SELECTED FCM FINANCIAL DATA 

FROM REPORTS FILED BY 

May 31, 2002

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

Futures Commission Merchant Date Net Capital Requirement Requirement Net Ca

(4% of Seg, SEC Capital 

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

1 ABN AMRO INCORPORATED Y CBOT 04/30/2002 1,246,949,119 97,476,525 93,757,993 1,149,42 ABN AMRO SAGE CORPORATION Y NFA 04/30/2002 48,172,693 3,935,394 4,616,407 43,53 ADM INVESTOR SERVICES INC N CBOT 04/30/2002 69,630,510 11,139,053 11,652,927 57,94 ADVEST INC Y NFA 04/30/2002 42,682,073 1,000,000 0 41,65 AG EDWARDS & SONS INC Y CBOT 04/30/2002 614,294,108 49,659,618 2,136,794 564,66 AGE COMMODITY CLEARING CORP N CBOT 04/30/2002 10,976,924 1,393,632 2,823,154 8,17 AIG CLEARING CORPORATION N NYME 04/30/2002 120,183,243 250,000 4,813,564 115,38 ALARON TRADING CORPORATION N CME 04/30/2002 4,136,899 1,463,566 629,775 2,69 ALCO COMMODITIES INC N NFA 04/30/2002 460,066 250,000 0 2

10 AMERICAN NATIONAL TRADING CORP N NFA 04/30/2002 665,017 337,507 0 311 BANC OF AMERICA FUTURES INCORPORATED Y CME 04/30/2002 62,198,958 9,046,472 16,340,809 45,812 BANC ONE CAPITAL MARKETS INC Y CBOT 04/30/2002 469,888,523 72,940,507 139,598,561 330,213 BARCLAYS CAPITAL INC Y CBOT 04/30/2002 397,620,152 55,751,833 109,983,316 287,614 BEAR STEARNS & CO INC Y NFA 04/30/2002 1,963,237,371 45,856,203 0 1,917,315 BEAR STEARNS SECURITIES CORP Y CME 04/30/2002 2,379,983,295 647,296,110 99,114,740 1,732,616 BENSON-QUINN COMMODITIES INC N NFA 04/30/2002 4,226,877 812,362 1,274,799 2,917 BIELFELDT & COMPANY LLC N CBOT 04/30/2002 414,644 250,000 0 118 BLAYLOCK AND PARTNERS LP Y NFA 04/30/2002 6,475,557 250,000 0 6,219 BNP PARIBAS BROKERAGE SERVICES INC Y CME 04/30/2002 33,035,525 544,763 20,176,057 12,820 BNP PARIBAS COMMODITY FUTURES INC N NYME 04/30/2002 47,409,747 10,342,022 14,544,266 32,821 BNP PARIBAS SECURITIES CORP Y CBOT 04/30/2002 375,243,254 1,625,198 0 373,622 BOSTON CABOT LLC N NFA 04/30/2002 306,251 250,000 0 23 C CZARNIKOW SUGAR FUTURES INC N NFA 04/30/2002 1,438,825 250,000 98,960 1,124 CANTOR FITZGERALD & CO Y CBOT 04/30/2002 75,757,733 1,113,479 24,231 74,625 CAPITAL MARKET SERVICES LLC N NFA 04/30/2002 426,756 250,000 0 126 CARGILL INVESTOR SERVICES INC Y CBOT 04/30/2002 78,266,599 35,874,145 60,561,291 17,727 CARR FUTURES INC Y CME 04/30/2002 190,085,731 94,044,009 122,056,679 68,028 CDC SECURITIES Y NFA 04/30/2002 76,754,253 250,000 0 76,529 CIBC WORLD MARKETS CORP Y NYME 04/30/2002 926,897,225 19,453,047 13,695,980 907,430 CLIFDEN FUTURES LLC N NFA 04/30/2002 495,279 250,000 0 231 COMMERZ FUTURES LLC Y CME 04/30/2002 8,638,270 2,267,043 4,261,601 4,332 COUNTRY HEDGING INC N NFA 04/30/2002 3,304,675 712,682 1,171,269 2,133 CREDIT LYONNAIS ROUSE USA LIMITED N NYME 04/30/2002 12,655,955 3,414,099 7,400,127 5,234 CREDIT SUISSE FIRST BOSTON CORPORATION Y CBOT 04/30/2002 2,922,019,386 60,799,235 67,601,304 2,854,435 CROSSLAND LLC N CBOT 04/30/2002 3,499,203 315,895 153,908 3,136 CUNNINGHAM COMMODITIES INC N CBOT 04/30/2002 1,703,680 250,000 29,020 1,437 DAIWA SECURITIES AMERICA INC Y CME 04/30/2002 238,596,910 5,280,702 4,179,092 233,338 DEUTSCHE BANK FUTURES INC N CME 04/30/2002 142,312,884 23,146,459 118,056,000 24,239 DEUTSCHE BANK SECURITIES INC Y CBOT 04/30/2002 1,038,624,137 70,415,452 34,963,360 968,240 DIRECT TRADING GROUP LLC N NFA 04/30/2002 415,989 250,000 14,972 141 DONALDSON LUFKIN & JENRETTE SEC CORP Y CBOT 04/30/2002 1,048,478,000 117,821,620 0 930,642 DORMAN TRADING LLC N CME 04/30/2002 3,486,129 744,818 289,203 2,743 DUNAVANT COMMODITY CORP N NYCE 03/31/2002 12,534,961 1,003,704 494,960 11,544 E FUTURES. COM LLC N NFA 04/30/2002 1,297,693 489,476 457,213 845 EAGLE MARKET MAKERS INC N CBOT 04/30/2002 1,681,462 250,000 0 1,446 EM COMBS & SON N CBOT 04/30/2002 1,899,190 250,000 0 1,647 FAHNESTOCK & CO INC Y NFA 04/30/2002 165,846,308 10,350,604 0 155,448 FARR FINANCIAL INC N NFA 04/30/2002 575,366 373,430 117,387 249 FC STONE LLC N CME 04/30/2002 17,080,728 6,147,021 6,130,715 10,9
SELECTED FCM FINANCIAL DATA 

