SELECTED FCM FINANCIAL DATA 

FROM REPORTS FILED BY 

August 31, 2004

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

Futures Commission Merchant Date Net Capital Requirement Requirement Net Capital 

(4% of Seg, SEC Capital 

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

1 ABN AMRO INCORPORATED Y CBOT 07/31/2004 909,785,020 66,152,625 107,569,857 802,215,163 2 ABN AMRO SAGE CORPORATION Y NFA 07/31/2004 92,043,516 250,000 103,786 91,793,516 3 ADM INVESTOR SERVICES INC N CBOT 07/31/2004 64,466,405 26,884,849 23,890,599 37,581,556 4 ADVANTAGE FUTURES LLC N CME 07/31/2004 9,972,040 3,147,393 1,290,223 6,824,647 5 ADVEST INC Y NFA 07/31/2004 46,522,123 1,000,000 0 45,522,123 6 AG EDWARDS & SONS INC Y CBOT 07/31/2004 636,462,899 44,928,361 4,856,102 591,534,538 7 AIG CLEARING CORPORATION N NYME 07/31/2004 180,991,085 250,000 16,995,092 163,995,993 8 ALARON TRADING CORPORATION N CME 07/31/2004 5,769,539 2,969,683 1,425,172 2,799,856 9 ALCO COMMODITIES INC N NFA 07/31/2004 456,492 250,000 0 206,492 

10 AMERICAN MUTUAL HOLDING CORPORATION N NFA 07/31/2004 1,079,770 250,000 0 829,770 11 AMERICAN NATIONAL TRADING CORP N NFA 07/31/2004 1,657,267 694,072 326,672 963,195 12 BACERA CORPORATION N NFA 07/31/2004 663,424 250,000 0 413,424 13 BANC OF AMERICA FUTURES INCORPORATED Y CME 07/31/2004 70,447,409 11,054,824 39,942,606 30,504,803 14 BARCLAYS CAPITAL INC Y NYME 07/30/2004 781,684,684 112,001,067 163,107,463 618,577,221 15 BEAR STEARNS & CO INC Y NFA 07/31/2004 2,142,490,356 57,790,521 0 2,084,699,835 16 BEAR STEARNS SECURITIES CORP Y CME 07/31/2004 3,567,129,625 1,092,509,125 148,722,899 2,474,620,500 17 BIELFELDT & COMPANY LLC N CBOT 07/31/2004 406,075 250,000 0 156,075 18 BLAYLOCK AND PARTNERS LP Y NFA 07/31/2004 3,756,212 320,574 0 3,435,638 19 BNP PARIBAS BROKERAGE SERVICES INC Y CME 07/31/2004 43,912,728 14,912,734 16,500,997 27,411,731 20 BNP PARIBAS COMMODITY FUTURES INC N NYME 07/31/2004 48,582,152 10,819,147 21,859,188 26,722,964 21 BNP PARIBAS SECURITIES CORP Y CBOT 07/31/2004 295,921,281 631,041 0 295,290,240 22 C CZARNIKOW SUGAR FUTURES INC N NFA 07/31/2004 1,512,765 250,000 82,632 1,262,765 23 CADENT FINANCIAL SERVICES LLC N CME 07/31/2004 3,171,845 679,078 400,189 2,492,767 24 CAL FINANCIAL CORPORATION N NFA 07/31/2004 401,507 250,000 0 151,507 25 CALYON FINANCIAL INC Y CME 07/31/2004 306,848,334 168,441,056 226,460,323 80,388,011 26 CANTOR FITZGERALD & CO Y CBOT 07/31/2004 100,449,953 4,539,090 732,558 95,910,863 27 CAPITAL MARKET SERVICES LLC N NFA 07/31/2004 948,683 250,000 0 698,683 28 CARGILL INVESTOR SERVICES INC N CBOT 07/31/2004 86,839,264 49,147,124 61,803,433 25,035,831 29 CDC SECURITIES Y NFA 07/31/2004 77,297,785 250,000 0 77,047,785 30 CIBC WORLD MARKETS CORP Y CME 07/31/2004 822,649,223 28,847,956 14,300,415 793,801,267 31 CITIGROUP GLOBAL MARKETS INC. Y CBOT 07/31/2004 4,234,610,017 503,406,840 274,790,157 3,731,203,177 32 CLIFDEN FUTURES LLC N NFA 07/31/2004 718,441 453,483 327,826 264,958 33 CLIFF LARSON COMPANY THE N NFA 07/31/2004 469,406 250,000 52,797 219,406 34 CLR (USA) INC. N NYME 07/31/2004 29,725,632 250,000 0 29,475,632 35 CMC GROUP PLC N NFA 07/31/2004 11,291,464 250,000 0 11,041,464 36 COESfx CLEARING INC N NFA 07/31/2004 454,287 250,000 0 204,287 37 COMMERZ FUTURES LLC N CME 07/31/2004 16,032,488 4,644,954 7,053,854 8,978,634 38 COUNTRY HEDGING INC N NFA 07/31/2004 14,146,081 1,470,650 2,696,865 11,449,216 39 CREDIT SUISSE FIRST BOSTON LLC Y CBOT 07/31/2004 3,246,669,025 147,698,481 131,804,303 3,098,970,544 40 CRESSWELL CAPITAL LLC N NFA 07/31/2004 2,052,361 250,000 94,126 1,802,361 41 CROSSLAND LLC N CBOT 07/30/2004 2,511,262 302,912 123,689 2,208,350 42 CUNNINGHAM COMMODITIES INC N CBOT 07/31/2004 1,250,257 719,416 354,573 530,841 43 DAIWA SECURITIES AMERICA INC Y CME 07/31/2004 181,693,371 1,961,908 2,397,623 179,295,748 44 DAVID A NOYES & CO Y NFA 07/31/2004 2,444,395 250,000 0 2,194,395 45 DEUTSCHE BANK SECURITIES INC Y CBOT 07/30/2004 2,355,379,264 113,518,821 221,577,513 2,133,801,751 46 DORMAN TRADING LLC N CME 07/31/2004 4,750,592 620,030 161,447 4,130,562 
SELECTED FCM FINANCIAL DATA 

