SELECTED FCM FINANCIAL DATA 

FROM REPORTS FILED BY 

July 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 06/30/2002 1,270,060,468 94,163,728 107,690,525 1,162,369,943 2,109,939,434 54,908,596

2 ABN AMRO SAGE CORPORATION Y NFA 06/30/2002 43,462,282 8,691,902 8,691,902 34,770,380 137,926,789 0

3 ADM INVESTOR SERVICES INC N CBOT 06/30/2002 62,117,281 12,184,302 12,695,083 49,422,198 335,462,038 11,186,735

4 ADVEST INC Y NFA 06/30/2002 30,728,487 1,000,000 0 29,728,487 0 0

5 AG EDWARDS & SONS INC Y CBOT 06/30/2002 575,220,845 47,985,647 2,156,535 527,235,198 66,797,436 15,775

6 AGE COMMODITY CLEARING CORP N CBOT 06/30/2002 11,133,138 1,151,502 2,849,336 8,283,802 41,955,129 0

7 AIG CLEARING CORPORATION N NYME 06/30/2002 120,244,500 250,000 5,066,260 115,178,240 0 0

8 ALARON TRADING CORPORATION N CME 06/30/2002 3,148,082 1,626,567 789,608 1,521,515 45,190,687 4,506

9 ALCO COMMODITIES INC N NFA 06/28/2002 456,053 250,000 0 206,053 0 0

10 AMERICAN NATIONAL TRADING CORP N NFA 06/30/2002 868,848 359,752 247,867 509,096 12,365,837 0

11 BANC OF AMERICA FUTURES INCORPORATED Y CME 06/30/2002 61,283,759 3,651,131 16,091,946 45,191,813 91,278,281 0

12 BANC ONE CAPITAL MARKETS INC Y CBOT 06/30/2002 386,910,420 75,499,786 124,570,718 262,339,702 2,166,083,736 8,059,251

13 BARCLAYS CAPITAL INC Y CBOT 06/30/2002 390,605,800 58,483,619 103,704,040 286,901,760 1,450,051,361 48,324,637

14 BEAR STEARNS & CO INC Y NFA 06/28/2002 1,847,961,981 30,568,517 0 1,817,393,464 0 0

15 BEAR STEARNS SECURITIES CORP Y CME 06/28/2002 2,483,958,942 657,446,049 96,077,550 1,826,512,893 1,650,488,505 129,487,661

