SELECTED FCM FINANCIAL DATA 

FROM REPORTS FILED BY

 APRIL 30, 2002

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 AB FINANCIAL LLC Y NFA 03/31/02 11,584,786 250,000 0 11,334,782 ABN AMRO INCORPORATED Y CBOT 03/31/02 890,032,376 110,524,036 82,567,691 779,508,343 ABN AMRO SAGE CORPORATION Y NFA 03/31/02 48,202,559 3,948,906 3,948,906 44,253,654 ADM INVESTOR SERVICES INC N CBOT 03/31/02 69,567,173 11,132,651 11,133,372 58,433,805 ADVEST INC Y NFA 03/31/02 39,941,072 1,000,000 0 38,941,06 AEGIS FINANCIAL LLC N NFA 03/31/02 251,861 250,000 154,577 1,87 AG EDWARDS & SONS INC Y CBOT 03/31/02 590,707,443 50,013,487 2,036,422 540,693,958 AGE COMMODITY CLEARING CORP N CBOT 03/31/02 10,934,339 1,426,048 2,688,896 8,245,449 AIG CLEARING CORPORATION N NYME 03/31/02 120,066,545 250,000 5,498,524 114,568,02

10 ALARON TRADING CORPORATION N CME 03/31/02 3,937,249 1,493,897 698,063 2,443,311 ALCO COMMODITIES INC N NFA 03/31/02 457,164 250,000 0 201,112 AMERICAN NATIONAL TRADING CORP N NFA 03/31/02 767,392 290,527 265,438 476,813 AUBREY G LANSTON & CO INC Y NFA 03/31/02 34,434,654 7,154,993 3,026,750 27,279,6614 BANC OF AMERICA FUTURES INCORPORATED Y CME 03/31/02 61,818,090 8,387,282 16,311,052 45,507,0315 BANC ONE CAPITAL MARKETS Y CBOT 03/31/02 469,141,850 71,319,963 131,293,151 337,848,6916 BARCLAYS CAPITAL INC Y CBOT 03/29/02 306,560,645 50,377,865 102,292,197 204,268,4417 BEAR STEARNS & CO INC Y NFA 03/28/02 1,850,240,059 40,222,825 0 1,810,017,2318 BEAR STEARNS SECURITIES CORP Y CME 03/28/02 2,353,613,194 661,673,108 85,453,094 1,691,940,0819 BENSON-QUINN COMMODITIES INC N NFA 03/31/02 3,908,086 792,376 1,169,228 2,738,820 BIELFELDT & COMPANY LLC N CBOT 03/31/02 467,654 250,000 0 217,621 BLAYLOCK AND PARTNERS LP Y NFA 03/31/02 7,159,918 250,000 0 6,909,922 BNP PARIBAS BROKERAGE SERVICES INC Y CME 03/31/02 35,770,201 526,149 14,787,228 20,982,923 BNP PARIBAS COMMODITY FUTURES INC N NYME 03/31/02 47,044,472 10,696,219 16,911,350 30,133,1224 BNP PARIBAS SECURITIES CORP Y CBOT 03/31/02 365,564,469 576,780 0 364,987,6925 BNY CLEARING SERVICES LLC Y NFA 03/31/02 