SELECTED FCM FINANCIAL DATA 

FROM REPORTS FILED BY 

July 31, 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 06/30/2003 1,140,713,008 142,038,259 92,952,682 998,674,749 1,559,229,890 106,022,575

2 ABN AMRO SAGE CORPORATION Y NFA 06/30/2003 26,719,508 3,020,319 3,020,920 23,698,588 54,834,160 0

3 ADM INVESTOR SERVICES INC N CBOT 06/30/2003 70,248,253 18,065,448 16,414,435 52,182,805 452,946,388 17,626,093

4 ADVANTAGE FUTURES LLC N NFA 06/30/2003 4,926,798 1,764,605 1,140,373 3,162,193 37,762,553 11,902,450

5 ADVEST INC Y NFA 06/30/2003 39,291,596 1,000,000 0 38,291,596 0 0

6 AG EDWARDS & SONS INC Y CBOT 06/30/2003 607,210,286 42,460,098 3,277,936 564,750,188 84,316,346 0

7 AGE COMMODITY CLEARING CORP N CBOT 06/30/2003 13,638,181 1,711,687 3,228,194 10,409,987 59,183,455 0

8 AIG CLEARING CORPORATION N NYME 06/30/2003 180,822,593 250,000 7,608,852 173,213,741 0 0

9 ALARON TRADING CORPORATION N CME 06/30/2003 4,390,640 2,195,612 1,113,232 2,195,028 59,540,416 147,960

10 ALCO COMMODITIES INC N NFA 06/30/2003 498,750 250,000 0 248,750 0 0

11 AMERICAN NATIONAL TRADING CORP N NFA 06/30/2003 1,244,917 460,280 274,721 784,637 13,742,762 0

12 BANC OF AMERICA FUTURES INCORPORATED Y CME 06/30/2003 62,523,894 7,704,636 32,484,207 30,039,687 192,615,893 0

13 BANC ONE CAPITAL MARKETS INC Y CBOT 06/30/2003 376,079,709 13,802,524 16,557,043 359,522,666 251,987,340 24,123,315

14 BARCLAYS CAPITAL INC Y CBOT 06/30/2003 322,791,695 68,783,445 109,966,859 212,824,836 1,520,701,734 64,879,835

15 BEAR STEARNS & CO INC Y CBOT 06/30/2003 1,581,753,807 34,831,227 0 1,546,922,580 0 0

16 BEAR STEARNS SECURITIES CORP Y CME 06/30/2003 2,962,825,343 889,451,150 86,029,791 2,073,374,193 1,420,494,258 251,758,267

17 BIELFELDT & COMPANY LLC N CBOT 06/30/2003 404,945 250,000 0 154,945 0 0

18 BLAYLOCK AND PARTNERS LP Y NFA 06/30/2003 23,602,528 313,977 0 23,288,551 0 0

19 BNP PARIBAS BROKERAGE SERVICES INC Y CME 06/30/2003 45,156,836 11,963,646 12,313,461 32,843,375 299,091,138 0

20 BNP PARIBAS COMMODITY FUTURES INC N NYME 06/30/2003 50,680,212 11,292,063 29,321,167 21,359,045 289,432,711 30,520,842