FROM REPORTS FILED BY 

August 31, 2004

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

Futures Commission Merchant Date Net Capital Requirement Requirement Net Capital 

(4% of Seg, SEC Capital 

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

47 DUNAVANT COMMODITY CORP N NYCE 06/30/2004 18,948,266 847,820 1,061,920 17,886,346 48 EAGLE MARKET MAKERS INC N CBOT 07/30/2004 2,055,851 298,663 85,259 1,757,188 49 ED &F MAN COMMODITY ADVISORS INC N NFA 07/31/2004 446,502 250,000 0 196,502 50 ELECTRONIC BROKERAGE SYSTEMS LLC N NFA 07/30/2004 2,472,404 250,000 0 2,222,404 51 ENSKILDA FUTURES LTD N CBT 07/31/2004 2,985,575 250,000 0 2,735,575 52 FARR FINANCIAL INC N NFA 07/31/2004 1,303,884 799,938 326,286 503,946 53 FC STONE LLC N CME 07/31/2004 22,014,642 12,674,080 12,444,839 9,340,562 54 FCT GROUP LLC N CME 07/31/2004 9,346,467 250,000 465,414 8,881,053 55 FIMAT USA INC Y CME 07/31/2004 277,548,238 148,351,520 178,421,777 99,126,461 56 FIRST CAPITOL GROUP LLC N NFA 07/31/2004 3,774,758 1,850,210 1,605,557 1,924,548 57 FOREX CAPITAL MARKETS LLC N NFA 07/31/2004 20,619,330 250,000 0 20,369,330 58 FORTIS CLEARING CHICAGO LLC N CBOT 07/31/2004 18,478,170 4,010,202 3,577,520 14,467,968 59 FRIEDBERG MERCANTILE GROUP INC N NFA 07/31/2004 1,837,017 250,000 38,324 1,587,017 60 FRONTIER FUTURES INC N NFA 07/31/2004 852,450 485,424 441,092 367,026 61 FUTURES TECH LLC N NFA 07/31/2004 410,087 250,000 0 160,087 62 FX SOLUTIONS LLC N NFA 07/31/2004 1,048,311 250,000 0 798,311 63 GAIN CAPITAL INC N NFA 07/31/2004 11,600,003 250,000 0 11,350,003 64 GAIN CAPITAL GROUP INC N NFA 07/31/2004 11,600,003 250,000 0 11,350,003 65 GELBER GROUP LLC N CBOT 07/31/2004 18,031,403 726,654 282,532 17,304,749 66 GFS SECURITIES & FUTURES INC N NFA 07/31/2004 289,130 250,000 0 39,130 67 GILDER GAGNON HOWE AND CO LLC Y NFA 07/31/2004 19,806,080 250,000 0 19,556,080 68 GLOBAL FUTURES & FOREX LTD Y NFA 07/31/2004 8,066,313 1,314,922 0 6,751,391 69 GLOBAL FUTURES LLC N NFA 07/31/2004 375,966 250,000 0 125,966 70 GOLDENBERG HEHMEYER & CO Y CBOT 07/31/2004 6,053,484 2,421,751 1,596,644 3,631,733 71 GOLDMAN SACHS & CO Y CBOT 07/30/2004 4,957,405,270 1,004,529,319 511,567,787 3,952,875,951 72 GREENWICH CAPITAL MARKETS INC Y CBOT 07/31/2004 796,796,000 34,572,000 28,659,760 762,224,000 73 HAGERTY GRAIN CO INC N CBOT 07/31/2004 1,648,104 