16 BENSON-QUINN COMMODITIES INC N NFA 06/30/2002 3,985,265 682,571 1,160,928 2,824,337 18,546,410 0

17 BIELFELDT & COMPANY LLC N CBOT 06/30/2002 400,436 250,000 0 150,436 0 0

18 BLAYLOCK AND PARTNERS LP Y NFA 06/30/2002 4,136,845 396,155 0 3,740,690 0 0

19 BNP PARIBAS BROKERAGE SERVICES INC Y CME 06/30/2002 29,854,038 819,002 12,321,679 17,532,359 3,283,782 0

20 BNP PARIBAS COMMODITY FUTURES INC N NYME 06/30/2002 49,424,833 8,248,933 8,048,027 41,175,900 239,528,103 1,172,284

21 BNP PARIBAS SECURITIES CORP Y CBOT 06/30/2002 333,944,891 2,719,188 0 331,225,703 0 0

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

23 BOSTON CABOT LLC Y NFA 06/30/2002 361,832 250,000 0 111,832 0 0

24 C CZARNIKOW SUGAR FUTURES INC N NFA 06/30/2002 1,507,846 250,000 93,392 1,257,846 1,146,214 0

25 CANTOR FITZGERALD & CO Y CBOT 06/30/2002 57,564,934 1,026,224 0 56,538,710 5,000 0

26 CAPITAL MARKET SERVICES, LLC N NFA 06/30/2002 416,955 250,000 0 166,955 0 0

27 CARGILL INVESTOR SERVICES INC N CBOT 06/30/2002 74,148,773 37,193,474 50,743,615 23,405,158 936,270,762 96,851,069

28 CARR FUTURES INC Y CME 06/30/2002 192,312,106 86,283,979 116,045,099 76,267,007 2,089,367,374 1,089,385,465

29 CDC SECURITIES Y NFA 06/30/2002 75,779,431 250,000 0 75,529,431 0 0

30 CIBC WORLD MARKETS CORP Y NYME 06/30/2002 924,243,210 19,938,486 15,220,374 904,304,724 5,739,141 0

31 CLIFDEN FUTURES, LLC N NFA 06/30/2002 491,700 250,000 0 241,700 168,573 0

32 COMMERZ FUTURES LLC Y CME 06/30/2002 8,076,063 2,032,805 3,423,163 4,652,900 69,872,867 7,067,632

33 COUNTRY HEDGING INC N NFA 06/30/2002 3,032,504 554,199 1,406,627 1,625,877 16,832,790 33,094

34 CREDIT LYONNAIS ROUSE USA LIMITED N NYME 06/28/2002 12,343,022 3,357,147 14,501,101 -2,158,079 133,311,596 0

35 CREDIT SUISSE FIRST BOSTON CORPORATION Y CBOT 06/30/2002 3,503,218,639 76,725,370 69,462,049 3,426,493,269 1,092,446,750 163,605,039

36 CROSSLAND LLC N CBOT 06/28/2002 3,449,284 443,618 95,702 3,005,666 11,113,953 0

37 CUNNINGHAM COMMODITIES INC N CBOT 06/30/2002 1,869,395 324,370 64,940 1,545,025 8,088,638 95,365

38 DAIWA SECURITIES AMERICA INC Y CME 06/30/2002 219,477,629 3,722,628 5,331,724 214,145,905 91,149,057 1,143,655

39 DEUTSCHE BANK FUTURES INC N CME 06/30/2002 145,515,612 33,668,582 123,219,480 22,296,132 885,321,611 8,916,791

40 DEUTSCHE BANK SECURITIES INC Y CBOT 06/30/2002 725,542,522 81,241,888 35,097,200 644,300,634 861,252,071 144,441,808

41 DIRECT TRADING GROUP LLC N NFA 06/30/2002 396,487 250,000 16,674 146,487 1,391,014 0

42 DONALDSON LUFKIN & JENRETTE SEC CORP Y CBOT 06/30/2002 1,619,476,000 98,226,020 0 1,521,249,980 0 0

43 DORMAN TRADING LLC N CME 06/30/2002 3,442,602 761,358 188,984 2,681,244 19,036,438 0

44 DUNAVANT COMMODITY CORP N NYCE 06/30/2002 14,192,799 898,152 1,086,603 13,106,196 32,301,735 0

45 EAGLE MARKET MAKERS INC N CBOT 06/30/2002 1,654,281 250,000 15,553 1,404,281 1,420,730 46,504

46 EM COMBS & SON N CBOT 06/30/2002 1,615,831 250,000 14,131 1,365,831 1,631,970 0

47 FAHNESTOCK & CO INC Y NFA 06/30/2002 168,139,434 9,268,452 0 158,870,982 773,734 0
SELECTED FCM FINANCIAL DATA 

FROM REPORTS FILED BY 

July 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)