FROM REPORTS FILED BY 

May 31, 2002

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

Futures Commission Merchant Date Net Capital Requirement Requirement Net Ca

(4% of Seg, SEC Capital 

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

50 FCT GROUP LLC N CME 04/30/2002 3,442,411 250,000 386,434 3,051 FIMAT USA INC Y CME 04/30/2002 111,719,650 40,486,357 99,579,272 12,152 FIRST OPTIONS OF CHICAGO INC Y CME 04/26/2002 220,037,782 5,523,001 16,702,887 203,353 FIRST UNION SECURITIES INC Y CME 04/30/2002 218,942,135 1,532,142 0 217,454 FOREX CAPITAL MARKETS LLC N NFA 04/30/2002 2,937,765 250,000 0 2,655 FORTIS CLEARING CHICAGO LLC N CBOT 04/30/2002 6,254,559 1,199,511 619,722 5,056 FOX INC N CFTC 04/30/2002 456,618 250,000 0 257 FRIEDBERG MERCANTILE GROUP INC Y NFA 04/30/2002 1,596,394 250,000 5,506 1,358 FRONTIER FUTURES INC N NFA 04/30/2002 910,172 284,636 212,330 659 FUTURES TECH LLC N NFA 04/30/2002 407,974 250,000 0 160 FX SOLUTIONS LLC N NFA 04/30/2002 495,684 250,000 0 261 GAIN CAPITAL N NFA 04/30/2002 1,025,110 250,000 0 762 GELBER GROUP LLC N CBOT 04/30/2002 5,421,712 679,046 118,816 4,763 GFS SECURITIES & FUTURES INC N NFA 04/30/2002 306,797 250,000 0 64 GILDER GAGNON HOWE AND CO LLC Y NFA 04/30/2002 17,807,639 250,000 0 17,565 GLOBAL FUTURES & FOREX LTD N NFA 04/30/2002 2,072,670 250,000 0 1,866 GNI INCORPORATED N CBOT 04/30/2002 12,818,100 5,812,497 7,508,318 5,367 GOLDENBERG HEHMEYER & CO Y CBOT 04/30/2002 10,169,829 1,078,173 828,266 9,068 GOLDMAN SACHS & CO Y CBOT 04/26/2002 3,537,093,448 661,765,518 361,130,912 2,875,369 GREENWICH CAPITAL MARKETS INC Y CBOT 04/30/2002 830,537,000 19,769,000 250,964,094 579,570 GRUNTAL & CO LLC Y NFA 04/26/2002 3,086,011 1,000,000 51,819 2,071 HAGERTY GRAIN CO INC N CBOT 04/30/2002 1,524,525 250,000 104,275 1,272 HORNBLOWER FISCHER & CO Y NFA 04/30/2002 1,690,256 593,000 301,752 1,073 HOTSPOT FX INC N NFA 04/30/2002 1,397,396 250,000 0 1,174 HSBC SECURITIES USA INC Y CME 04/30/2002 225,741,159 10,577,915 25,903,261 199,875 INTEGRATED BROKERAGE SERVICES INC N NFA 04/30/2002 667,653 250,000 0 476 INTERACTIVE BROKERS LLC Y NFA 04/30/2002 70,484,349 2,361,258 0 68,177 IOWA GRAIN CO N CBOT 04/30/2002 7,253,339 3,192,659 2,576,924 4,078 JP MORGAN FUTURES INC N NYME 04/30/2002 447,976,570 145,515,390 234,218,978 213,779 JULIUS BAER SECURITIES INC Y NFA 04/30/2002 12,598,408 250,000 0 12,380 KOKUSAI AMERICA INCORPORATED Y NFA 04/30/2002 21,963,439 250,000 0 21,781 KOTTKE ASSOCIATES LLC N CBOT 04/30/2002 6,219,584 419,830 129,197 5,782 LADENBURG THALMANN & CO INC Y NFA 04/30/2002 6,962,537 1,000,000 0 5,983 LAWRENCE-BONFITTO TRADING COMPANY N CBOT 04/30/2002 2,551,372 250,000 81,578 2,384 LBS LIMITED PARTNERSHIP N CBOT 04/30/2002 348,439 250,000 0 85 LEGG MASON WOOD WALKER INC Y NFA 04/30/2002 294,066,921 20,610,842 0 273,486 LEHMAN BROTHERS INC Y CBOT 04/30/2002 1,730,140,000 113,939,080 106,597,840 1,616,287 LINN GROUP THE C NFA 04/30/2002 522,106 250,000 0 288 LINSCO/PRIVATE LEDGER CORP Y NFA 04/30/2002 88,465,043 4,266,722 0 84,189 LOEB PARTNERS CORPORATION Y NFA 04/30/2002 15,214,522 250,000 0 14,990 MACQUARIE FUTURES INC N CBOT 04/30/2002 993,237 250,000 69,386 791 MAN FINANCIAL INC Y CME 04/30/2002 160,993,823 69,021,609 87,943,404 73,092 MARQUETTE ELECTRONIC BROKERAGE LLC N NFA 04/30/2002 908,428 250,000 0 693 MAXCOR FINANCIAL INC Y NFA 04/30/2002 12,465,248 250,000 0 12,294 MBF CLEARING CORP N NYME 04/30/2002 5,968,409 2,180,051 679,022 3,795 MCVEAN TRADING AND INVESTMENTS LLC N NFA 04/30/2002 8,294,580 3,172,394 648,612 5,196 MERRILL LYNCH PIERCE FENNER & SMITH Y CBOT 05/03/2002 3,166,063,393 360,853,402 196,062,323 2,805,297 MERRILL LYNCH PROFESSIONAL CLEARING COR Y NFA 05/03/2002 924,951,100 28,163,254 49,480,861 875,498 MID-CO COMMODITIES INC N NFA 04/30/2002 3,381,034 358,419 412,405 2,9
SELECTED FCM FINANCIAL DATA 

