SELECTED FCM FINANCIAL DATA 

FROM REPORTS FILED BY 

September 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 08/31/2003 1,231,853,492 151,964,426 91,026,816 1,079,889,066 1,607,072,677 131,762,838

2 ABN AMRO SAGE CORPORATION Y NFA 08/31/2003 21,132,706 1,519,136 1,440,972 19,613,570 52,632,466 0

3 ADM INVESTOR SERVICES INC N CBOT 08/31/2003 71,662,948 18,598,329 15,011,291 53,064,619 472,124,949 16,615,622

4 ADVANTAGE FUTURES LLC N CME 08/31/2003 5,522,408 2,207,088 1,073,556 3,315,320 47,564,820 13,776,725

5 ADVEST INC Y NFA 08/31/2003 53,124,141 1,000,000 0 52,124,141 0 0

6 AG EDWARDS & SONS INC Y CBOT 08/31/2003 574,080,841 43,487,090 3,135,473 530,593,751 82,967,756 23,851

7 AGE COMMODITY CLEARING CORP N CBOT 08/31/2003 13,590,597 2,041,253 3,077,856 10,512,741 64,524,398 0

8 AIG CLEARING CORPORATION N NYME 08/31/2003 181,144,475 250,000 9,080,136 172,064,339 0 0

9 ALARON TRADING CORPORATION N CME 08/31/2003 3,957,072 2,477,097 1,518,949 1,479,975 69,119,003 64,090

10 ALCO COMMODITIES INC N NFA 08/31/2003 501,165 250,000 0 251,165 0 0

11 AMERICAN NATIONAL TRADING CORP N NFA 08/31/2003 1,258,335 631,379 332,317 626,956 17,418,882 0

12 BANC OF AMERICA FUTURES INCORPORATED Y CME 08/31/2003 57,033,949 9,508,929 35,936,859 21,097,090 237,552,075 171,151

13 BANC ONE CAPITAL MARKETS INC Y CBOT 08/31/2003 339,117,414 8,452,012 17,788,206 321,329,208 358,973,868 34,494,380

14 BARCLAYS CAPITAL INC Y CBOT 08/31/2003 635,295,866 101,048,137 125,267,393 510,028,473 1,684,116,006 196,249,760

15 BEAR STEARNS & CO INC Y CBOT 08/31/2003 2,419,773,397 67,261,535 0 2,352,511,862 0 0

16 BEAR STEARNS SECURITIES CORP Y CME 08/31/2003 3,362,679,290 873,187,875 97,569,044 2,489,491,415 1,712,255,006 237,888,417

17 BIELFELDT & COMPANY LLC N CBOT 08/31/2003 404,306 250,000 0 154,306 0 0

18 BNP PARIBAS BROKERAGE SERVICES INC Y CME 08/31/2003 44,949,804 18,837,799 12,839,081 26,112,005 470,944,969 0

19 BNP PARIBAS COMMODITY FUTURES INC N NYME 08/31/2003 53,492,366 8,199,505 15,038,067 38,454,299 203,638,152 29,752,577

20 BNP PARIBAS SECURITIES CORP Y CBOT 08/31/2003 239,288,936 5,280,269 0 234,008,667 0 0

21 BNY CLEARING SERVICES LLC Y NFA 08/31/2003 119,949,967 22,262,132 0 97,687,835 0 0

22 C CZARNIKOW SUGAR FUTURES INC N NFA 08/31/2003 1,392,794 250,000 115,896 1,142,794 1,902,174 0

23 CADENT FINANCIAL SERVICES LLC N NFA 08/31/2003 3,215,822 250,000 0 2,965,822 0 0

24 CANTOR FITZGERALD & CO Y CBOT 08/31/2003 59,241,095 734,669 60,415 58,506,426 1,077,351 0

25 CAPITAL MARKET SERVICES LLC N NFA 08/31/2003 1,460,965 250,000 0 1,210,965 0 0

26 CARGILL INVESTOR SERVICES INC N CBOT 08/31/2003 87,946,873 45,094,976 58,174,679 29,772,194 1,098,616,765 104,023,634

27 CARR FUTURES INC Y CME 08/31/2003 213,774,387 124,056,065 173,039,593 40,734,794 2,948,914,496 1,523,593,872

28 CDC SECURITIES Y NFA 08/31/2003 70,163,763 250,000 0 69,913,763 0 0

29 CIBC WORLD MARKETS CORP Y CME 08/31/2003 828,281,655 13,626,709 7,233,407 814,654,946 0 0

30 CITIGROUP GLOBAL MARKETS INC. Y CBOT 08/31/2003 3,374,757,847 658,479,857 195,037,175 2,716,277,990 5,544,190,458 129,293,301