88,923,278 16,503,849 0 72,419,4226 BOSTON CABOT LLC Y NFA 02/28/02 260,535 250,000 0 10,527 C CZARNIKOW SUGAR FUTURES INC N NFA 03/31/02 1,432,727 250,000 82,728 1,182,7228 CANTOR FITZGERALD & CO Y CBOT 03/31/02 81,271,036 2,191,379 23,259 79,079,6529 CAPITAL MARKET SERVICES LLC N NFA 03/31/02 487,301 250,000 0 237,330 CARGILL INVESTOR SERVICES INC Y CBOT 03/31/02 79,554,454 37,169,871 57,204,008 22,350,4431 CARR FUTURES INC Y CME 03/31/02 207,596,554 96,765,948 132,751,045 74,845,5032 CDC SECURITIES Y NFA 03/31/02 76,952,697 250,000 0 76,702,6933 CIBC WORLD MARKETS CORP Y NYME 03/31/02 976,611,884 20,630,156 10,786,662 955,981,7234 CLIFDEN FUTURES LLC N NFA 03/31/02 522,752 250,000 0 272,735 COMMERZ FUTURES LLC Y CME 03/31/02 8,819,915 2,540,642 4,057,625 4,762,236 COUNTRY HEDGING INC N NFA 03/31/02 2,875,279 583,534 1,047,873 1,827,437 CREDIT LYONNAIS ROUSE USA LIMITED N NYME 03/31/02 12,055,825 3,568,276 7,051,241 5,004,538 CREDIT SUISSE FIRST BOSTON CORPORATION Y CBOT 03/31/02 2,832,527,999 114,206,629 68,843,092 2,718,321,3739 CROSSLAND LLC N CBOT 03/29/02 3,508,376 313,977 186,069 3,194,340 CUNNINGHAM COMMODITIES INC N CBOT 03/31/02 1,857,011 250,000 49,108 1,607,041 DAIWA SECURITIES AMERICA INC Y CME 02/28/02 246,102,014 4,140,351 3,969,313 241,961,6642 DEUTSCHE BANK FUTURES INC N CME 03/31/02 143,739,415 18,713,250 128,117,480 15,621,9343 DEUTSCHE BANK SECURITIES INC Y CBOT 03/31/02 929,542,494 99,195,853 51,899,000 830,346,6444 DIRECT TRADING GROUP LLC N NFA 03/31/02 442,459 250,000 11,482 192,445 DONALDSON LUFKIN & JENRETTE SEC CORP Y CBOT 03/31/02 975,316,000 125,609,720 0 849,706,2846 DORMAN TRADING LLC N CME 03/31/02 3,784,663 724,480 244,816 3,060,147 DUNAVANT COMMODITY CORP N NYCE 03/31/02 12,534,961 1,003,704 494,960 11,531,2548 E FUTURES. COM LLC N NFA 03/31/02 1,179,734 577,654 503,881 602,049 EAGLE MARKET MAKERS INC N CBOT 03/31/02 1,727,942 250,000 22,849 1,477,9450 EM COMBS & SON N CBOT 03/31/02 1,746,325 250,000 21,068 1,496,3251 ENRON TRADING SERVICES INC N NFA 03/31/02 17,639,921 250,000 0 17,389,92
SELECTED FCM FINANCIAL DATA 