312,204 130,792 1,335,900 74 HORNBLOWER FISCHER & CO Y NFA 07/31/2004 535,795 250,000 20,496 285,795 75 HOTSPOT FX INC N NFA 07/31/2004 2,467,145 250,000 0 2,217,145 76 HSBC SECURITIES USA INC Y CME 07/31/2004 427,561,254 13,408,708 37,517,400 390,043,854 77 IFSCL USA INC N NFA 07/31/2004 796,168 250,000 0 546,168 78 IFX MARKETS INC N NFA 07/31/2004 475,184 250,000 0 225,184 79 INTEGRATED BROKERAGE SERVICES INC N NFA 07/31/2004 1,183,344 250,000 99,529 933,344 80 INTERACTIVE BROKERS LLC Y NFA 07/30/2004 105,169,952 6,270,436 4,523,364 98,899,516 81 INTERNATIONAL COMMODITY CLEARING N NFA 07/31/2004 1,314,453 250,000 112,456 1,064,453 82 INVESTEC (US) INCORPORATED Y NFA 07/30/2004 19,787,932 250,000 0 19,537,932 83 IOWA GRAIN CO N CBOT 07/31/2004 13,746,382 5,252,802 6,328,954 7,417,428 84 ITAU SECURITIES INC Y NFA 07/31/2004 2,351,397 250,000 0 2,101,397 85 JP MORGAN FUTURES INC N NYME 07/31/2004 855,124,026 235,421,162 344,919,006 510,205,020 86 JULIUS BAER SECURITIES INC Y NFA 07/30/2004 19,083,229 1,696,486 0 17,386,743 87 KJW LLC N NFA 07/31/2004 1,579,190 250,000 0 1,329,190 88 KOTTKE ASSOCIATES LLC N CBOT 07/31/2004 10,285,341 315,624 220,730 9,969,717 89 LADENBURG THALMANN & CO INC Y NFA 07/31/2004 2,897,213 250,000 0 2,647,213 90 LAWRENCE-BONFITTO TRADING COMPANY N CBOT 07/31/2004 2,529,101 291,605 80,932 2,237,496 91 LBS LIMITED PARTNERSHIP N CBOT 07/31/2004 590,592 250,000 0 340,592 92 LEADER INVESTMENTS INC Y NFA 07/31/2004 382,795 250,000 0 132,795 93 LEGG MASON WOOD WALKER INC Y NYME 07/31/2004 417,668,526 25,261,559 0 392,406,967 
SELECTED FCM FINANCIAL DATA 

FROM REPORTS FILED BY 

August 31, 2004

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

Futures Commission Merchant Date Net Capital Requirement Requirement Net Capital 

(4% of Seg, SEC Capital 

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

94 LEHMAN BROTHERS INC Y CBOT 07/31/2004 2,151,886,000 216,708,480 117,102,400 1,935,177,520 95 LINN GROUP ( THE ) N NFA 07/31/2004 389,145 250,000 0 139,145 96 LINSCO/PRIVATE LEDGER CORP Y NFA 07/31/2004 95,062,824 4,133,280 0 90,929,544 97 LOEB PARTNERS CORPORATION Y NFA 07/31/2004 27,190,376 250,000 0 26,940,376 98 MAN FINANCIAL INC N CME 07/31/2004 220,700,132 130,784,110 165,269,622 55,430,510 99 MARQUETTE ELECTRONIC BROKERAGE LLC N NFA 07/31/2004 1,222,262 250,000 0 972,262 