31 CLIFDEN FUTURES LLC N NFA 08/31/2003 433,830 250,000 4,206 183,830 1,598,683 0

32 CLIFF LARSON COMPANY THE N NFA 08/31/2003 341,944 250,000 0 91,944 2,322,137 0

33 CMC GROUP PLC N NFA 08/31/2003 6,014,027 250,000 0 5,764,027 0 0

34 COESfx CLEARING INC N NFA 08/31/2003 366,899 250,000 0 116,899 0 0

35 COMMERZ FUTURES LLC N CME 08/31/2003 6,319,489 2,631,731 3,995,635 2,323,854 83,486,753 4,088,330

36 COUNTRY HEDGING INC N NFA 08/31/2003 5,360,882 927,691 1,620,608 3,740,274 26,150,339 29,390

37 CREDIT LYONNAIS ROUSE USA LIMITED N NYME 08/31/2003 27,897,650 3,630,032 13,890,274 14,007,376 116,333,932 322,500

38 CREDIT SUISSE FIRST BOSTON LLC Y CBOT 08/31/2003 1,931,261,028 205,332,022 121,355,998 1,725,929,006 1,607,585,792 556,728,133

39 CRESSWELL CAPITAL LLC N NFA 08/31/2003 668,038 250,000 251,408 416,630 4,606,283 48,781

40 CROSSLAND LLC N CBOT 08/31/2003 3,169,035 314,347 56,999 2,854,688 7,934,986 0

41 CUNNINGHAM COMMODITIES INC N CBOT 08/31/2003 1,938,039 280,776 215,074 1,657,263 6,865,339 159,040

42 DAIWA SECURITIES AMERICA INC Y CME 08/31/2003 185,873,730 7,315,899 2,120,110 178,557,831 55,014,366 121,723

43 DAVID A NOYES & CO Y NFA 08/31/2003 1,787,193 250,000 0 1,537,193 0 0

44 DEUTSCHE BANK SECURITIES INC Y CBOT 08/31/2003 1,972,640,424 184,180,072 153,742,157 1,788,460,352 1,306,416,908 412,666,755

45 DORMAN TRADING LLC N CME 08/31/2003 5,029,142 630,160 206,501 4,398,982 15,793,239 0

46 EAGLE MARKET MAKERS INC N CBOT 08/31/2003 1,942,982 250,000 31,837 1,692,982 1,832,143 17,035

47 ED &F MAN COMMODITY ADVISORS INC N NFA 08/31/2003 407,731 250,000 0 157,731 0 0

48 EM COMBS & SON N CBOT 08/31/2003 2,191,604 250,000 26,054 1,941,604 3,153,644 0

49 FARR FINANCIAL INC N NFA 08/31/2003 1,292,721 632,459 325,666 660,262 16,488,632 101,465

50 FC STONE LLC N CME 08/31/2003 15,777,199 7,537,309 8,531,526 7,245,673 239,448,164 741,589
SELECTED FCM FINANCIAL DATA 

FROM REPORTS FILED BY 

September 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)