FROM REPORTS FILED BY

 APRIL 30, 2002

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) 

52 FAHNESTOCK & CO INC Y NFA 03/31/02 167,782,420 10,504,442 98,879 157,277,9753 FARR FINANCIAL INC N NFA 03/31/02 629,263 361,704 128,548 267,554 FC STONE LLC N CME 03/31/02 18,130,078 7,582,300 7,128,105 10,547,755 FCT GROUP LLC N CME 03/31/02 3,535,676 250,000 391,528 3,144,1456 FIMAT USA INC Y CME 03/31/02 119,574,157 43,374,713 94,676,638 24,897,557 FIRST OPTIONS OF CHICAGO INC Y CME 03/29/02 187,115,073 3,642,686 19,962,486 167,152,5858 FIRST UNION SECURITIES INC Y CME 03/31/02 274,043,474 1,000,000 0 273,043,4759 FOREX CAPITAL MARKETS LLC N NFA 03/31/02 5,234,039 250,000 0 4,984,060 FORTIS CLEARING CHICAGO LLC N CBOT 03/31/02 6,728,905 845,574 486,817 5,883,361 FOX INC N NFA 03/31/02 619,719 250,000 0 369,762 FRIEDBERG MERCANTILE GROUP INC Y NFA 03/31/02 1,615,555 250,000 4,211 1,365,563 FRONTIER FUTURES INC N NFA 03/31/02 914,982 299,125 232,359 615,864 FUJI FUTURES INC Y CBOT 03/31/02 15,711,855 7,684,482 11,867,519 3,844,365 FUTURES TECH LLC N NFA 03/31/02 407,640 250,000 0 157,6466 GAIN CAPITAL Y NFA 03/31/02 948,797 250,000 0 698,767 GELBER GROUP LLC N CBOT 03/31/02 5,261,047 798,511 189,989 4,462,568 GILDER GAGNON HOWE AND CO LLC Y NFA 03/31/02 18,530,085 250,000 0 18,280,0869 GLOBAL FUTURES & FOREX LTD N NFA 03/31/02 1,473,871 250,000 0 1,223,870 GNI INCORPORATED N CBOT 03/31/02 13,190,489 5,846,412 6,931,673 6,258,871 GOLDENBERG HEHMEYER & CO Y CBOT 03/31/02 9,741,971 1,177,029 747,082 8,564,9472 GOLDMAN SACHS & CO Y CBOT 03/29/02 3,733,473,361 708,343,285 356,722,912 3,025,130,0773 GREENWICH CAPITAL MARKETS INC Y CBOT 03/31/02 809,999,000 23,169,000 29,457,440 780,541,5674 GRUNTAL & CO LLC Y NFA 03/28/02 13,106,529 1,000,000 49,078 12,106,5275 HAGERTY GRAIN CO INC N CBOT 03/31/02 1,523,711 276,107 89,505 1,247,676 HORNBLOWER FISCHER & CO Y NFA 03/31/02 1,731,449 533,413 441,124 1,198,077 HSBC SECURITIES USA INC Y CME 03/31/02 207,789,144 72,115,423 26,460,874 135,673,7278 INTEGRATED BROKERAGE SERVICES INC N NFA 03/31/02 673,892 250,000 0 423,879 INTERACTIVE BROKERS LLC Y NFA 03/31/02 67,992,969 2,198,258 320,358 65,794,780 IOWA GRAIN CO N CBOT 03/31/02 7,901,145 3,174,804 2,707,814 4,726,3481 JP MORGAN FUTURES INC N NYME 03/31/02 451,977,252 147,060,102 232,597,611 219,379,6482 JULIUS BAER SECURITIES INC Y NFA 03/31/02 12,626,344 250,000 0 12,376,3483 KOKUSAI AMERICA INCORPORATED Y NFA 03/31/02 20,236,213 250,000 0 19,986,284 KOTTKE ASSOCIATES LLC N CBOT 03/31/02 5,408,273 437,081 103,090 4,971,185 LADENBURG THALMANN & CO INC Y NFA 03/31/02 4,295,994 1,000,000 0 3,295,986 LAKES TRADING GROUP INC N CBOT 03/31/02 1,223,424 250,000 188,996 973,4287 LAWRENCE-BONFITTO TRADING COMPANY N CBOT 03/31/02 2,508,264 250,000 87,644 2,258,288 LBS LIMITED PARTNERSHIP N CBOT 03/31/02 349,282 250,000 0 99,289 LEGG MASON WOOD WALKER INC Y NFA 03/31/02 307,412,890 20,829,994 0 286,582,8990 LEHMAN BROTHERS INC Y CBOT 03/31/02 1,834,769,000 204,907,700 101,832,520 1,745,895,3091 LINN GROUP ( THE ) N NFA 03/31/02 421,317 250,000 0 171,392 LINSCO/PRIVATE LEDGER CORP Y NFA 03/31/02 84,630,970 4,186,509 0 80,444,4693 LOEB PARTNERS CORPORATION Y NFA 03/31/02 15,429,013 250,000 0 15,179,094 MACQUARIE FUTURES INC N CBOT 03/31/02 1,011,398 250,000 83,856 761,395 MAN FINANCIAL INC Y CME 03/31/02 163,996,003 73,547,813 92,293,524 71,702,496 MARQUETTE ELECTRONIC BROKERAGE LLC N NFA 03/31/02 63,730 250,000 0 -186,297 MAXCOR FINANCIAL INC Y NFA 03/31/02 12,271,914 250,000 0 12,021,998 MBF CLEARING CORP N NYME 03/31/02 5,889,799 2,286,691 577,609 3,603,199 MCVEAN TRADING AND INVESTMENTS LLC N NFA 03/31/02 8,079,120 3,431,366 829,734 4,647,7

100 MERRILL LYNCH PIERCE FENNER & SMITH Y CBOT 03/29/02 2,784,309,926 373,437,540 1,657,519,077 1,126,790,84101 MERRILL LYNCH PROFESSIONAL CLEARING CORP Y NFA 03/29/02 1,008,201,265 21,763,004 45,185,905 963,015,36102 MID-CO COMMODITIES INC N NFA 03/31/02 3,358,134 363,402 502,527 2,855,6
SELECTED FCM FINANCIAL DATA 

FROM REPORTS FILED BY

 APRIL 30, 2002

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) 