21 BNP PARIBAS SECURITIES CORP Y CBOT 06/30/2003 283,019,170 3,386,302 0 279,632,868 0 0

22 BNY CLEARING SERVICES LLC Y NFA 06/30/2003 108,127,540 27,114,584 0 81,012,956 0 0

23 C CZARNIKOW SUGAR FUTURES INC N NFA 06/30/2003 1,579,849 250,000 85,873 1,329,849 1,097,543 0

24 CANTOR FITZGERALD & CO Y CBOT 06/30/2003 51,052,560 940,191 86,081 50,112,369 769,689 0

25 CAPITAL MARKET SERVICES LLC N NFA 06/30/2003 1,092,213 250,000 0 842,213 0 0

26 CARGILL INVESTOR SERVICES INC N CBOT 06/30/2003 87,113,406 44,192,324 53,456,039 33,657,367 1,082,146,487 95,964,074

27 CARR FUTURES INC Y CME 06/30/2003 225,110,779 119,038,868 149,111,836 75,998,943 2,874,529,546 1,735,790,314

28 CDC SECURITIES Y NFA 06/30/2003 74,561,400 250,000 0 74,311,400 0 0

29 CIBC WORLD MARKETS CORP Y NYME 06/30/2003 826,169,899 23,137,104 10,401,388 803,032,795 0 0

30 CITIGROUP GLOBAL MARKETS INC. Y CBOT 06/30/2003 3,326,376,784 611,612,715 186,511,456 2,714,764,069 5,346,885,208 79,238,039

31 CLIFDEN FUTURES LLC N NFA 06/30/2003 339,684 250,000 3,205 89,684 579,594 0

32 CLIFF LARSON COMPANY THE N NFA 06/30/2003 327,831 250,000 0 77,831 1,284,928 0

33 CMC GROUP PLC N NFA 06/30/2003 12,611,133 250,000 0 12,361,133 0 0

34 COESfx CLEARING INC N NFA 06/30/2003 387,330 250,000 0 137,330 0 0

35 COMMERZ FUTURES LLC N CME 06/30/2003 6,035,928 2,354,667 3,493,984 2,541,944 79,646,312 4,140,041

36 COUNTRY HEDGING INC N NFA 06/30/2003 6,109,716 1,018,703 1,918,398 4,191,318 26,691,464 32,604

37 CREDIT LYONNAIS ROUSE USA LIMITED N NYME 06/30/2003 27,896,157 4,172,573 12,793,515 15,102,642 131,840,648 238,424

38 CREDIT SUISSE FIRST BOSTON LLC Y CBOT 06/30/2003 1,845,599,331 248,873,306 111,533,353 1,596,726,025 1,610,824,591 555,739,209

39 CRESSWELL CAPITAL LLC N NFA 06/30/2003 719,073 250,000 0 469,073 2,457,830 68,483

40 CROSSLAND LLC N CBOT 06/30/2003 3,406,313 257,395 83,036 3,148,918 6,668,871 0

41 CUNNINGHAM COMMODITIES INC N CBOT 06/30/2003 2,212,348 261,607 255,475 1,950,741 6,485,026 135,322

42 DAIWA SECURITIES AMERICA INC Y CME 06/30/2003 162,780,005 22,632,677 2,067,234 140,147,328 55,052,983 198,088

43 DAVID A NOYES & CO Y NFA 06/30/2003 1,391,710 250,000 0 1,141,710 0 0

44 DEUTSCHE BANK SECURITIES INC Y CBOT 06/30/2003 1,077,118,245 181,274,198 162,922,366 895,844,047 1,344,813,831 320,504,381

45 DORMAN TRADING LLC N CME 06/30/2003 4,592,344 598,461 209,871 3,993,883 14,998,264 0

46 DUNAVANT COMMODITY CORP N NYCE 06/30/2003 19,994,979 983,958 51,269 19,011,021 26,946,339 0

47 EAGLE MARKET MAKERS INC N CBOT 06/30/2003 1,837,651 250,000 449,875 1,387,776 1,642,768 36,137

48 ED &F MAN COMMODITY ADVISORS INC N NFA 06/30/2003 398,331 250,000 0 148,331 0 0
SELECTED FCM FINANCIAL DATA 

FROM REPORTS FILED BY 

July 31, 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)