51 FCT GROUP LLC N CME 08/31/2003 8,078,897 250,000 623,918 7,454,979 9,902,692 0

52 FIMAT USA INC Y CME 08/31/2003 195,857,612 110,738,759 127,996,304 67,861,308 2,982,543,022 505,267,777

53 FIRST CAPITOL GROUP LLC N NFA 08/31/2003 1,803,349 964,572 582,731 838,777 28,918,683 28,770

54 FIRST OPTIONS OF CHICAGO INC Y CME 08/29/2003 275,356,196 9,127,298 23,132,437 252,223,759 476,661,721 8,878,541

55 FOREX CAPITAL MARKETS LLC N NFA 08/31/2003 13,832,927 250,000 0 13,582,927 0 0

56 FORTIS CLEARING CHICAGO LLC N CBOT 08/31/2003 16,856,297 2,746,743 1,480,551 14,109,554 51,494,973 18,415,015

57 FRIEDBERG MERCANTILE GROUP INC N NFA 08/31/2003 1,646,326 250,000 37,665 1,396,326 4,229,862 82,586

58 FRONTIER FUTURES INC N NFA 08/31/2003 924,352 374,811 260,018 549,541 12,302,678 0

59 FUTURES TECH LLC N NFA 08/31/2003 402,206 250,000 0 152,206 0 0

60 FX FIRST INC N NFA 08/31/2003 -2,089,665 250,000 0 -2,339,665 0 0

61 FX SOLUTIONS LLC N NFA 08/31/2003 1,629,005 250,000 0 1,379,005 0 0

62 GAIN CAPITAL INC. N NFA 08/31/2003 4,018,171 250,000 0 3,768,171 0 0

63 GELBER GROUP LLC N CBOT 08/31/2003 19,701,668 612,882 339,643 19,088,786 16,449,998 489,850

64 GFS SECURITIES & FUTURES INC N NFA 08/31/2003 253,354 250,000 0 3,354 0 0

65 GILDER GAGNON HOWE AND CO LLC Y NFA 08/31/2003 30,818,297 250,000 0 30,568,297 0 0

66 GLOBAL FUTURES & FOREX LTD N NFA 08/31/2003 8,054,185 250,000 0 7,804,185 0 0

67 GOLDENBERG HEHMEYER & CO Y CBOT 08/31/2003 15,040,765 1,968,983 1,074,900 13,071,782 60,278,778 4,102,547

68 GOLDMAN SACHS & CO Y CBOT 08/29/2003 4,645,626,666 877,065,373 445,205,300 3,768,561,293 8,187,170,298 3,593,884,144

69 GREENWICH CAPITAL MARKETS INC Y CBOT 08/31/2003 923,081,000 131,881,000 37,678,360 791,200,000 358,740,000 19,924,000

70 HAGERTY GRAIN CO INC N CBOT 08/31/2003 1,739,240 250,000 109,857 1,489,240 5,866,049 0

71 HORNBLOWER FISCHER & CO Y NFA 08/31/2003 1,312,925 250,000 81,369 1,062,925 3,550,803 0

72 HOTSPOT FX INC N NFA 08/31/2003 2,916,490 250,000 0 2,666,490 0 0

73 HSBC SECURITIES USA INC Y CME 08/31/2003 279,899,340 34,553,767 31,480,905 245,345,573 341,799,890 33,978,638

74 IFSCL USA INC N NFA 08/31/2003 448,955 250,000 418 198,955 13,563 0

75 IFX MARKETS INC N NFA 08/31/2003 499,942 250,000 0 249,942 0 0

76 INTEGRATED BROKERAGE SERVICES INC N NFA 08/31/2003 1,127,571 250,000 96,391 877,571 1,247,777 0

77 INTERACTIVE BROKERS LLC Y NFA 08/31/2003 114,531,132 4,237,587 1,807,936 110,293,545 20,749,951 7,093,315

78 INVESTEC ERNST & COMPANY Y NFA 08/29/2003 13,457,996 250,000 0 13,207,996 0 0

79 IOWA GRAIN CO N CBOT 08/31/2003 8,005,221 3,488,312 3,171,688 4,516,909 94,454,826 48,156

80 ISB CLEARING CORPORATION N NFA 08/31/2003 566,251 250,000 0 316,251 0 0

81 JP MORGAN FUTURES INC N NYME 08/31/2003 530,178,570 210,821,748 303,088,138 227,090,432 5,247,716,610 620,197,461

82 JULIUS BAER SECURITIES INC Y NFA 08/31/2003 8,931,573 250,000 0 8,681,573 0 0

83 KOTTKE ASSOCIATES LLC N CBOT 08/31/2003 7,258,149 359,057 143,996 6,899,092 12,589,289 1,523

84 LADENBURG THALMANN & CO INC Y NFA 08/31/2003 7,902,871 250,000 0 7,652,871 0 0

85 LAWRENCE-BONFITTO TRADING COMPANY N CBOT 08/31/2003 2,950,246 250,000 58,142 2,700,246 4,713,952 0

86 LBS LIMITED PARTNERSHIP N CBOT 08/31/2003 392,004 250,000 0 142,004 0 0

87 LEADER INVESTMENTS INC Y NFA 08/31/2003 459,959 250,000 0 209,959 0 0

88 LEGG MASON WOOD WALKER INC Y NYME 08/31/2003 357,152,281 21,340,026 0 335,812,255 0 0