100 MAXCOR FINANCIAL INC Y NFA 07/31/2004 40,762,074 250,000 0 40,512,074 101 MBF CLEARING CORP N NYME 07/31/2004 7,726,878 2,974,258 1,249,661 4,752,620 102 MBT TECHNOLOGIES LLC N NFA 07/31/2004 686,558 250,000 0 436,558 103 MCVEAN TRADING AND INVESTMENTS LLC N NFA 07/31/2004 16,510,101 10,621,368 1,491,321 5,888,733 104 MERRILL LYNCH PIERCE FENNER & SMITH Y CBOT 07/30/2004 2,414,188,442 391,554,054 294,369,463 2,022,634,388 105 MERRILL LYNCH PROFESSIONAL CLEARING CORP Y NFA 07/30/2004 581,634,829 18,887,536 36,130,508 545,504,321 106 MID-CO COMMODITIES INC N NFA 07/31/2004 4,113,640 1,000,301 1,210,529 2,903,111 107 MITSUI & CO INVESTMENT PRODUTS CORP N NFA 07/31/2004 618,709 250,000 0 368,709 108 MIZUHO SECURITIES USA INC Y CME 07/31/2004 125,245,706 14,172,360 18,109,937 107,135,769 109 MONEY GARDEN CORP N NFA 07/31/2004 3,172,476 250,000 0 2,922,476 110 MORGAN KEEGAN & COMPANY INC Y NFA 07/31/2004 282,159,916 11,588,679 0 270,571,237 111 MORGAN STANLEY & CO INCORPORATED Y CME 07/31/2004 3,185,542,045 738,815,260 232,983,096 2,446,726,785 112 MORGAN STANLEY DW INC Y CBOT 07/31/2004 1,265,025,004 127,256,654 4,715,785 1,137,768,350 113 NEUBERGER BERMAN LLC Y NFA 07/31/2004 218,640,096 14,954,791 587,200 203,685,305 114 NIKKO SECURITIES CO INTERNATIONAL INC Y NFA 07/31/2004 14,141,756 250,000 0 13,891,756 115 NOMURA SECURITIES INTERNATIONAL INC Y CBOT 07/31/2004 747,677,943 8,894,259 904,975 738,783,684 116 OANDA CORPORATION N NFA 07/31/2004 8,306,616 250,000 0 8,056,616 117 OCONNOR & COMPANY LLC Y CBOT 07/31/2004 43,420,016 2,914,173 3,180,025 40,239,991 118 OMEGA RESEARCH CORPORATION Y NFA 07/31/2004 919,399 250,000 0 669,399 119 OPEN E CRY LLC N NFA 07/31/2004 749,195 351,850 255,127 397,345 120 OPPENHEIMER & CO INC Y NFA 07/31/2004 194,019,735 19,917,683 0 174,102,052 121 PATTERSON CAPITAL MARKETS LTD N CBOT 07/31/2004 700,071 250,000 0 450,071 122 PAX CLEARING CORPORATION Y CME 07/31/2004 60,787,619 1,605,604 3,238,363 57,549,256 123 PENSON FINANCIAL FUTURES INC N NFA 07/31/2004 453,110 250,000 118,368 203,110 124 PEREGRINE FINANCIAL GROUP INC N NFA 07/31/2004 11,780,304 3,334,117 291,720 8,446,187 125 PERSHING LLC Y CBOT 07/31/2004 974,624,000 163,378,100 0 811,245,900 126 PIONEER FUTURES INC N NYME 07/31/2004 9,512,771 4,072,856 1,716,676 5,439,915 127 PIPER JAFFRAY CO. Y NFA 07/31/2004 267,220,914 10,781,135 0 256,439,779 128 PREFERRED TRADE INC Y NFA 07/31/2004 9,836,437 944,559 0 8,891,878 129 PRUDENTIAL EQUITY GROUP LLC Y NFA 07/31/2004 317,609,000 250,000 0 317,359,000 130 PRUDENTIAL FINANCIAL DERIVATIVES LLC N CBOT 07/31/2004 101,885,000 48,379,720 72,849,520 29,035,480 131 QIX FUTURES INC N NFA 07/31/2004 916,287 250,000 0 666,287 132 QUALIFIED LEVERAGE PROVIDERS INC. N NFA 07/31/2004 5,184,469 250,000 0 4,934,469 133 RAND FINANCIAL SERVICES INC N CME 07/31/2004 16,635,200 4,841,464 8,975,516 7,659,684 134 RAYMOND JAMES & ASSOCIATES INC Y NFA 07/30/2004 351,647,715 24,226,853 27,621 327,420,862 135 RBC CAPITAL MARKETS CORPORATION Y CME 07/31/2004 256,667,012 1,500,000 18,627,064 238,039,948 136 RBC DAIN RAUSCHER INC Y NFA 07/31/2004 297,420,847 30,179,675 0 267,241,172 137 REDSKY SECURITIES LLC Y NFA 07/31/2004 852,500 250,000 0 602,500 138 REFCO LLC N CME 07/31/2004 269,030,274 126,146,544 128,664,719 140,365,555 139 RESOURCE TRADING & BROKERAGE LLC N NFA 07/31/2004 576,634 250,000 0 326,634 140 RJ OBRIEN ASSOCIATES INC N CME 07/30/2004 57,977,739 32,526,889 39,363,519 18,614,220 
SELECTED FCM FINANCIAL DATA 