49 EM COMBS & SON N CBOT 06/30/2003 1,958,609 250,000 37,077 1,708,609 760,378 0

50 FAHNESTOCK & CO INC Y NFA 06/30/2003 77,783,384 26,191,535 0 51,591,849 7,185,704 0

51 FARR FINANCIAL INC N NFA 06/30/2003 1,207,119 611,940 272,339 595,179 15,613,795 81,685

52 FC STONE LLC N CME 06/30/2003 13,296,672 5,837,366 6,716,237 6,580,435 227,997,018 676,596

53 FCT GROUP LLC N CME 06/30/2003 3,989,600 250,000 506,989 3,482,611 12,925,045 0

54 FIMAT USA INC Y CME 06/30/2003 174,317,610 96,917,360 109,307,232 65,010,378 2,584,223,075 561,936,911

55 FIRST CAPITOL GROUP LLC N NFA 06/30/2003 1,812,408 819,626 675,464 992,782 28,781,867 26,637

56 FIRST OPTIONS OF CHICAGO INC Y CME 06/27/2003 238,119,664 11,422,536 22,903,469 215,216,195 505,926,620 15,179,834

57 FOREX CAPITAL MARKETS LLC N NFA 06/30/2003 4,535,795 250,000 0 4,285,795 0 0

58 FORTIS CLEARING CHICAGO LLC N CBOT 06/30/2003 6,866,436 2,198,806 863,496 4,667,630 44,960,973 11,616,041

59 FRIEDBERG MERCANTILE GROUP INC Y NFA 06/30/2003 1,828,053 250,000 92,505 1,578,053 4,448,643 85,158

60 FRONTIER FUTURES INC N NFA 06/30/2003 1,030,688 381,309 227,827 649,379 12,096,261 0

61 FUTURES TECH LLC N NFA 06/30/2003 401,784 250,000 0 151,784 0 0

62 FX FIRST INC N NFA 06/30/2003 306,075 250,000 0 56,075 1,248,132 0

63 FX SOLUTIONS LLC N NFA 06/30/2003 1,628,366 250,000 0 1,378,366 0 0

64 GAIN CAPITAL INC. N NFA 06/30/2003 3,544,741 250,000 0 3,294,741 0 0

65 GELBER GROUP LLC N CBOT 06/30/2003 17,395,233 527,492 155,918 16,867,741 14,198,904 341,413

66 GFS SECURITIES & FUTURES INC N NFA 06/30/2003 281,296 250,000 0 31,296 0 0

67 GILDER GAGNON HOWE AND CO LLC Y NFA 06/30/2003 23,784,735 250,000 0 23,534,735 0 0

68 GLOBAL FUTURES & FOREX LTD N NFA 06/30/2003 5,949,126 250,000 0 5,699,126 0 0

69 GOLDENBERG HEHMEYER & CO Y CBOT 06/30/2003 15,365,302 1,304,273 1,144,724 14,061,029 43,790,501 3,675,735

70 GOLDMAN SACHS & CO Y CBOT 06/27/2003 3,463,788,897 877,057,195 434,455,598 2,586,731,702 6,883,458,159 3,211,636,358

71 GREENWICH CAPITAL MARKETS INC Y CBOT 06/30/2003 886,782,000 153,869,000 23,389,440 732,913,000 325,703,000 3,450,000

72 HAGERTY GRAIN CO INC N CBOT 06/30/2003 1,682,466 265,822 58,783 1,416,644 6,880,567 0

73 HORNBLOWER FISCHER & CO Y NFA 06/30/2003 1,492,525 330,565 187,361 1,161,960 5,108,621 0

74 HOTSPOT FX INC N NFA 06/30/2003 3,508,134 250,000 0 3,258,134 0 0

75 HSBC SECURITIES USA INC Y CME 06/30/2003 266,703,185 51,518,412 27,205,900 215,184,773 290,571,298 34,338,433