FROM REPORTS FILED BY 

May 31, 2002

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

Futures Commission Merchant Date Net Capital Requirement Requirement Net Ca

(4% of Seg, SEC Capital 

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

99 MIDLAND EURO INC N NFA 04/30/2002 185,755 250,000 0 

100 MITSUI & CO INVESTMENT PRODUTS CORP N NFA 04/30/2002 2,762,114 250,000 8,286 2,5101 MIZUHO SECURITIES USA INC Y CME 04/30/2002 247,185,476 14,131,317 15,338,234 231,8102 MONEY GARDEN CORP N NFA 04/30/2002 2,592,454 250,000 0 2,3103 MORGAN KEEGAN & COMPANY INC Y NFA 04/30/2002 152,445,999 11,455,705 0 140,9104 MORGAN STANLEY & CO INCORPORATED Y CME 04/30/2002 5,397,691,275 633,982,231 162,037,806 4,763,7105 MORGAN STANLEY DW INC Y CBOT 04/30/2002 1,465,842,007 121,782,777 1,903,652 1,344,0106 NATIONAL COMMODITIES CORPORATION INC N NFA 04/30/2002 1,746,909 250,000 11,912 1,4107 NEUBERGER BERMAN LLC Y NFA 04/30/2002 236,113,353 14,843,442 344,166 221,2108 NIKKO SECURITIES CO INTERNATIONAL INC Y NFA 04/30/2002 9,066,445 250,000 0 8,8109 NOMURA SECURITIES INTERNATIONAL INC Y CBOT 04/30/2002 542,209,955 2,424,203 1,001,489 539,7110 NOYES DAVID A & CO Y NFA 04/30/2002 1,191,611 250,000 0 9111 OCONNOR & COMPANY LLC Y CBOT 04/30/2002 34,489,316 1,842,098 1,315,573 32,6112 PACKERS TRADING CO INC N NFA 04/30/2002 866,128 250,000 207,484 6113 PATTERSON CAPITAL MARKETS LTD N CBOT 04/30/2002 443,918 250,000 0 1114 PAX CLEARING CORPORATION Y CME 04/30/2002 47,923,927 1,660,358 1,485,090 46,2115 PENSON FINANCIAL FUTURES INC N NFA 04/30/2002 428,993 250,000 2,842 1116 PEREGRINE FINANCIAL GROUP INC N NFA 04/30/2002 6,621,967 2,995,545 1,438,784 3,6117 PIONEER CAPITAL CORP Y NFA 04/30/2002 2,042,597 250,000 0 1,7118 PIONEER FUTURES INC N NYME 04/30/2002 6,620,194 2,482,109 1,211,451 4,1119 PREFERRED TRADE INC Y NFA 04/30/2002 8,687,689 774,537 0 7,9120 PRUDENTIAL SECURITIES INCORPORATED Y CBOT 04/26/2002 785,023,000 87,393,560 67,552,920 697,6121 QTECH DERIVATIVES INC N NFA 04/30/2002 487,699 