89 LEHMAN BROTHERS INC Y CBOT 08/31/2003 2,557,892,000 306,397,520 144,113,440 2,251,494,480 1,714,179,000 46,108,000

90 LINN GROUP ( THE ) N NFA 08/31/2003 423,112 250,000 0 173,112 0 0

91 LINSCO/PRIVATE LEDGER CORP Y NFA 08/31/2003 90,535,192 3,796,630 0 86,738,562 0 0

92 LOEB PARTNERS CORPORATION Y NFA 08/30/2003 17,711,539 250,000 0 17,461,539 0 0

93 MAN FINANCIAL INC N CME 08/31/2003 174,811,976 115,282,963 132,085,782 42,726,194 2,830,692,020 626,909,608

94 MARQUETTE ELECTRONIC BROKERAGE LLC N NFA 08/29/2003 5,406,551 250,000 0 5,156,551 0 0

95 MAXCOR FINANCIAL INC Y NFA 08/31/2003 45,992,506 250,000 0 45,742,506 0 0

96 MBF CLEARING CORP N NYME 08/31/2003 6,473,623 2,523,015 799,853 3,950,608 63,986,719 148,523

97 MCVEAN TRADING AND INVESTMENTS LLC N NFA 08/31/2003 11,260,756 7,211,630 1,121,969 4,049,126 182,407,508 0

98 MERRILL LYNCH PIERCE FENNER & SMITH Y CBOT 08/29/2003 2,731,623,590 277,163,197 231,072,816 2,454,460,393 5,315,066,615 494,220,874

99 MERRILL LYNCH PROFESSIONAL CLEARING CORP Y NFA 08/29/2003 787,291,613 13,902,563 31,995,332 755,296,281 437,258,740 0

100 MID-CO COMMODITIES INC N NFA 08/31/2003 3,307,290 250,000 582,252 2,725,038 6,690,715 0

101 MITSUI & CO INVESTMENT PRODUTS CORP N NFA 08/29/2003 550,993 250,000 0 300,993 583,640 0
SELECTED FCM FINANCIAL DATA 

FROM REPORTS FILED BY 

September 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)

102 MIZUHO SECURITIES USA INC Y CME 08/31/2003 169,101,502 11,897,155 17,281,849 151,819,653 276,331,061 24,583,988

103 MONEY GARDEN CORPORATION, THE N NFA 08/31/2003 3,594,910 250,000 0 3,344,910 0 0

104 MORGAN KEEGAN & COMPANY INC Y NFA 08/31/2003 224,068,885 13,259,472 0 210,809,413 0 0

105 MORGAN STANLEY & CO INCORPORATED Y CME 08/31/2003 4,165,409,244 689,268,267 188,689,274 3,476,140,977 2,499,804,189 1,147,771,567

106 MORGAN STANLEY DW INC Y CBOT 08/31/2003 1,064,682,160 94,681,418 4,521,149 970,000,742 795,711,496 1,400,700,616

107 NATIONAL COMMODITIES CORPORATION INC N NFA 08/31/2003 1,434,906 250,000 70,391 1,184,906 12,509,645 0

108 NEUBERGER BERMAN LLC Y NFA 08/31/2003 297,308,587 18,934,421 266,034 278,374,166 10,620,475 0

109 NIKKO SECURITIES CO INTERNATIONAL INC Y NFA 08/31/2003 13,482,410 250,000 0 13,232,410 0 0

110 NOMURA SECURITIES INTERNATIONAL INC Y CBOT 08/31/2003 675,940,612 19,448,300 427,225 656,492,312 108,338,180 0

111 OANDA CORPORATION N NFA 08/31/2003 2,665,299 250,000 0 2,415,299 0 0

112 OCONNOR & COMPANY LLC Y CBOT 08/31/2003 36,736,869 2,112,812 1,838,072 34,624,057 62,192,030 198,374

113 OPPENHEIMER & CO. INC. Y NFA 08/31/2003 118,642,645 24,763,362 0 93,879,283 8,429,246 0

114 PACIFIC CAPITAL MARKETS N NFA 08/31/2003 462,751 250,000 0 212,751 0 0

115 PATTERSON CAPITAL MARKETS LTD N CBOT 08/31/2003 923,956 250,000 0 673,956 0 0

116 PAX CLEARING CORPORATION Y CME 08/31/2003 45,334,273 2,500,000 3,504,670 41,829,603 71,881,625 0

117 PENSON FINANCIAL FUTURES INC N NFA 08/31/2003 519,590 250,000 49,124 269,590 1,253,446 0

118 PEREGRINE FINANCIAL GROUP INC N NFA 08/31/2003 20,423,879 3,134,026 778,819 17,289,853 98,383,523 1,299,715

119 PERSHING LLC Y CBOT 08/31/2003 717,535,000 142,222,120 0 575,312,880 0 0

120 PIONEER FUTURES INC N NYME 08/31/2003 7,067,498 3,835,665 1,961,003 3,231,833 111,255,129 302,188

121 PREFERRED TRADE INC Y NFA 08/31/2003 9,204,147 690,729 0 8,513,418 938,151 0

122 PRUDENTIAL EQUITY GROUP INC Y CBOT 08/31/2003 563,443,000 43,833,720 54,665,040 508,777,960 1,089,484,000 131,790,000