76 IFSCL USA INC N NFA 06/30/2003 415,744 250,000 0 165,744 13,495 0

77 INTEGRATED BROKERAGE SERVICES INC N NFA 06/30/2003 907,344 250,000 68,041 657,344 1,182,929 0

78 INTERACTIVE BROKERS LLC Y NFA 06/30/2003 105,906,843 3,195,465 1,298,080 102,711,378 16,083,759 5,652,948

79 INVESTEC ERNST & COMPANY Y NFA 06/27/2003 13,711,548 250,000 0 13,461,548 0 0

80 IOWA GRAIN CO N CBOT 06/30/2003 7,972,563 3,641,312 2,943,226 4,331,251 96,929,203 8,365

81 ISB CLEARING CORPORATION N NFA 06/30/2003 422,013 250,000 0 172,013 0 0

82 JP MORGAN FUTURES INC N NYME 06/30/2003 531,584,645 198,747,782 301,901,861 229,682,784 4,979,759,382 501,421,814

83 JULIUS BAER SECURITIES INC Y NFA 06/30/2003 10,417,831 505,244 0 9,912,587 0 0

84 KOTTKE ASSOCIATES LLC N CBOT 06/30/2003 7,018,356 299,617 111,547 6,718,739 10,949,456 135

85 LADENBURG THALMANN & CO INC Y NFA 06/30/2003 7,424,334 250,000 0 7,174,334 0 0

86 LAWRENCE-BONFITTO TRADING COMPANY N CBOT 06/30/2003 2,840,716 250,000 39,626 2,590,716 3,751,984 0

87 LBS LIMITED PARTNERSHIP N CBOT 06/30/2003 390,513 250,000 0 140,513 0 0

88 LEADER INVESTMENTS INC Y NFA 06/30/2003 483,882 250,000 0 233,882 0 0

89 LEGG MASON WOOD WALKER INC Y NFA 06/30/2003 338,801,720 22,341,441 0 316,460,279 0 0

90 LEHMAN BROTHERS INC Y CBOT 06/30/2003 1,824,032,000 480,712,400 138,546,800 1,343,319,600 1,850,347,000 26,213,000

91 LINN GROUP ( THE ) N NFA 06/30/2003 406,125 250,000 0 156,125 0 0

92 LINSCO/PRIVATE LEDGER CORP Y NFA 06/30/2003 90,942,711 3,818,417 0 87,124,294 0 0

93 LOEB PARTNERS CORPORATION Y NFA 06/30/2003 17,257,593 250,000 0 17,007,593 0 0

94 MAN FINANCIAL INC N CME 06/30/2003 183,906,595 104,430,628 116,113,604 67,792,991 2,528,798,939 690,400,994

95 MARQUETTE ELECTRONIC BROKERAGE LLC N NFA 06/30/2003 4,884,596 250,000 0 4,634,596 0 0

96 MAXCOR FINANCIAL INC Y NFA 06/30/2003 47,067,015 250,000 0 46,817,015 0 0

97 MBF CLEARING CORP N NYME 06/30/2003 6,750,176 2,353,071 761,477 4,397,105 59,009,266 630,519
SELECTED FCM FINANCIAL DATA 

FROM REPORTS FILED BY 

July 31, 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)

98 MCVEAN TRADING AND INVESTMENTS LLC N NFA 06/30/2003 8,766,591 5,666,000 850,640 3,100,591 142,863,557 0

99 MERRILL LYNCH PIERCE FENNER & SMITH Y CBOT 06/27/2003 2,581,848,795 277,146,509 208,851,449 2,304,702,286 4,626,638,209 402,005,962

100 MERRILL LYNCH PROFESSIONAL CLEARING CORP Y NFA 06/27/2003 527,500,208 19,091,351 35,096,582 492,403,626 538,449,096 0