250,000 0 2122 RAND FINANCIAL SERVICES INC N CME 04/30/2002 11,717,480 5,704,127 8,016,696 3,7123 RAYMOND JAMES & ASSOCIATES INC Y NFA 04/26/2002 307,970,574 24,029,846 47,130 283,9124 RB&H FINANCIAL SERVICES LP N CME 04/30/2002 3,509,092 1,841,440 1,158,156 1,6125 RBC DAIN RAUSCHER INCORPORATED Y NFA 04/30/2002 190,794,567 30,932,874 0 159,8126 RBC DOMINION SECURITIES CORPORATION Y CME 04/30/2002 128,404,119 1,000,000 2,589,454 125,8127 REFCO LLC N CME 04/30/2002 151,465,992 97,344,878 81,109,270 54,1128 RJ OBRIEN ASSOCIATES INC N CME 04/30/2002 24,279,154 11,412,842 10,440,426 12,8129 ROBBINS FUTURES INC N NFA 04/30/2002 469,998 250,000 101,401 2130 ROBERTSON STEPHENS INC Y CME 04/30/2002 462,135,167 3,788,453 0 458,3131 ROSENTHAL COLLINS GROUP LLC N CME 04/30/2002 39,822,885 7,902,390 5,645,154 31,9132 ROSENTHAL GLOBAL SECURITIES L L C Y CBOT 04/30/2002 7,155,494 572,092 0 6,5133 ROTHSCHILD INC Y NYME 04/30/2002 15,099,628 250,000 0 14,8134 SALOMON SMITH BARNEY INC Y CBOT 04/30/2002 3,685,479,292 414,171,876 154,768,546 3,271,3135 SANFORD C BERNSTEIN & CO LLC Y NFA 04/30/2002 211,339,837 10,551,450 0 200,7136 SAVANT USA LIMITED N NFA 04/30/2002 526,347 250,000 0 2137 SENTINEL MANAGEMENT GROUP INC N NFA 04/30/2002 826,086 250,000 0 5138 SG COWEN SECURITIES CORPORATION Y NFA 04/30/2002 580,891,164 6,692,386 0 574,1139 SHATKIN ARBOR KARLOV & CO N CBOT 04/30/2002 5,624,311 292,056 113,238 5,3140 SHAY GRAY CLEARING COMPANY N KCBT 03/31/2002 726,938 250,000 2,292 4141 SHEPARD INTERNATIONAL INC N NFA 04/30/2002 2,204,356 250,000 0 1,9142 SHERWOOD FUTURES GROUP LLC N NFA 04/30/2002 1,155,799 250,000 0 9143 SIEGEL TRADING CO INC THE N NFA 04/30/2002 577,305 250,000 0 3144 SMW TRADING COMPANY INC N CME 04/30/2002 6,573,379 339,943 462,113 6,1145 SPEAR LEEDS & KELLOG Y NYME 04/26/2002 844,865,672 40,470,326 10,541,852 804,3146 STEPHENS INC Y NFA 04/26/2002 68,645,877 9,138,041 0 59,5147 STERLING COMMODITIES CORP N NYME 04/30/2002 5,334,062 799,556 268,650 4,5
SELECTED FCM FINANCIAL DATA 