FROM REPORTS FILED BY 

August 31, 2004

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

Futures Commission Merchant Date Net Capital Requirement Requirement Net Capital 

(4% of Seg, SEC Capital 

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

141 ROBBINS FUTURES INC N NFA 07/31/2004 442,436 250,000 67,478 192,436 142 ROBECO USA LLC Y NFA 07/30/2004 42,333,130 1,500,000 0 40,833,130 143 ROSENTHAL COLLINS GROUP LLC N CME 07/31/2004 26,842,616 13,813,537 9,216,417 13,029,079 144 ROSENTHAL GLOBAL SECURITIES LLC Y CBOT 07/31/2004 10,812,406 860,771 0 9,951,635 145 SAFEGUARD FINANCIAL HOLDINGS, LLC N NFA 07/31/2004 405,682 250,000 0 155,682 146 SANFORD C BERNSTEIN & CO LLC Y NFA 07/31/2004 144,720,289 16,754,017 0 127,966,272 147 SENTINEL MANAGEMENT GROUP INC N NFA 07/31/2004 811,986 250,000 0 561,982 148 SHATKIN ARBOR INC N CBOT 07/31/2004 6,013,858 532,778 209,314 5,481,080 149 SHAY GRAIN CLEARING COMPANY N KCBT 06/30/2004 820,694 250,000 208,715 570,694 150 SHEPARD INTERNATIONAL INC N NFA 07/31/2004 1,878,719 250,000 0 1,628,719 151 SHERWOOD FUTURES GROUP LLC N NFA 07/31/2004 661,226 250,000 0 411,226 152 SMW TRADING COMPANY INC N CME 07/30/2004 7,754,002 605,848 443,076 7,148,154 153 SNC INVESTMENTS INC N NFA 07/31/2004 336,391 250,000 0 86,391 154 SOLID GOLD FINANCIAL SERVICES INC N NFA 07/31/2004 318,751 250,000 0 68,751 155 SPEAR LEEDS & KELLOG Y CME 07/30/2004 736,616,749 33,995,770 17,790,128 702,620,979 156 SPENCER FINANCIAL LLC N NFA 07/31/2004 253,868 250,000 0 3,868 157 STEPHENS INC Y NFA 07/30/2004 68,629,377 11,524,743 0 57,104,634 158 STERLING COMMODITIES CORP N NYME 07/31/2004 6,353,078 1,492,863 230,363 4,860,215 159 SWISS AMERICAN SECURITIES INC Y NFA 07/31/2004 83,767,836 5,160,755 0 78,607,081 160 TCA FUTURES LLC N NFA 07/31/2004 407,106 250,000 0 157,106 161 TENCO INC N CBOT 07/31/2004 24,500,060 3,520,011 3,739,905 20,760,155 162 TERRA NOVA TRADING LLC Y NFA 07/31/2004 9,541,665 942,107 0 8,599,558 163 TIMBER HILL LLC Y CME 07/31/2004 475,418,912 2,211,470 4,523,636 470,895,276 164 TOKYO-MITSUBISHI FUTURES USA INC N CME 07/31/2004 15,201,358 250,000 1,770,670 13,430,688 165 TOWER RESEARCH CAPITAL EUROPE LLC N NFA 07/31/2004 1,353,749 250,000 0 1,103,749 166 TRADELINK LLC Y CBOT 07/31/2004 22,783,620 250,000 241,448 22,533,620 167 TRADESTATION SECURITIES INC Y NFA 07/31/2004 11,618,955 250,000 0 11,368,955 168 TRADITION SECURITIES AND FUTURES INC N NFA 07/31/2004 382,089 250,000 0 132,089 169 TRANSMARKET GROUP LLC Y CBOT 07/31/2004 12,567,882 250,000 0 12,317,882 170 TRILAND USA INC N NYME 07/31/2004 23,246,203 2,110,567 2,316,494 20,929,709 171 UBS FINANCIAL SERVICES INC Y CBOT 07/31/2004 1,447,026,989 193,743,174 21,005,255 1,253,283,815 172 UBS SECURITIES LLC Y CBOT 07/31/2004 