48 FARR FINANCIAL INC N NFA 06/30/2002 717,902 404,643 123,446 313,259 10,362,825 38,141

49 FC STONE LLC N CME 06/30/2002 14,680,811 6,451,533 6,541,281 8,139,530 200,656,323 653,122

50 FCT GROUP LLC N CME 06/28/2002 3,637,638 250,000 346,038 3,291,600 8,147,771 0

51 FIMAT USA INC Y CME 06/30/2002 136,587,357 35,453,740 91,003,183 45,584,174 1,518,930,088 168,453,849

52 FIRST CAPITOL GROUP LLC N NFA 06/30/2002 1,295,226 531,317 465,773 763,909 21,414,577 80

53 FIRST OPTIONS OF CHICAGO INC Y CME 06/28/2002 190,639,339 7,158,714 18,475,565 172,163,774 366,779,341 7,525,028

54 FOREX CAPITAL MARKETS LLC N NFA 06/30/2002 4,318,071 250,000 0 4,068,071 0 0

55 FORTIS CLEARING CHICAGO LLC N CBOT 06/30/2002 6,339,901 1,275,506 529,456 5,064,395 33,037,577 884,453

56 FOX INC N NFA 06/30/2002 387,910 250,000 0 137,910 0 0

57 FRIEDBERG MERCANTILE GROUP INC Y NFA 06/30/2002 1,443,473 250,000 11,872 1,193,473 2,882,044 12,132

58 FRONTIER FUTURES INC N NFA 06/30/2002 1,044,923 348,296 204,411 696,627 10,737,635 0

59 FUTURES TECH LLC N NFA 06/30/2002 408,247 250,000 0 158,247 0 0

60 FX SOLUTIONS LLC N NFA 06/30/2002 297,548 250,000 0 47,548 0 0

61 GAIN CAPITAL N NFA 06/30/2002 1,410,667 250,000 0 1,160,667 0 0

62 GELBER GROUP LLC N CBOT 06/30/2002 8,344,713 692,430 162,212 7,652,283 18,741,219 206,662

63 GFS SECURITIES & FUTURES INC N NFA 06/30/2002 303,993 250,000 0 53,993 0 0

64 GILDER GAGNON HOWE AND CO LLC Y NFA 06/30/2002 21,978,387 250,000 0 21,728,387 0 0

65 GLOBAL FUTURES & FOREX LTD N NFA 06/30/2002 2,678,534 250,000 0 2,428,534 0 0

66 GNI INCORPORATED N CBOT 06/30/2002 13,145,681 5,216,423 6,465,406 6,680,275 120,295,513 21,235,340

67 GOLDENBERG HEHMEYER & CO Y CBOT 06/30/2002 10,561,634 1,297,236 952,690 9,264,398 40,509,640 2,720,683

68 GOLDMAN SACHS & CO Y CBOT 06/28/2002 3,454,999,775 653,503,082 367,381,313 2,801,496,693 6,455,941,426 2,661,770,467

69 GREENWICH CAPITAL MARKETS INC Y CBOT 06/30/2002 773,707,000 15,579,000 24,413,480 749,293,520 227,427,000 91,009,000

70 HAGERTY GRAIN CO INC N CBOT 06/30/2002 1,608,442 270,404 51,613 1,338,038 6,868,327 0

71 HORNBLOWER FISCHER & CO Y NFA 06/30/2002 1,976,332 359,886 345,316 1,616,446 9,087,145 0

72 HOTSPOT FX INC N NFA 06/30/2002 527,940 250,000 0 277,940 0 0

73 HSBC SECURITIES USA INC Y CME 06/30/2002 133,495,671 9,353,517 23,567,020 109,928,651 243,288,373 38,793,509

74 INTEGRATED BROKERAGE SERVICES INC N NFA 06/30/2002 639,541 250,000 0 389,541 799,089 0

75 INTERACTIVE BROKERS LLC Y NFA 06/30/2002 70,949,161 2,914,488 312,540 68,034,673 54,712,611 18,149,591

76 IOWA GRAIN CO N CBOT 06/30/2002 6,969,354 3,905,741 2,624,034 3,063,613 103,129,451 5,510

