 250,000 46,916 21129 ROBERTSON STEPHENS INC Y CME 05/31/2002 497,178,931 4,099,245 0 493,07130 ROSENTHAL COLLINS GROUP LLC N CME 05/31/2002 43,000,120 7,961,729 4,855,647 35,03131 ROSENTHAL GLOBAL SECURITIES L L C Y CBOT 05/31/2002 8,419,198 701,406 0 7,71132 ROTHSCHILD INC Y NYME 04/30/2002 15,099,628 250,000 0 14,84133 SALOMON SMITH BARNEY INC Y CBOT 05/31/2002 3,470,558,745 404,406,318 157,158,950 3,066,15134 SANFORD C BERNSTEIN & CO LLC Y NFA 05/31/2002 249,102,168 11,119,037 0 237,98135 SAVANT USA LIMITED N NFA 05/31/2002 558,550 250,000 0 30136 SG COWEN SECURITIES CORPORATION Y NFA 05/31/2002 601,792,470 1,500,000 0 600,29137 SENTINEL MANAGEMENT GROUP INC N NFA 05/31/2002 871,690 250,000 0 62139 SHATKIN ARBOR KARLOV & CO N CBOT 05/31/2002 5,638,123 298,235 123,975 5,33138 SHAY GRAIN CLEARING COMPANY N KCBT 03/31/2002 726,938 250,000 2,292 47140 SHEPARD INTERNATIONAL INC N NFA 05/31/2002 2,410,547 250,000 0 2,16141 SHERWOOD FUTURES GROUP LLC N NFA 05/31/2002 1,087,389 250,000 0 83142 SIEGEL TRADING CO INC THE N NFA 05/31/2002 495,987 250,000 0 24143 SMW TRADING COMPANY INC N CME 05/31/2002 6,026,577 424,463 396,780 5,60144 SPEAR LEEDS & KELLOG Y NYME 05/31/2002 821,476,969 42,230,805 8,501,170 779,24145 STAFF USA INC N NFA 05/31/2002 338,197 250,000 0 8146 STEPHENS INC Y NFA 05/31/2002 67,537,138 9,280,927 0 58,25147 STERLING COMMODITIES CORP N NYME 05/31/2002 5,247,916 852,907 300,989 4,39
SELECTED FCM FINANCIAL DATA 

FROM REPORTS FILED BY 

June 30, 2002

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

Futures Commission Merchant Date Net Capital Requirement Requirement Net Capi

(4% of Seg, SEC Capital 

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

148 SWISS AMERICAN SECURITIES INC Y NFA 05/31/2002 69,090,367 10,388,412 0 58,70149 TCA FUTURES LLC N NFA 05/31/2002 418,727 250,000 0 16150 TENCO INC N CBOT 05/31/2002 25,874,624 1,238,434 1,394,448 24,48151 TIMBER HILL LLC Y CME 05/31/2002 320,809,572 370,060 216,381 320,43152 TOKYO GENERAL USA INC N NFA 05/31/2002 479,984 250,000 3,177 22153 TOKYO-MITSUBISHI FUTURES USA INC N CME 05/31/2002 18,795,618 416,429 4,887,810 13,90154 TRADELINK LLC Y CBOT 05/31/2002 16,173,340 250,000 372,390 15,80155 TRANSMARKET GROUP LLC Y CBOT 05/31/2002 6,951,510 952,840 0 5,99156 TRILAND USA INC N NYME 05/31/2002 19,537,698 542,142 478,989 18,99157 UBS PAINEWEBBER INC Y CBOT 05/31/2002 1,584,293,080 220,553,415 14,710,791 1,363,73158 UBS WARBURG LLC Y CBOT 05/31/2002 1,559,004,039 123,464,711 181,745,350 1,377,25159 UFJ FUTURES LLC N CME 05/31/2002 14,594,862 250,000 1,582,524 13,01160 UNIVERSAL FINANCIAL HOLDING CORP N NFA 05/31/2002 589,721 250,000 108,250 33161 US BANCORP PIPER JAFFRAY INC Y NFA 05/31/2002 222,551,074 11,580,983 0 210,97162 US SECURITIES & FUTURES CORP Y NFA 05/31/2002 541,492 250,000 0 29163 VISION LIMITED PARTNERSHIP N NFA 05/31/2002 12,890,161 6,350,867 453,964 6,53164 WACHOVIA SECURITIES INC Y CME 05/31/2002 255,234,603 2,397,990 0 252,83165 WALL STREET DERIVATIVES INC N NFA 05/31/2002 401,144 250,000 0 15166 WEISS PECK & GREER LLC Y NFA 05/31/2002 84,591,346 4,408,040 0 80,18167 WHITE COMMERCIAL CORPORATION N NFA 05/31/2002 1,468,408 250,000 0 1,21168 XPRESSTRADE LLC N NFA 05/31/2002 1,449,458 250,000 0 1,19

Total 46,907,412,695 

Name Changes from May 2002 UpdateFirst Union Securities Inc to Wachovia Sec IncReconcilation from May Web Page UpdateMay Web Page Update 168Additions1. Baxter Financial Servies Ltd2. Staff USA IncDeletions1. First Union Securities Inc2. Kokusai America IncorporatedJune Web Page Update 168(a): B/D? : A 'Y' means the FCM is also registered (d): Excess net capital is adjusted net capital, (f): This represents the amount of funds an FCM with the Securities and Exchange Commission less the greater of the net capital requirement or risk- is required to set aside for customers who trade 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 sum total (e): This represents the total amount of funds that Note: Any errors in this table should be brought of 8% of customer, and 4% of non-customer an FCM is required to segregate on behalf of to the attention of the CFTC's Division of Trading risk margin for domestic and foreign futures accounts customers who are trading on commodity and Markets via e-mail: 
SELECTED FCM FINANCIAL DATA 

FROM REPORTS FILED BY 

June 30, 2002

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

Futures Commission Merchant Date Net Capital Requirement Requirement Net Capi

(4% of Seg, SEC Capital 

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

(excluding proprietary accounts). The risk based exchanges located in the United States. fzimmerle@cftc.gov or minimum requirement applies to all FCMs which are This is the sum of all accounts that contain sgreska@cftc.gov. a member of the National Futures Association, and was a net liquidating equity.effective 10/31/00.