101 MID-CO COMMODITIES INC N NFA 06/30/2003 3,635,661 398,996 398,751 3,236,665 10,353,567 0

102 MITSUI & CO INVESTMENT PRODUTS CORP N NFA 06/30/2003 2,370,629 250,000 1,125 2,120,629 636,907 0

103 MIZUHO SECURITIES USA INC Y CME 06/30/2003 162,776,934 10,261,013 12,941,953 149,834,981 227,008,093 33,709,359

104 MONEY GARDEN CORPORATION, THE N NFA 06/30/2003 3,514,293 250,000 0 3,264,293 0 0

105 MORGAN KEEGAN & COMPANY INC Y NFA 06/30/2003 184,625,943 19,899,110 0 164,726,833 0 0

106 MORGAN STANLEY & CO INCORPORATED Y CME 06/30/2003 3,934,933,230 758,396,438 204,490,032 3,176,536,792 2,671,622,787 1,235,800,361

107 MORGAN STANLEY DW INC Y CBOT 06/30/2003 1,115,380,510 96,177,733 2,972,303 1,019,202,777 713,896,424 1,329,663,405

108 NATIONAL COMMODITIES CORPORATION INC N NFA 06/30/2003 1,478,086 250,000 65,690 1,228,086 11,085,121 0

109 NEUBERGER BERMAN LLC Y NFA 06/30/2003 284,945,514 18,579,726 693,172 266,365,788 18,243,300 0

110 NIKKO SECURITIES CO INTERNATIONAL INC Y NFA 06/30/2003 12,584,816 250,000 0 12,334,816 0 0

111 NOMURA SECURITIES INTERNATIONAL INC Y CBOT 06/30/2003 355,890,718 21,740,319 900,675 334,150,399 87,137,735 0

112 OANDA CORPORATION N NFA 06/30/2003 2,706,216 250,000 0 2,456,216 0 0

113 OCONNOR & COMPANY LLC Y CBOT 06/30/2003 39,355,084 2,148,504 2,166,568 37,188,516 61,959,321 279,978

114 PACIFIC CAPITAL MARKETS N NFA 06/30/2003 518,521 250,000 0 268,521 0 0

115 PATTERSON CAPITAL MARKETS LTD N CBOT 06/30/2003 466,415 250,000 0 216,415 0 0

116 PAX CLEARING CORPORATION Y CME 06/30/2003 41,258,746 2,416,574 3,205,586 38,053,160 71,663,263 0

117 PENSON FINANCIAL FUTURES INC N NFA 06/30/2003 507,776 250,000 19,376 257,776 554,920 0

118 PEREGRINE FINANCIAL GROUP INC N NFA 06/30/2003 22,260,129 3,200,346 0 19,059,783 89,963,811 2,759,583

119 PERSHING LLC Y CBOT 06/30/2003 692,472,000 130,585,180 0 561,886,820 0 0

120 PIONEER FUTURES INC N NYME 06/30/2003 6,790,751 3,637,099 1,649,662 3,153,652 102,543,582 177,905

121 PREFERRED TRADE INC Y NFA 06/30/2003 8,725,547 645,801 0 8,079,746 976,114 0

122 PRUDENTIAL SECURITIES INCORPORATED Y CBOT 06/30/2003 688,144,000 85,960,760 53,842,480 602,183,240 1,072,845,000 109,969,000