77 JP MORGAN FUTURES INC N NYME 06/30/2002 445,461,137 139,213,579 229,576,372 215,884,765 3,566,855,028 427,503,089

78 JULIUS BAER SECURITIES INC Y NFA 06/30/2002 11,525,348 376,602 0 11,148,746 0 0

79 KOTTKE ASSOCIATES LLC N CBOT 06/30/2002 10,785,728 352,719 122,392 10,433,009 13,121,410 17,294

80 LADENBURG THALMANN & CO INC Y NFA 06/30/2002 3,453,082 1,000,000 0 2,453,082 0 0

81 LAWRENCE-BONFITTO TRADING COMPANY N CBOT 06/30/2002 2,697,824 250,000 84,343 2,447,824 5,229,829 0

82 LBS LIMITED PARTNERSHIP N CBOT 06/30/2002 361,343 250,000 0 111,343 0 0

83 LEGG MASON WOOD WALKER INC Y NFA 06/30/2002 322,130,475 20,032,379 0 302,098,096 0 0

84 LEHMAN BROTHERS INC Y CBOT 06/30/2002 1,916,045,000 126,128,840 104,929,200 1,789,916,160 1,340,260,000 8,945,000

85 LINN GROUP ( THE ) N NFA 06/30/2002 452,843 250,000 0 202,843 0 0

86 LINSCO/PRIVATE LEDGER CORP Y NFA 06/30/2002 93,221,995 3,983,969 0 89,238,026 0 0

87 LOEB PARTNERS CORPORATION Y NFA 06/30/2002 16,286,677 250,000 0 16,036,677 0 0

88 MACQUARIE FUTURES INC N CBOT 06/30/2002 823,694 250,000 5,236 573,694 1,194,782 0

89 MAN FINANCIAL INC Y CME 06/30/2002 147,490,681 71,180,593 83,050,579 64,440,102 1,965,258,469 283,442,587

90 MARQUETTE ELECTRONIC BROKERAGE LLC N NFA 06/28/2002 1,483,783 250,000 0 1,233,783 0 0

91 MAXCOR FINANCIAL INC Y NFA 06/30/2002 21,346,946 250,000 0 21,096,946 0 0

92 MBF CLEARING CORP N NYME 06/30/2002 6,266,935 2,120,704 603,301 4,146,231 53,021,461 225,908

93 MCVEAN TRADING AND INVESTMENTS LLC N NFA 06/30/2002 7,144,668 3,051,845 660,952 4,092,823 76,552,281 0

94 MERRILL LYNCH PIERCE FENNER & SMITH Y CBOT 06/28/2002 2,498,336,832 321,753,863 212,885,969 2,176,582,969 4,582,186,434 285,202,251
SELECTED FCM FINANCIAL DATA 

FROM REPORTS FILED BY 

July 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)

95 MERRILL LYNCH PROFESSIONAL CLEARING COR Y NFA 06/28/2002 1,060,509,501 31,003,420 57,486,583 1,003,022,918 845,091,237 0

96 MID-CO COMMODITIES INC N NFA 06/30/2002 3,135,839 250,000 420,892 2,714,947 5,343,379 0

97 MIDLAND EURO INC N NFA 06/30/2002 -92,682 250,000 0 -342,682 0 0

98 MITSUI & CO INVESTMENT PRODUTS CORP N NFA 06/28/2002 2,604,168 250,000 2,448 2,354,168 1,459,890 0

99 MIZUHO SECURITIES USA INC Y CME 06/30/2002 257,192,589 14,099,700 13,828,172 243,092,889 311,438,815 36,041,224

100 MONEY GARDEN CORP N NFA 06/30/2002 3,235,436 250,000 0 2,985,436 0 0

101 MORGAN KEEGAN & COMPANY INC Y NFA 06/30/2002 142,754,446 10,205,306 0 132,549,140 0 0

102 MORGAN STANLEY & CO INCORPORATED Y CME 06/30/2002 5,236,204,920 646,008,463 157,182,518 4,590,196,457 2,636,379,525 805,589,262