FROM REPORTS FILED BY 

May 31, 2002

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

Futures Commission Merchant Date Net Capital Requirement Requirement Net Ca

(4% of Seg, SEC Capital 

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

148 SWISS AMERICAN SECURITIES INC Y NFA 04/30/2002 69,217,490 9,427,110 0 59,7149 TCA FUTURES LLC N NFA 04/30/2002 418,584 250,000 0 1150 TENCO INC N CBOT 04/30/2002 25,535,771 1,245,768 1,194,820 24,2151 TIMBER HILL LLC Y CME 04/30/2002 282,292,000 368,225 322,719 281,9152 TOKYO GENERAL USA INC N NFA 04/30/2002 484,521 250,000 3,262 2153 TOKYO-MITSUBISHI FUTURES USA INC N CME 04/30/2002 18,153,214 424,255 4,056,080 14,0154 TRADELINK LLC Y CBOT 04/30/2002 13,868,719 250,000 254,048 13,6155 TRANSMARKET GROUP LLC Y CBOT 04/30/2002 6,261,319 868,117 0 5,3156 TRILAND USA INC N NYME 04/30/2002 19,480,183 531,532 485,188 18,9157 UBS PAINEWEBBER INC Y CBOT 04/30/2002 1,496,469,243 220,822,655 17,101,826 1,275,6158 UBS WARBURG LLC Y CBOT 04/30/2002 1,384,356,660 117,381,734 178,182,449 1,206,1159 UFJ FUTURES LLC N CME 04/30/2002 13,766,187 250,000 1,537,753 12,2160 UNIVERSAL FINANCIAL HOLDING CORP N NFA 04/30/2002 608,274 250,000 129,772 3161 US BANCORP PIPER JAFFRAY INC Y NFA 04/30/2002 245,038,863 10,943,617 0 234,0162 US SECURITIES & FUTURES CORP Y NFA 04/30/2002 323,742 250,000 0 163 VISION LIMITED PARTNERSHIP N NFA 04/30/2002 11,249,510 5,834,844 487,770 5,4164 WACHOVIA SECURITIES INC Y NFA 04/30/2002 126,843,238 9,227,471 0 117,6165 WALL STREET DERIVATIVES INC N NFA 04/30/2002 406,833 250,000 0 1166 WEISS PECK & GREER LLC Y NFA 04/26/2002 83,489,789 4,072,461 0 79,4167 WHITE COMMERCIAL CORPORATION N NFA 04/30/2002 1,519,888 250,000 0 1,2168 XPRESSTRADE LLC N NFA 04/30/2002 1,448,072 250,000 0 1,1

Total 46,591,805,919 

(a): B/D? : A 'Y' means the FCM is also registered (e): This represents the total amount of funds that with the Securities and Exchange Commission an FCM is required to segregate on behalf of as a securities broker or dealer. customers who are trading on commodity 

exchanges located in the United States. 

(b): DSRO: Designated Self-Regulatory Organization. This is the sum of all accounts that contain 

a net liquidating equity.

(c): Risk-based net capital requirement is the sum total (f): This represents the amount of funds an FCM of 8% of customer, and 4% of non-customer is required to set aside for customers who trade (d): Excess net capital is adjusted net capital, on commodity exchanges located outside of less the greater of the net capital requirement or risk- the United States. The amount to be set aside for based requirement. a customer's foreign commodity account may 

be less than the net liquidating equity in the customer's account.