123 PRUDENTIAL FINANCIAL DERIVATIVES LLC N NFA 08/31/2003 1,000,100 250,000 0 750,100 0 0

124 RAND FINANCIAL SERVICES INC N CME 08/31/2003 14,572,950 6,457,404 9,459,004 5,113,946 153,567,200 24,838,600

125 RAYMOND JAMES & ASSOCIATES INC Y NFA 08/29/2003 337,962,079 23,170,398 21,596 314,791,681 0 0

126 RB&H FINANCIAL SERVICES LP N CME 08/31/2003 4,305,191 1,596,537 817,877 2,708,654 44,621,393 22,161

127 RBC DAIN RAUSCHER INC Y NFA 08/31/2003 314,126,419 30,336,592 0 283,789,827 0 0

128 RBC DOMINION SECURITIES CORPORATION Y CME 08/31/2003 177,127,734 1,000,000 26,495,175 150,632,559 0 0

129 REDSKY SECURITIES LLC Y NFA 08/31/2003 750,221 250,000 0 500,221 0 0

130 REFCO LLC N CME 08/31/2003 186,921,967 110,088,573 111,418,898 75,503,069 3,021,540,875 75,937,126

131 RJ OBRIEN ASSOCIATES INC N CME 08/29/2003 36,326,236 21,346,089 22,506,033 13,820,203 582,839,626 4,751,111

132 ROBBINS FUTURES INC N NFA 08/31/2003 416,901 250,000 54,227 166,901 5,267,533 0

133 ROBECO USA LLC Y NFA 08/29/2003 80,108,456 4,262,558 0 75,845,898 0 0

134 ROSENTHAL COLLINS GROUP LLC N CME 08/31/2003 45,902,397 12,118,920 8,033,505 33,783,477 313,502,114 1,278,423

135 ROSENTHAL GLOBAL SECURITIES LLC Y CBOT 08/31/2003 20,617,749 1,151,182 0 19,466,567 0 0

136 ROTHSCHILD INC Y NFA 08/31/2003 18,617,097 250,000 0 18,367,097 0 0

137 SANFORD C BERNSTEIN & CO LLC Y NFA 08/31/2003 154,294,454 12,365,817 0 141,928,637 0 0

138 SENTINEL MANAGEMENT GROUP INC N NFA 08/31/2003 1,268,717 250,000 1,018,717 375,239,649 0

139 SG COWEN SECURITIES CORPORATION Y NFA 08/31/2003 778,445,539 1,500,000 0 776,945,539 0 0

140 SHATKIN ARBOR KARLOV & CO N CBOT 08/31/2003 6,225,624 362,381 98,670 5,863,243 9,635,470 72,040
SELECTED FCM FINANCIAL DATA 

FROM REPORTS FILED BY 

September 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)