103 MORGAN STANLEY DW INC Y CBOT 06/30/2002 1,253,939,498 125,390,965 1,988,145 1,128,548,533 511,342,726 868,071,948

104 NATIONAL COMMODITIES CORPORATION INC N NFA 06/30/2002 1,727,111 250,000 1,200,981 526,130 11,919,440 0

105 NEUBERGER BERMAN LLC Y NFA 06/30/2002 221,267,184 15,086,909 489,428 206,180,275 14,319,645 0

106 NIKKO SECURITIES CO INTERNATIONAL INC Y NFA 06/30/2002 8,916,654 250,000 0 8,666,654 0 0

107 NOMURA SECURITIES INTERNATIONAL INC Y CBOT 06/30/2002 530,249,741 3,845,559 759,704 526,404,182 11,978,167 0

108 NOYES DAVID A Y NFA 06/30/2002 1,603,507 250,000 0 1,353,507 0 0

109 OCONNOR & COMPANY LLC Y CBOT 06/30/2002 37,076,152 1,965,427 1,311,563 35,110,725 52,351,867 0

110 PACKERS TRADING CO INC N NFA 06/30/2002 2,438,676 250,000 136,935 2,188,676 5,276,913 0

111 PATTERSON CAPITAL MARKETS LTD N CBOT 06/30/2002 482,169 250,000 0 232,169 0 0

112 PAX CLEARING CORPORATION Y CME 06/30/2002 54,721,141 754,455 1,024,359 53,696,782 19,652,220 0

113 PENSON FINANCIAL FUTURES INC N NFA 06/30/2002 442,198 250,000 3,216 192,198 91,351 0

114 PEREGRINE FINANCIAL GROUP INC N NFA 06/30/2002 7,240,039 3,155,999 1,418,221 4,084,040 84,330,216 526,940

115 PIONEER CAPITAL CORP Y NFA 06/30/2002 2,103,830 250,000 0 1,853,830 0 0

116 PIONEER FUTURES INC N NYME 06/30/2002 6,993,333 2,539,035 1,127,889 4,454,298 70,931,582 323,409

117 PREFERRED TRADE INC Y NFA 06/30/2002 9,618,678 744,321 0 8,874,357 0 0

118 PRUDENTIAL SECURITIES INCORPORATED Y CBOT 06/28/2002 529,927,000 87,191,640 68,975,800 442,735,360 1,329,597,000 128,890,000

119 QTECH DERIVATIVES INC N NFA 06/30/2002 512,350 250,000 0 262,350 0 0

120 RAND FINANCIAL SERVICES INC N CME 06/30/2002 12,102,143 5,343,005 8,383,974 3,718,169 132,178,000 15,888,000

121 RAYMOND JAMES & ASSOCIATES INC Y NFA 06/28/2002 329,014,954 23,356,230 31,424 305,658,724 0 0

122 RB&H FINANCIAL SERVICES LP N CME 06/30/2002 3,365,397 1,826,120 907,473 1,539,277 48,420,805 15,466

123 RBC DAIN RAUSCHER INC Y NFA 06/30/2002 183,202,452 59,181,460 0 124,020,992 0 0

124 RBC DOMINION SECURITIES CORPORATION Y CME 06/28/2002 133,910,333 1,000,000 1,213,500 132,696,833 0 0

125 REFCO LLC N CME 06/30/2002 168,990,594 106,668,731 85,109,503 62,321,863 2,892,189,101 35,920,220

126 RJ OBRIEN ASSOCIATES INC N CME 06/28/2002 28,444,596 13,132,062 11,008,822 15,312,534 357,121,572 4,115,617

127 ROBBINS FUTURES INC N NFA 06/30/2002 456,923 250,000 46,450 206,923 6,190,792 0

128 ROBERTSON STEPHENS INC Y CME 06/30/2002 301,948,952 3,046,546 0 298,902,406 0 0

129 ROSENTHAL COLLINS GROUP LLC N CME 06/30/2002 43,370,925 8,340,449 4,894,383 35,030,476 224,556,224 740,556

130 ROSENTHAL GLOBAL SECURITIES L L C Y CBOT 06/30/2002 10,109,501 702,989 0 9,406,512 0 0

131 ROTHSCHILD INC Y NYME 06/30/2002 10,845,556 250,000 10,595,556 0 0 0

132 SALOMON SMITH BARNEY INC Y CBOT 06/30/2002 3,112,463,074 403,195,781 154,506,733 2,709,267,293 4,396,537,777 97,208,322

133 SANFORD C BERNSTEIN & CO LLC Y NFA 06/30/2002 186,052,907 11,334,240 0 174,718,667 0 0

134 SAVANT USA LIMITED N NFA 06/30/2002 523,331 250,000 0 273,331 0 0

135 SENTINEL MANAGEMENT GROUP INC N NFA 06/30/2002 895,221 250,000 0 645,221 362,778,737 0

136 SG COWEN SECURITIES CORPORATION Y NFA 06/30/2002 749,111,582 1,500,000 0 747,611,582 0 0

137 SHATKIN ARBOR KARLOV & CO N CBOT 06/30/2002 5,861,165 370,634 127,391 5,490,531 9,351,575 146,226

138 SHAY GRAIN CLEARING COMPANY N KCBT 06/30/2002 729,475 250,000 4,099 479,475 632,871 0

139 SHEPARD INTERNATIONAL INC N NFA 06/30/2002 2,108,811 250,000 0 1,858,811 0 0

140 SHERWOOD FUTURES GROUP LLC N NFA 06/30/2002 796,639 250,000 0 546,639 4,154,504 0

141 SIEGEL TRADING CO INC THE N NFA 06/30/2002 515,982 250,000 0 265,982 1,588,806 0
SELECTED FCM FINANCIAL DATA 

FROM REPORTS FILED BY 

July 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)

