SELECTED FCM FINANCIAL DATA 

FROM REPORTS FILED BY 

August 31, 2003

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

Futures Commission Merchant Date Net Capital Requirement Requirement Net Capital Seg 

(4% of Seg, SEC Capital 

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

1 ABN AMRO INCORPORATED Y CBOT 07/31/2003 1,251,200,676 141,988,733 91,937,423 1,109,211,943 12 ABN AMRO SAGE CORPORATION Y NFA 07/31/2003 40,322,394 1,677,332 1,336,291 38,645,062 3 ADM INVESTOR SERVICES INC N CBOT 07/31/2003 73,844,166 17,494,325 16,198,779 56,349,841 4 ADVANTAGE FUTURES LLC N CME 07/31/2003 5,403,033 1,982,467 1,222,322 3,420,566 5 ADVEST INC Y NFA 07/31/2003 45,466,477 1,000,000 0 44,466,477 6 AG EDWARDS & SONS INC Y CBOT 07/31/2003 568,098,159 43,878,695 3,346,477 524,219,464 7 AGE COMMODITY CLEARING CORP N CBOT 07/31/2003 13,569,681 2,129,813 3,296,849 10,272,832 8 AIG CLEARING CORPORATION N NYME 07/31/2003 181,189,240 250,000 8,766,892 172,422,348 9 ALARON TRADING CORPORATION N CME 07/31/2003 4,063,674 2,291,459 1,462,153 1,772,215 