123 RAND FINANCIAL SERVICES INC N CME 06/30/2003 14,361,350 6,107,288 9,202,349 5,159,001 134,292,400 29,141,600

124 RAYMOND JAMES & ASSOCIATES INC Y NFA 06/27/2003 319,691,775 22,629,056 25,204 297,062,719 0 0

125 RB&H FINANCIAL SERVICES LP N CME 06/30/2003 4,193,759 1,598,945 799,835 2,594,814 42,777,647 7,354

126 RBC DAIN RAUSCHER INC Y NFA 06/30/2003 272,992,010 32,619,136 0 240,372,874 0 0

127 RBC DOMINION SECURITIES CORPORATION Y CME 06/30/2003 160,203,365 1,000,000 30,392,581 129,810,784 0 0

128 REDSKY SECURITIES LLC Y NFA 06/30/2003 891,931 250,000 0 641,931 0 0

129 REFCO LLC N CME 06/30/2003 204,730,772 114,735,843 108,153,638 89,994,929 3,172,273,359 49,056,023

130 RJ OBRIEN ASSOCIATES INC N CME 06/30/2003 35,725,433 19,007,127 17,615,445 16,718,306 511,899,072 2,212,540

131 ROBBINS FUTURES INC N NFA 06/30/2003 414,009 250,000 47,295 164,009 5,299,549 0

132 ROBECO USA LLC Y NFA 06/27/2003 73,752,619 4,510,762 0 69,241,857 0 0

133 ROSENTHAL COLLINS GROUP LLC N CME 06/30/2003 36,554,074 10,388,337 6,494,925 26,165,737 289,748,878 673,999

134 ROSENTHAL GLOBAL SECURITIES LLC Y CBOT 06/30/2003 14,479,510 1,139,610 0 13,339,900 0 0

135 ROTHSCHILD INC Y NFA 06/30/2003 17,035,170 250,000 0 16,785,170 0 0

136 SANFORD C BERNSTEIN & CO LLC Y NFA 06/30/2003 140,625,520 11,111,660 0 129,513,860 0 0

137 SENTINEL MANAGEMENT GROUP INC N NFA 06/30/2003 1,273,551 250,000 0 1,023,555 443,697,837 0
SELECTED FCM FINANCIAL DATA 

FROM REPORTS FILED BY 

July 31, 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)

138 SG COWEN SECURITIES CORPORATION Y NFA 06/30/2003 698,572,997 6,851,415 0 691,721,582 0 0

139 SHATKIN ARBOR KARLOV & CO N CBOT 06/30/2003 6,150,720 358,009 101,932 5,792,711 8,950,275 146,270

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

141 SHEPARD INTERNATIONAL INC N NFA 06/30/2003 2,262,803 250,000 0 2,012,803 0 0

142 SHERWOOD FUTURES GROUP LLC N NFA 06/30/2003 1,722,279 250,000 0 1,472,279 28,766,720 0

143 SIEGEL TRADING CO INC THE N NFA 06/30/2003 522,575 250,000 504 272,575 1,472,800 0

144 SMW TRADING COMPANY INC N CME 06/30/2003 6,356,638 488,024 433,048 5,868,614 12,308,969 0

145 SNC INVESTMENTS INC N NFA 06/30/2003 438,515 250,000 0 188,515 0 0

146 SOLID GOLD FINANCIAL SERVICES INC N NFA 06/30/2003 350,979 250,000 0 100,979 0 0

147 SPEAR LEEDS & KELLOG Y NYME 06/27/2003 1,168,105,746 50,820,456 4,463,330 1,117,285,290 215,479,804 3,195,782

148 STEPHENS INC Y NFA 06/27/2003 77,899,737 10,286,181 0 67,613,556 0 0

149 STERLING COMMODITIES CORP N NYME 06/30/2003 5,383,056 752,581 179,945 4,630,475 18,321,168 684,493

150 SWISS AMERICAN SECURITIES INC Y NFA 06/30/2003 68,503,120 3,319,174 0 65,183,946 0 0

151 TCA FUTURES LLC N NFA 06/30/2003 410,351 250,000 0 160,351 0 0

152 TENCO INC N CBOT 06/30/2003 28,048,672 1,941,985 1,933,750 26,106,687 63,609,838 0

153 TIMBER HILL LLC Y CME 06/30/2003 360,286,741 1,000,000 1,345,431 358,941,310 19,016,894 0

154 TOKYO-MITSUBISHI FUTURES USA INC N CME 06/30/2003 17,882,165 250,000 4,050,402 13,831,763 6,052,533 0

155 TRADELINK LLC Y CBOT 06/30/2003 45,343,340 250,000 1,141,504 44,201,836 0 0

156 TRADITION SECURITIES AND FUTURES INC N NFA 06/30/2003 392,536 250,000 0 142,536 0 0

157 TRANSMARKET GROUP LLC Y CBOT 06/30/2003 7,007,775 250,000 0 6,757,775 0 0

158 TRILAND USA INC N NYME 06/30/2003 17,780,767 1,002,829 775,349 16,777,938 25,070,724 0

159 UBS FINANCIAL SERVICES INC. Y CBOT 06/30/2003 1,397,254,824 229,833,072 14,813,965 1,167,421,752 1,045,713,479 18,549,159