103 MIDLAND EURO INC N NFA 03/31/02 213,731 250,000 0 -36,2104 MITSUI & CO INVESTMENT PRODUTS CORP Y NFA 03/29/02 2,879,163 250,000 18,336 2,629,1105 MIZUHO SECURITIES USA INC Y CME 03/31/02 175,585,306 250,000 0 175,335,30106 MORGAN KEEGAN & COMPANY INC Y NFA 03/31/02 140,177,732 11,369,124 0 128,808,60107 MONEY GARDEN CORPORATION Y NFA 03/31/02 2,412,907 250,000 0 2,162,9108 MORGAN STANLEY & CO INCORPORATED Y CME 03/31/02 5,409,748,261 702,628,242 163,885,087 4,707,120,0109 MORGAN STANLEY DW INC Y CBOT 03/31/02 1,444,093,290 123,954,302 1,933,590 1,500,741,94110 NATIONAL COMMODITIES CORPORATION INC N NFA 03/29/02 1,369,525 870,000 10,060 499,52111 NEUBERGER BERMAN LLC Y NFA 03/31/02 216,131,948 20,999,592 186,681 195,132,35112 NIKKO SECURITIES CO INTERNATIONAL INC Y NFA 03/31/02 9,582,489 250,000 0 9,332,4113 NOMURA SECURITIES INTERNATIONAL INC Y CBOT 03/31/02 636,025,681 1,981,201 615,247 634,044,48114 NOYES DAVID A Y NFA 03/31/02 1,150,457 250,000 0 900,4115 OCONNOR & COMPANY LLC Y CBOT 03/31/02 35,432,266 1,538,427 1,346,520 33,893,83116 PACKERS TRADING CO INC N NFA 03/31/02 1,654,567 250,000 241,372 1,404,5117 PATTERSON CAPITAL MARKETS LTD N CBOT 03/31/02 418,580 250,000 0 168,5118 PAX CLEARING CORPORATION Y CME 03/31/02 43,989,639 2,178,958 2,102,139 41,810,68119 PENSON FINANCIAL FUTURES INC N NFA 03/31/02 424,793 250,000 0 174,7120 PEREGRINE FINANCIAL GROUP INC N NFA 03/31/02 7,319,037 2,963,389 1,422,128 4,355,64121 PIONEER CAPITAL CORP Y NFA 03/31/02 2,061,461 250,000 0 1,811,4122 PIONEER FUTURES INC N NYME 03/31/02 6,294,190 2,467,688 1,281,660 3,826,5123 PREFERRED TRADE INC Y NFA 03/31/02 9,893,749 804,539 0 9,089,2124 PRUDENTIAL SECURITIES INCORPORATED Y CBOT 03/29/02 790,787,000 89,594,700 70,625,200 701,192,30125 QTECH DERIVATIVES INC N NFA 03/31/02 488,185 250,000 0 238,1126 RAND FINANCIAL SERVICES INC N CME 03/31/02 11,759,353 5,721,099 8,345,356 3,413,9127 RAYMOND JAMES & ASSOCIATES INC Y NFA 03/28/02 299,831,167 23,723,426 0 276,107,74128 RB&H FINANCIAL SERVICES LP N CME 03/31/02 3,525,723 1,869,926 1,074,595 1,655,7129 RBC DAIN RAUSCHER INC Y NFA 03/31/02 215,816,658 31,765,901 0 184,050,75130 RBC DOMINION SECURITIES CORPORATION Y CME 03/31/02 136,785,324 1,000,000 4,849,547 131,935,77131 REFCO LLC N CME 03/31/02 145,429,284 90,413,192 77,461,434 55,016,09132 RJ OBRIEN ASSOCIATES INC N CME 03/29/02 24,098,511 11,591,703 10,190,177 12,506,80133 ROBBINS FUTURES INC N NFA 03/31/02 494,041 270,133 94,158 223,9134 ROBERTSON STEPHENS INC Y CME 03/28/02 420,118,043 4,850,363 0 415,267,68135 ROSENTHAL COLLINS GROUP LLC N CME 03/31/02 34,231,128 7,797,264 4,415,591 26,433,86136 ROSENTHAL GLOBAL SECURITIES LLC Y CBOT 03/31/02 9,659,372 644,641 0 9,014,7137 ROTHSCHILD INC Y NYME 03/31/02 14,057,245 250,000 0 13,807,24138 SALOMON SMITH BARNEY INC Y CBOT 03/31/02 3,325,400,897 449,129,030 154,253,743 2,876,271,86139 SANFORD C BERNSTEIN & CO LLC Y NFA 03/31/02 216,523,775 9,354,096 0 207,169,67140 SAVANT USA LIMITED N NFA 03/31/02 466,360 250,000 0 216,3141 SENTINEL MANAGEMENT GROUP INC N NFA 03/31/02 851,339 250,000 0 601,3142 SG COWEN SECURITIES CORPORATION Y NFA 03/31/02 772,065,546 3,747,336 0 768,318,2143 SHATKIN ARBOR KARLOV & CO N CBOT 03/31/02 6,034,713 289,597 93,908 5,745,1144 SHAY GRAIN CLEARING COMPANY N KCBT 03/31/02 726,938 250,000 2,292 476,9145 SHEPARD INTERNATIONAL INC N NFA 03/31/02 2,505,965 250,000 0 2,255,9146 SHERWOOD FUTURES GROUP LLC N NFA 03/31/02 1,096,938 250,000 0 846,9147 SIEGEL TRADING CO INC THE N NFA 03/31/02 608,827 250,000 0 358,82148 SMW TRADING COMPANY INC N CME 03/29/02 6,508,638 448,713 359,053 6,059,92149 STAFF USA INC N NFA 03/31/02 338,164 250,000 0 88,1150 SPEAR LEEDS & KELLOG Y NYME 03/29/02 972,359,107 41,759,297 10,829,120 930,599,8151 STEPHENS INC Y NFA 03/31/02 72,285,078 9,507,262 0 62,777,8152 STERLING COMMODITIES CORP N NYME 03/31/02 5,271,158 754,718 254,099 4,516,44153 SWISS AMERICAN SECURITIES INC Y NFA 03/31/02 68,455,907 4,498,666 0 63,957,24
SELECTED FCM FINANCIAL DATA 