10 ALCO COMMODITIES INC N NFA 07/31/2003 504,133 250,000 0 254,133 11 AMERICAN NATIONAL TRADING CORP N NFA 07/31/2003 1,263,914 582,788 307,272 681,126 12 BANC OF AMERICA FUTURES INCORPORATED Y CME 07/31/2003 54,565,286 9,550,030 37,272,212 17,293,074 13 BANC ONE CAPITAL MARKETS INC Y CBOT 07/31/2003 212,537,813 16,943,449 20,763,349 191,774,464 14 BARCLAYS CAPITAL INC Y CBOT 07/31/2003 470,458,962 175,567,478 120,761,214 294,891,484 115 BEAR STEARNS & CO INC Y CBOT 07/31/2003 1,956,391,291 67,431,520 0 1,888,959,771 16 BEAR STEARNS SECURITIES CORP Y CME 07/31/2003 2,967,650,570 904,401,044 88,580,182 2,063,249,526 117 BIELFELDT & COMPANY LLC N CBOT 07/31/2003 405,622 250,000 0 155,622 18 BNP PARIBAS BROKERAGE SERVICES INC Y CME 07/31/2003 46,890,226 18,331,653 10,776,962 28,558,573 19 BNP PARIBAS COMMODITY FUTURES INC N NYME 07/31/2003 51,099,312 12,389,509 15,523,197 35,576,115 20 BNP PARIBAS SECURITIES CORP Y CBOT 07/31/2003 277,942,886 3,443,197 0 274,499,689 21 BNY CLEARING SERVICES LLC Y NFA 07/31/2003 102,656,636 29,733,099 0 72,923,537 22 C CZARNIKOW SUGAR FUTURES INC N NFA 07/31/2003 1,601,236 250,000 79,234 1,351,236 23 CANTOR FITZGERALD & CO Y CBOT 07/31/2003 55,955,630 694,703 55,416 55,260,927 24 CAPITAL MARKET SERVICES LLC N NFA 07/31/2003 1,325,472 250,000 0 1,075,472 25 CARGILL INVESTOR SERVICES INC N CBOT 07/31/2003 87,729,285 44,005,332 58,973,109 28,756,176 126 CARR FUTURES INC Y CME 07/31/2003 221,229,079 114,457,332 164,563,801 56,665,278 227 CDC SECURITIES Y NFA 07/31/2003 73,292,723 250,000 0 73,042,723 28 CIBC WORLD MARKETS CORP Y NYME 07/31/2003 857,288,461 18,331,480 8,483,810 838,956,981 29 CITIGROUP GLOBAL MARKETS INC. Y CBOT 07/31/2003 2,225,457,106 574,400,835 181,484,547 1,651,056,271 530 CLIFDEN FUTURES LLC N NFA 07/31/2003 384,904 250,000 3,547 134,904 31 CLIFF LARSON COMPANY THE N NFA 07/31/2003 301,113 250,000 0 51,113 32 CMC GROUP PLC N NFA 07/31/2003 5,786,159 250,000 0 5,536,159 33 COESfx CLEARING INC N NFA 07/31/2003 395,614 250,000 0 145,614 34 COMMERZ FUTURES LLC N CME 07/31/2003 5,998,763 2,213,999 3,852,536 2,146,227 35 COUNTRY HEDGING INC N NFA 07/31/2003 5,309,413 911,731 1,816,133 3,493,280 36 CREDIT LYONNAIS ROUSE USA LIMITED N NYME 07/31/2003 28,076,132 3,754,127 14,613,063 13,463,069 37 CREDIT SUISSE FIRST BOSTON LLC Y CBOT 07/31/2003 1,022,695,853 190,784,610 126,077,789 831,911,243 138 CRESSWELL CAPITAL LLC N NFA 07/31/2003 646,278 250,000 92,114 396,278 39 CROSSLAND LLC N CBOT 07/31/2003 3,129,420 280,477 89,885 2,848,943 40 CUNNINGHAM COMMODITIES INC N CBOT 07/31/2003 2,164,354 250,000 169,562 1,914,354 41 DAIWA SECURITIES AMERICA INC Y CME 07/31/2003 181,937,773 4,827,595 1,952,340 177,110,178 42 DAVID A NOYES & CO Y NFA 07/31/2003 1,274,962 250,000 0 1,024,962 43 DEUTSCHE BANK SECURITIES INC Y CBOT 07/31/2003 1,204,941,695 225,045,052 157,081,455 979,896,643 144 DORMAN TRADING LLC N CME 07/31/2003 5,045,020 591,028 247,665 4,453,992 45 EAGLE MARKET MAKERS INC N CBOT 07/31/2003 1,908,922 250,000 44,851 1,658,922 46 ED &F MAN COMMODITY ADVISORS INC N NFA 07/31/2003 397,534 250,000 0 147,534 47 EM COMBS & SON N CBOT 07/31/2003 2,245,885 250,000 29,818 1,995,885 48 FAHNESTOCK & CO INC Y NFA 07/31/2003 125,174,762 25,211,594 201,940 99,963,168 49 FARR FINANCIAL INC N NFA 07/31/2003 1,400,393 614,983 301,020 785,410 50 FC STONE LLC N CME 07/31/2003 13,278,218 7,254,870 7,507,919 5,770,299 
SELECTED FCM FINANCIAL DATA 

FROM REPORTS FILED BY 

August 31, 2003

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

Futures Commission Merchant Date Net Capital Requirement Requirement Net Capital Seg 