160 UBS SECURITIES LLC Y CBOT 06/30/2003 3,196,569,376 257,767,626 174,008,033 2,938,801,750 3,511,348,942 749,618,120

161 UFJ FUTURES LLC N CME 06/30/2003 20,948,532 250,000 1,629,307 19,319,225 0 0

162 UNIVERSAL FINANCIAL HOLDING CORP N NFA 06/30/2003 788,801 250,000 100,202 538,801 3,062,836 0

163 US BANCORP PIPER JAFFRAY INC Y NFA 06/30/2003 176,576,267 10,385,995 0 166,190,272 0 0

164 UTS WORLD INC N NFA 06/30/2003 492,193 250,000 0 242,193 0 0

165 VELOCITY FUTURES LP N NFA 06/30/2003 566,102 250,000 0 316,102 626,559 0

166 VISION LIMITED PARTNERSHIP N NFA 06/30/2003 12,439,418 5,651,540 3,435,874 6,787,878 146,341,013 14,278

167 WACHOVIA SECURITIES FINANCIAL NETWORK LLC Y NFA 06/30/2003 18,648,063 715,021 0 17,933,042 0 0

168 WACHOVIA SECURITIES LLC Y NFA 06/30/2003 391,561,525 4,042,046 0 387,519,479 0 0

169 WALL STREET DERIVATIVES INC N NFA 06/30/2003 415,726 250,000 0 165,726 0 0

170 WHITE COMMERCIAL CORPORATION N NFA 06/30/2003 1,552,756 250,000 0 1,302,756 0 0

171 XPRESSTRADE LLC N NFA 06/30/2003 2,293,668 250,000 0 2,043,668 0 0

172 YORK BUSINESS ASSOCIATES LLC N CBOT 06/30/2003 1,388,944 250,000 0 1,138,944 240,396 0

Total 43,811,889,265 59,630,860,043 12,334,104,200
SELECTED FCM FINANCIAL DATA 

FROM REPORTS FILED BY 

July 31, 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 May Web Page Update 171

Name Change

From UBS Warburg LLC to UBS Securities LLC

Additions 2

SNC Investments Inc

FX First Inc

Deletions 1

Direct Trading Group LLC

June Web Page Update Total 172

(a): B/D? : A 'Y' means the FCM is also (d): Excess net capital is adjusted net capital, 

registered with the Securities and Exchange less the greater of the net capital requirement or riskCommission as a securities broker or dealer. based requirement. 

(b): DSRO: Designated Self-Regulatory Organization. (e): This represents the total amount of funds that 

an FCM is required to segregate on behalf of 

(c): Risk-based net capital requirement is the customers who are trading on commodity 

sum total of 8% of customer, and 4% of exchanges located in the United States. 

non-customer risk margin for domestic and This is the sum of all accounts that contain 

foreign future accounts (excluding proprietary a net liquidating equity.

accounts). The risk based minimum requirement 

applies to all FCMs which are members of the (f): This represents the amount of funds an FCM 

National Futures Association is required to set aside for customers who trade 

Effective date 10/31/00. on commodity exchanges located outside of 

the United States. The amount to be set aside for 

a customer's foreign commodity account may 

be less than the net liquidating equity in the 

Note: Any errors in this table should be brought 

to the attention of the CFTC's Division of Clearing and 

and Intermediary Oversight via e-mail: 

sgreska@cftc.gov. or

fzimmerle@cftc.gov