FROM REPORTS FILED BY

 APRIL 30, 2002

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) 

154 TCA FUTURES LLC N NFA 03/31/02 418,241 250,000 0 168,24155 TECH NET TRADING INC Y NFA 03/31/02 447,336 250,000 31,852 197,3156 TENCO INC N CBOT 03/31/02 25,914,247 1,403,019 1,640,074 24,274,1157 TIMBER HILL LLC Y CME 03/31/02 292,528,947 380,457 320,358 292,148,49158 TOKYO GENERAL USA INC N NFA 03/31/02 445,731 250,000 5,046 195,7159 TOKYO-MITSUBISHI FUTURES USA INC N CME 03/31/02 17,623,751 431,603 5,168,767 12,454,98160 TRADELINK LLC Y CBOT 03/31/02 14,502,364 250,000 423,139 14,079,22161 TRANSMARKET GROUP LLC Y CBOT 03/31/02 7,752,405 884,877 0 6,867,52162 TRILAND USA INC N NYME 03/31/02 19,189,422 527,792 608,063 18,581,35163 UBS PAINEWEBBER INC Y CBOT 03/31/02 1,459,061,416 241,151,510 17,882,240 1,217,909,90164 UBS WARBURG LLC Y CBOT 03/31/02 1,161,951,459 116,539,843 164,542,186 997,409,27165 UFJ FUTURES LLC N CME 03/31/02 13,118,498 250,000 1,789,259 11,329,23166 UNIVERSAL FINANCIAL HOLDING CORP N NFA 03/31/02 588,891 250,000 145,903 338,8167 US BANCORP PIPER JAFFRAY INC Y NFA 03/31/02 260,840,470 12,284,632 0 248,555,83168 US SECURITIES & FUTURES CORP Y NFA 03/31/02 390,750 250,000 0 140,7169 VISION LIMITED PARTNERSHIP N NFA 03/31/02 10,659,185 5,480,374 4,301,283 5,178,8170 WACHOVIA SECURITIES INC Y NFA 03/31/02 128,039,374 9,262,818 0 118,776,55171 WALL STREET DERIVATIVES INC N NFA 03/31/02 400,485 250,000 0 150,4172 WEISS PECK & GREER LLC Y NFA 03/29/02 82,699,055 8,911,620 0 73,787,43173 WHITE COMMERCIAL CORPORATION N NFA 03/31/02 1,523,643 250,000 0 1,273,64174 XPRESSTRADE LLC N NFA 03/31/02 1,486,438 250,000 0 1,236,4

Total 45,660,057,887 
SELECTED FCM FINANCIAL DATA 

FROM REPORTS FILED BY

 APRIL 30, 2002

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) 

(b): DSRO: Designated Self-Regulatory Organization.(c): Risk-based net capital requirement is the sum total (e): This represents the total amount of funds that Note: Any errors in this table shoof 8% of customer, and 4% of non-customer an FCM is required to segregate on behalf of to the attention of the CFTC's Divrisk margin for domestic and foreign futures accounts customers who are trading on commodity and Markets at (312) 596-0581 o(excluding proprietary accounts). The risk based exchanges located in the United States. e-mail to: fzimmerle@cftc.gov orminimum requirement applies to all FCMs which are This is the sum of all accounts that contain sgreska@cftc.gov.a member of the National Futures Association, and was a net liquidating equity.effective 10/31/00.(a): B/D? : A 'Y' means the FCM is also registered with the Securities and Exchange Commission as a securities broker or dealer.

(d): Excess net capital is adjusted net capital, less the greater of the net capital requirement or risk-based requirement.

(f): This represents the amount orequired to set aside for customecommodity exchanges located ouStates. The amount to be set asforeign commodity account may liquidating equity in the customer