(4% of Seg, SEC Capital 

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

51 FCT GROUP LLC N CME 07/31/2003 3,678,443 250,000 555,603 3,122,840 52 FIMAT USA INC Y CME 07/31/2003 166,702,726 105,789,978 121,805,929 44,896,797 253 FIRST CAPITOL GROUP LLC N NFA 07/31/2003 1,913,103 1,002,393 666,450 910,710 54 FIRST OPTIONS OF CHICAGO INC Y CME 07/25/2003 246,592,127 9,386,833 26,834,817 219,757,310 55 FOREX CAPITAL MARKETS LLC N NFA 07/31/2003 9,623,821 250,000 0 9,373,821 56 FORTIS CLEARING CHICAGO LLC N CBOT 07/31/2003 17,223,765 2,278,931 1,894,288 14,944,834 57 FRIEDBERG MERCANTILE GROUP INC N NFA 07/31/2003 1,610,277 250,000 57,088 1,360,277 58 FRONTIER FUTURES INC N NFA 07/31/2003 912,791 358,557 249,283 554,234 59 FUTURES TECH LLC N NFA 07/31/2003 401,866 250,000 0 151,866 60 FX FIRST INC N NFA 07/31/2003 278,623 250,000 0 28,623 61 FX SOLUTIONS LLC N NFA 07/31/2003 1,663,489 250,000 0 1,413,489 62 GAIN CAPITAL INC. N NFA 07/31/2003 3,551,920 250,000 0 3,301,920 63 GELBER GROUP LLC N CBOT 07/31/2003 17,434,641 486,666 206,657 16,947,975 64 GFS SECURITIES & FUTURES INC N NFA 07/31/2003 254,965 250,000 0 4,965 65 GILDER GAGNON HOWE AND CO LLC Y NFA 07/31/2003 25,083,874 250,000 0 24,833,874 66 GLOBAL FUTURES & FOREX LTD N NFA 07/31/2003 6,034,914 250,000 0 5,784,914 67 GOLDENBERG HEHMEYER & CO Y CBOT 07/31/2003 12,824,353 1,425,411 1,075,826 11,398,942 68 GOLDMAN SACHS & CO Y CBOT 07/25/2003 3,492,926,676 976,761,446 432,406,489 2,516,165,230 869 GREENWICH CAPITAL MARKETS INC Y CBOT 07/31/2003 925,866,000 201,913,000 28,835,560 723,953,000 70 HAGERTY GRAIN CO INC N CBOT 07/31/2003 1,664,417 283,900 55,322 1,380,517 71 HORNBLOWER FISCHER & CO Y NFA 07/31/2003 1,279,777 250,000 142,414 1,029,777 72 HOTSPOT FX INC N NFA 07/31/2003 3,236,660 250,000 0 2,986,660 73 HSBC SECURITIES USA INC Y CME 07/31/2003 281,747,954 68,173,082 29,370,962 213,574,872 74 IFSCL USA INC N NFA 07/31/2003 394,125 250,000 0 144,125 75 IFX MARKETS INC N NFA 07/31/2003 499,942 250,000 0 249,942 76 INTEGRATED BROKERAGE SERVICES INC N NFA 07/31/2003 920,446 250,000 101,517 670,446 77 INTERACTIVE BROKERS LLC Y NFA 07/31/2003 110,025,166 3,854,804 1,489,696 106,170,362 78 INVESTEC ERNST & COMPANY Y NFA 07/25/2003 13,478,909 250,000 0 13,228,909 79 IOWA GRAIN CO N CBOT 07/31/2003 7,862,044 3,518,809 3,138,495 4,343,235 80 ISB CLEARING CORPORATION N NFA 07/31/2003 265,641 250,000 0 15,641 81 JP MORGAN FUTURES INC N NYME 07/31/2003 529,588,387 198,093,980 305,793,832 223,794,555 582 JULIUS BAER SECURITIES INC Y NFA 07/31/2003 10,139,014 250,000 0 9,889,014 83 KOTTKE ASSOCIATES LLC N CBOT 07/31/2003 5,944,751 329,020 138,180 5,615,731 84 LADENBURG THALMANN & CO INC Y NFA 07/31/2003 7,763,377 250,000 0 7,513,377 85 LAWRENCE-BONFITTO TRADING COMPANY N CBOT 07/31/2003 2,853,104 250,000 89,925 2,603,104 86 LBS LIMITED PARTNERSHIP N CBOT 07/31/2003 387,070 250,000 0 137,070 87 LEADER INVESTMENTS INC Y NFA 07/31/2003 456,909 250,000 0 206,909 88 LEGG MASON WOOD WALKER INC Y NFA 07/31/2003 348,396,029 23,018,394 0 325,377,635 89 LEHMAN BROTHERS INC Y CBOT 07/31/2003 1,622,630,000 403,932,840 139,748,000 1,218,697,160 190 LINN GROUP ( THE ) N NFA 07/31/2003 447,411 250,000 0 197,411 91 LINSCO/PRIVATE LEDGER CORP Y NFA 07/31/2003 87,143,605 3,920,011 0 83,223,594 92 LOEB PARTNERS CORPORATION Y NFA 07/31/2003 17,783,714 250,000 0 17,533,714 93 MAN FINANCIAL INC N CME 07/31/2003 190,693,386 107,016,368 132,430,179 58,263,207 294 MARQUETTE ELECTRONIC BROKERAGE LLC N NFA 07/31/2003 4,829,294 250,000 0 4,579,294 95 MAXCOR FINANCIAL INC Y NFA 07/31/2003 45,429,341 250,000 0 45,179,341 96 MBF CLEARING CORP N NYME 07/31/2003 6,529,399 2,378,346 829,154 4,151,053 97 MCVEAN TRADING AND INVESTMENTS LLC N NFA 07/31/2003 9,805,348 6,230,503 991,392 3,574,845 98 MERRILL LYNCH PIERCE FENNER & SMITH Y CBOT 07/31/2003 2,599,267,118 294,024,627 224,397,078 2,305,242,492 499 MERRILL LYNCH PROFESSIONAL CLEARING COR Y NFA 07/31/2003 593,237,286 16,092,128 30,507,798 562,729,488 