142 SMW TRADING COMPANY INC N CME 06/28/2002 6,656,327 477,839 434,699 6,178,488 11,945,963 0

143 SPEAR LEEDS & KELLOG Y NYME 06/28/2002 887,866,848 38,452,941 3,847,781 849,413,907 184,623,083 181,368

144 STAFF USA INC N NFA 06/30/2002 338,221 250,000 0 88,221 0 0

145 STEPHENS INC Y NFA 06/28/2002 73,413,717 8,783,494 0 64,630,223 0 0

146 STERLING COMMODITIES CORP N NYME 06/30/2002 5,313,865 912,082 275,127 4,401,783 23,135,837 632,390

147 SWISS AMERICAN SECURITIES INC Y NFA 06/30/2002 65,533,583 5,312,633 0 60,220,950 0 0

148 TCA FUTURES LLC N NFA 06/30/2002 419,034 250,000 0 169,034 0 0

149 TENCO INC N CBOT 06/30/2002 25,560,910 1,181,221 1,287,789 24,273,121 43,207,819 0

150 TIMBER HILL LLC Y CME 06/28/2002 283,700,471 374,875 323,349 283,325,596 9,391,892 0

151 TOKYO GENERAL USA INC N NFA 06/30/2002 460,563 250,000 2,598 210,563 1,435,733 3,237

152 TOKYO-MITSUBISHI FUTURES USA INC N CME 06/30/2002 20,012,353 411,826 3,085,328 16,927,025 9,932,783 362,858

153 TRADELINK LLC Y CBOT 06/30/2002 18,402,450 250,000 328,268 18,074,182 0 0

154 TRANSMARKET GROUP LLC Y CBOT 06/30/2002 6,500,784 1,020,957 0 5,479,827 0 0

155 TRILAND USA INC N NYME 06/30/2002 19,526,558 593,617 472,645 18,932,941 14,844,224 0

156 UBS PAINEWEBBER INC Y CBOT 06/30/2002 1,342,241,496 206,708,081 16,378,792 1,135,533,415 651,944,608 5,943,971

157 UBS WARBURG LLC Y CBOT 06/30/2002 1,631,371,921 130,278,644 187,327,332 1,444,044,589 2,781,280,485 475,685,618

158 UFJ FUTURES LLC N CME 06/30/2002 14,724,648 250,000 1,120,571 13,604,077 0 0

159 UNIVERSAL FINANCIAL HOLDING CORP N NFA 06/30/2002 607,110 250,000 93,323 357,110 2,196,622 0

160 US BANCORP PIPER JAFFRAY INC Y NFA 06/30/2002 234,290,312 11,101,636 0 223,188,676 0 0

161 US SECURITIES & FUTURES CORP Y NFA 06/30/2002 415,982 250,000 0 165,982 0 0

162 VISION LIMITED PARTNERSHIP N NFA 06/30/2002 12,848,863 6,220,167 442,389 6,628,696 161,808,426 13,001

163 WACHOVIA SECURITIES INC Y CME 06/30/2002 335,772,199 1,410,329 0 334,361,870 0 0

164 WALL STREET DERIVATIVES INC N NFA 06/30/2002 397,455 250,000 0 147,455 0 0

165 WEISS PECK & GREER LLC Y NFA 06/28/2002 77,192,146 3,234,248 0 73,957,898 0 0

166 WHITE COMMERCIAL CORPORATION N NFA 06/30/2002 1,509,803 250,000 0 1,259,803 0 0

167 XPRESSTRADE LLC N NFA 06/30/2002 1,602,593 250,000 0 1,352,593 0 0

168 YORK BUSINESS ASSOCIATES N NFA 06/30/2002 1,053,533 250,000 0 803,533 0 0

Totals 45,658,615,670 53,927,919,427 8,257,839,196

Name Changes from June 2002 Update

E FUTURES.COM LLC to FIRST CAPITOL GROUP LLC 

Reconcilation from June Web Page Update

June Web Page Update 168

Additions

1 BNY CLEARING SERVICES LLC

2 YORK BUSINESS ASSOCIATES

Deletions

1 BAXTER FINANCIAL SERVICES LTD

2 GRUNTAL AND CO LLC
SELECTED FCM FINANCIAL DATA 

FROM REPORTS FILED BY 

July 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)

July Web Page Update 168

(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.