141 SHAY GRAIN CLEARING COMPANY N KCBT 06/30/2003 782,280 250,000 6,186 532,280 2,102,604 0

142 SHEPARD INTERNATIONAL INC N NFA 08/31/2003 2,423,328 250,000 0 2,173,328 0 0

143 SHERWOOD FUTURES GROUP LLC N NFA 08/31/2003 843,675 250,000 0 593,675 13,039,039 0

144 SIEGEL TRADING CO INC THE N NFA 08/31/2003 574,345 250,000 528 324,345 1,516,288 0

145 SMW TRADING COMPANY INC N CME 08/29/2003 5,323,234 470,096 453,407 4,853,138 11,820,649 5,628

146 SNC INVESTMENTS INC N NFA 08/31/2003 380,023 250,000 0 130,023 0 0

147 SOLID GOLD FINANCIAL SERVICES INC N NFA 08/31/2003 288,953 250,000 0 38,953 0 0

148 SPEAR LEEDS & KELLOG Y NYME 08/29/2003 1,111,456,436 42,723,259 5,099,321 1,068,733,177 209,706,082 3,057,847

149 STEPHENS INC Y NFA 08/29/2003 76,330,084 11,247,004 0 65,083,080 0 0

150 STERLING COMMODITIES CORP N NYME 08/31/2003 5,312,308 782,660 157,021 4,529,648 18,927,133 781,263

151 SWISS AMERICAN SECURITIES INC Y NFA 08/31/2003 69,498,971 3,422,322 0 66,076,649 0 0

152 TCA FUTURES LLC N NFA 08/31/2003 402,868 250,000 0 152,868 0 0

153 TENCO INC N CBOT 08/31/2003 29,182,924 1,929,944 2,086,864 27,096,060 59,530,917 0

154 TIMBER HILL LLC Y CME 08/31/2003 385,783,360 1,000,000 1,958,812 383,824,548 24,290,671 0

155 TOKYO-MITSUBISHI FUTURES USA INC N CME 08/31/2003 18,628,523 250,000 4,458,702 14,169,821 5,849,343 0

156 TRADELINK LLC Y CBOT 08/31/2003 49,958,286 250,000 704,596 49,253,690 0 0

157 TRADITION SECURITIES AND FUTURES INC N NFA 08/31/2003 392,876 250,000 0 142,876 0 0

158 TRANSMARKET GROUP LLC Y CBOT 08/31/2003 6,662,168 250,000 0 6,412,168 0 0

159 TRILAND USA INC N NYME 08/31/2003 19,025,603 1,123,472 1,023,577 17,902,131 28,086,794 0

160 UBS FINANCIAL SERVICES INC. Y CBOT 08/31/2003 1,398,556,273 212,141,173 20,553,733 1,186,415,100 1,156,741,548 126,371,111

161 UBS SECURITIES LLC Y CBOT 08/31/2003 2,745,906,773 190,689,092 156,113,583 2,555,217,681 3,062,142,119 830,142,247

162 UFJ FUTURES LLC N CME 08/31/2003 22,288,723 250,000 1,745,262 20,543,461 0 0

163 UNIVERSAL FINANCIAL HOLDING CORP N NFA 08/29/2003 754,822 250,000 98,510 504,822 3,523,747 0

164 US BANCORP PIPER JAFFRAY INC Y NFA 08/31/2003 209,721,001 10,667,139 0 199,053,862 0 0

165 UTS WORLD INC N NFA 08/31/2003 492,393 250,000 0 242,393 0 0

166 VELOCITY FUTURES LP N NFA 08/31/2003 545,849 250,000 0 295,849 1,022,644 22,802

167 VIEWTRADE SECURITIES INC Y NFA 08/31/2003 505,454 289,000 505,165 0 0

168 VISION LIMITED PARTNERSHIP N NFA 08/31/2003 12,681,900 5,512,690 4,127,666 7,169,210 144,837,325 73,231

169 WACHOVIA SECURITIES FINANCIAL NETWORK LL Y NFA 08/31/2003 15,439,655 1,301,014 0 14,138,641 0 0

170 WACHOVIA SECURITIES LLC Y NFA 08/31/2003 502,951,000 67,437,260 0 435,513,740 0 0

171 WALL STREET DERIVATIVES INC N NFA 08/31/2003 420,497 250,000 0 170,497 0 0

172 WHITE COMMERCIAL CORPORATION N NFA 08/31/2003 1,602,234 250,000 0 1,352,234 0 0

173 XPRESSTRADE LLC N NFA 08/31/2003 2,575,384 250,000 0 2,325,384 0 0

174 YORK BUSINESS ASSOCIATES LLC N CBOT 08/31/2003 1,661,356 250,000 0 1,411,356 255,865 0

Total 49,190,990,841 63,039,636,807 13,146,514,325
SELECTED FCM FINANCIAL DATA 

FROM REPORTS FILED BY 

September 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)

Reconciliation from July Web Page 172

Name Change

 FROM FAHNESTOCK CO INC TO OPPENHEIMER & CO 

INC 

Additions 2

CADENT FINANCIAL SERVICES LLC

VIEWTRADE SECURITIES

Deletions 0

August Web Page Update 174

(a): B/D? : A 'Y' means the FCM is also (f): This represents the amount of funds an FCM 

registered with the Securities and Exchange is required to set aside for customers who trade 

Commission as a securities broker or dealer. 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 Note: Any errors in this table should be brought 

sum total of 8% of customer, and 4% of to the attention of the CFTC's Division of Clearing and 

non-customer risk margin for domestic and and Intermediary Oversight via e-mail: 

foreign future accounts (excluding proprietary fzimmerle@cftc.gov or 

accounts). The risk based minimum requirement sgreska@cftc.gov. 

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.