100 MID-CO COMMODITIES INC N NFA 07/31/2003 3,641,484 355,452 442,122 3,199,362 
SELECTED FCM FINANCIAL DATA 

FROM REPORTS FILED BY 

August 31, 2003

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

Futures Commission Merchant Date Net Capital Requirement Requirement Net Capital Seg 

(4% of Seg, SEC Capital 

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

101 MITSUI & CO INVESTMENT PRODUTS CORP N NFA 07/31/2003 2,380,523 250,000 0 2,130,523 102 MIZUHO SECURITIES USA INC Y CME 07/31/2003 118,870,112 7,197,618 16,311,280 102,558,832 103 MONEY GARDEN CORPORATION, THE N NFA 07/31/2003 3,215,674 250,000 0 2,965,674 104 MORGAN KEEGAN & COMPANY INC Y NFA 07/31/2003 198,155,572 14,946,058 0 183,209,514 105 MORGAN STANLEY & CO INCORPORATED Y CME 07/31/2003 3,821,440,725 756,733,270 188,004,033 3,064,707,455 2106 MORGAN STANLEY DW INC Y CBOT 07/31/2003 1,017,093,877 93,850,366 4,677,466 923,243,511 107 NATIONAL COMMODITIES CORPORATION INC N NFA 07/31/2003 1,474,157 250,000 117,834 1,224,157 108 NEUBERGER BERMAN LLC Y NFA 07/31/2003 281,216,301 17,833,609 548,707 263,382,692 109 NIKKO SECURITIES CO INTERNATIONAL INC Y NFA 07/31/2003 12,457,066 250,000 0 12,207,066 110 NOMURA SECURITIES INTERNATIONAL INC Y CBOT 07/31/2003 342,106,800 12,886,384 466,514 329,220,416 111 OANDA CORPORATION N NFA 07/31/2003 2,407,318 250,000 0 2,157,318 112 OCONNOR & COMPANY LLC Y CBOT 07/31/2003 34,882,733 2,232,732 1,876,400 32,650,001 113 PACIFIC CAPITAL MARKETS N NFA 07/31/2003 482,387 250,000 0 232,387 114 PATTERSON CAPITAL MARKETS LTD N CBOT 07/31/2003 467,844 250,000 0 217,844 115 PAX CLEARING CORPORATION Y CME 07/31/2003 42,646,248 2,307,395 3,520,349 39,125,899 116 PENSON FINANCIAL FUTURES INC N NFA 07/31/2003 514,604 250,000 24,924 264,604 117 PEREGRINE FINANCIAL GROUP INC N NFA 07/31/2003 20,963,249 3,207,756 0 17,755,493 118 PERSHING LLC Y CBOT 07/31/2003 713,918,000 138,808,240 0 575,109,760 119 PIONEER FUTURES INC N NYME 07/31/2003 6,747,024 3,563,309 1,814,971 3,183,715 120 PREFERRED TRADE INC Y NFA 07/31/2003 9,541,564 717,275 0 8,824,289 121 PRUDENTIAL FINANCIAL DERIVATIVES N NFA 07/31/2003 1,000,100 250,000 0 750,100 122 PRUDENTIAL EQUITY GROUP INC Y CBOT 07/31/2003 592,898,000 41,745,600 51,799,280 541,098,720 1123 RAND FINANCIAL