3,413,807,759 315,208,329 228,128,216 3,098,599,430 173 UFJ FUTURES LLC N CME 07/31/2004 16,050,653 250,000 1,817,160 14,233,493 174 UNIVERSAL FINANCIAL HOLDING CORP N NFA 07/31/2004 734,679 250,000 120,189 484,679 175 VELOCITY FUTURES LP N NFA 07/31/2004 2,473,452 438,591 0 2,034,861 176 VIEWTRADE SECURITIES INC Y NFA 07/31/2004 809,181 407,500 0 401,681 177 VISION LIMITED PARTNERSHIP N NFA 07/31/2004 12,960,765 7,107,333 7,152,997 5,807,768 178 WACHOVIA CAPITAL MARKETS LLC Y NFA 07/31/2004 335,948,862 4,365,078 0 331,583,784 179 WACHOVIA SECURITIES FINANCIAL NETWORK LL Y NFA 07/31/2004 15,070,011 1,367,947 0 13,702,064 180 WACHOVIA SECURITIES LLC Y NFA 07/31/2004 662,134,000 61,184,020 0 600,949,980 181 WALL STREET DERIVATIVES INC N NFA 07/31/2004 432,831 250,000 0 182,831 182 WESTMINSTER S&D LTD N NFA 07/31/2004 1,218,434 250,000 0 968,434 183 WHITE COMMERCIAL CORPORATION N NFA 07/31/2004 1,873,576 250,000 0 1,623,576 184 WORLDWIDE CLEARING N NFA 07/30/2004 722,188 250,000 0 472,188 185 XPRESSTRADE LLC N NFA 07/31/2004 3,684,114 250,000 0 3,434,114 186 YORK BUSINESS ASSOCIATES LLC N CBOT 07/31/2004 670,150 250,000 5,280 420,150 
SELECTED FCM FINANCIAL DATA 

FROM REPORTS FILED BY 

August 31, 2004

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

Futures Commission Merchant Date Net Capital Requirement Requirement Net Capital 

(4% of Seg, SEC Capital 

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

Total 50,825,302,644 June Web Page Update 184AdditionsEnskilda Futures Ltd 4Worldwide Clearing Gain Capital Group IncMBT Technologies LLCDeletionsBanc One Capital Markets Inc 2National Commodities CorporationName ChangeJuly Web Page Update 186(a): B/D? : A 'Y' means the FCM is also registered with the Securities and Exchange Commission as a securities broker or dealer. (b): DSRO: Designated Self-Regulatory Organization. (c): Risk-based net capital requirement is the sum total of 8% of customer, and 4% of non-customer risk margin for domestic and foreign future accounts (excluding proprietary accounts). The risk based minimum requirement 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. 
SELECTED FCM FINANCIAL DATA 

FROM REPORTS FILED BY 

August 31, 2004

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

Futures Commission Merchant Date Net Capital Requirement Requirement Net Capital 

(4% of Seg, SEC Capital 

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

This is the sum of all accounts that contain a net liquidating equity.(f): This represents the amount of funds an FCM is required to set aside for customers who trade 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 customer's account. 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: fzimmerle@cftc.gov or sgreska@cftc.gov.