SERVICES INC N CME 07/31/2003 14,429,850 4,520,555 10,561,655 3,868,195 124 RAYMOND JAMES & ASSOCIATES INC Y NFA 07/25/2003 295,059,838 22,115,430 17,394 272,944,408 125 RB&H FINANCIAL SERVICES LP N CME 07/31/2003 3,709,192 1,487,040 1,542,930 2,166,262 126 RBC DAIN RAUSCHER INC Y NFA 07/31/2003 252,597,746 32,237,762 0 220,359,984 127 RBC DOMINION SECURITIES CORPORATION Y CME 07/31/2003 156,927,606 1,130,620 27,386,683 129,540,923 128 REDSKY SECURITIES LLC Y NFA 07/31/2003 978,343 250,000 0 728,343 129 REFCO LLC N CME 07/31/2003 188,801,992 105,175,556 104,405,332 83,626,436 2130 RJ OBRIEN ASSOCIATES INC N CME 07/31/2003 35,729,293 21,405,080 20,687,005 14,324,213 131 ROBBINS FUTURES INC N NFA 07/31/2003 445,685 250,000 61,860 195,685 132 ROBECO USA LLC Y NFA 07/25/2003 77,986,903 3,762,342 0 74,224,562 133 ROSENTHAL COLLINS GROUP LLC N CME 07/31/2003 48,157,008 9,818,223 6,856,320 38,338,785 134 ROSENTHAL GLOBAL SECURITIES LLC Y CBOT 07/31/2003 15,521,023 1,267,587 0 14,253,436 135 ROTHSCHILD INC Y NFA 07/31/2003 11,818,421 250,000 0 11,568,421 136 SANFORD C BERNSTEIN & CO LLC Y NFA 07/31/2003 151,258,064 12,115,216 0 139,142,848 137 SENTINEL MANAGEMENT GROUP INC N NFA 07/31/2003 1,200,414 250,000 0 950,414 138 SG COWEN SECURITIES CORPORATION Y NFA 07/31/2003 789,469,628 1,500,000 0 787,969,628 139 SHATKIN ARBOR KARLOV & CO N CBOT 07/31/2003 6,104,797 372,915 99,745 5,731,882 140 SHEPARD INTERNATIONAL INC N NFA 07/31/2003 1,990,050 250,000 0 1,740,050 141 SHERWOOD FUTURES GROUP LLC N NFA 07/31/2003 900,535 250,000 0 650,535 142 SIEGEL TRADING CO INC THE N NFA 07/31/2003 563,665 250,000 0 313,665 143 SMW TRADING COMPANY INC N CME 07/31/2003 5,794,285 522,158 467,064 5,272,127 144 SNC INVESTMENTS INC N NFA 07/31/2003 395,964 250,000 0 145,964 145 SOLID GOLD FINANCIAL SERVICES INC N NFA 07/31/2003 337,449 250,000 0 87,449 146 SPEAR LEEDS & KELLOG Y NYME 07/25/2003 1,244,616,535 60,427,862 4,600,880 1,184,188,673 147 STEPHENS INC Y NFA 07/25/2003 78,061,607 10,215,780 0 67,845,827 148 STERLING COMMODITIES CORP N NYME 07/31/2003 5,286,563 790,216 180,411 4,496,347 149 SWISS AMERICAN SECURITIES INC Y NFA 07/31/2003 69,302,145 3,505,244 0 65,796,901 150 TCA FUTURES LLC N NFA 07/31/2003 402,529 250,000 0 152,529 
SELECTED FCM FINANCIAL DATA 

FROM REPORTS FILED BY 

August 31, 2003

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

Futures Commission Merchant Date Net Capital Requirement Requirement Net Capital Seg 

(4% of Seg, SEC Capital 

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

151 TENCO INC N CBOT 07/31/2003 28,756,158 2,464,256 1,903,560 26,291,902 152 TIMBER HILL LLC Y CME 07/31/2003 395,785,458 1,000,000 1,584,127 394,201,331 153 TOKYO-MITSUBISHI FUTURES USA INC N CME 07/31/2003 18,230,631 250,000 4,819,921 13,410,710 154 TRADELINK LLC Y CBOT 07/31/2003 45,592,670 250,000 0 45,342,670 155 TRADITION SECURITIES AND FUTURES INC N NFA 07/31/2003 392,706 250,000 0 142,706 156 TRANSMARKET GROUP LLC Y CBOT 07/31/2003 7,014,465 250,000 0 6,764,465 157 TRILAND USA INC N NYME 07/31/2003 19,567,661 982,581 976,484 18,585,080 158 UBS FINANCIAL SERVICES INC. Y CBOT 07/31/2003 1,372,930,381 224,284,574 16,680,405 1,148,645,807 1159 UBS SECURITIES LLC Y CBOT 07/31/2003 2,338,711,750 242,906,548 153,941,261 2,095,805,203 3160 UFJ FUTURES LLC N CME 07/31/2003 21,764,683 250,000 2,130,272 19,634,411 161 UNIVERSAL FINANCIAL HOLDING CORP N NFA 07/31/2003 779,861 250,000 100,398 529,861 162 US BANCORP PIPER JAFFRAY INC Y NFA 07/31/2003 213,862,407 10,618,386 0 203,244,021 163 UTS WORLD INC N NFA 07/31/2003 492,193 250,000 0 242,193 164 VELOCITY FUTURES LP N NFA 07/31/2003 461,345 250,000 0 211,345 165 VISION LIMITED PARTNERSHIP N NFA 07/31/2003 12,403,166 5,442,309 3,844,602 6,960,857 166 WACHOVIA SECURITIES FINANCIAL NETWORK LL Y NFA 07/31/2003 14,328,164 1,405,774 0 12,922,390 

167 WACHOVIA SECURITIES LLC Y NFA 07/31/2003 324,082,000 74,280,880 0 249,801,120 168 WALL STREET DERIVATIVES INC N NFA 07/31/2003 418,340 250,000 0 168,340 169 WHITE COMMERCIAL CORPORATION N NFA 07/31/2003 1,555,202 250,000 0 1,305,202 170 XPRESSTRADE LLC N NFA 07/31/2003 2,398,904 250,000 0 2,148,904 171 YORK BUSINESS ASSOCIATES LLC N CBOT 07/31/2003 1,462,135 250,000 0 1,212,135 

Total 41,408,533,080 60Reconciliation from June Web Page Update 172Name ChangeFROM PRUDENTIAL SECURITIES INC TO PRUDENTIAL EQUITY GROUP INCAdditionsIFX MARKETS INCPRUDENTIAL FINANCIAL DERIVATIVES LLC 2DeletionsDIRECT TRADING GROUP LLCNEXUS TRADING LLCBLAYLOCK & PARTNERS LP 3July Web Page Update Total 171(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 
SELECTED FCM FINANCIAL DATA 

FROM REPORTS FILED BY 

August 31, 2003

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

Futures Commission Merchant Date Net Capital Requirement Requirement Net Capital Seg 

(4% of Seg, SEC Capital 

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

(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. orfzimmerle@cftc.gov