SELECTED FCM FINANCIAL DATA 

FROM REPORTS FILED BY 

September 30, 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 08/31/2002 1,190,128,538 105,432,023 88,627,138 1,084,696,515 1,737,863,846 43,448,725

2 ABN AMRO SAGE CORPORATION Y NFA 08/31/2002 42,922,226 6,191,626 6,191,626 36,730,600 130,239,301 0

3 ADM INVESTOR SERVICES INC N CBOT 08/31/2002 62,964,737 15,234,602 16,286,052 46,678,685 400,588,299 14,941,815

4 ADVEST INC Y NFA 08/31/2002 41,722,655 1,000,000 0 40,722,655 0 0

5 AG EDWARDS & SONS INC Y CBOT 08/31/2002 578,536,495 42,869,121 2,323,716 535,667,374 61,909,715 16,664

6 AGE COMMODITY CLEARING CORP N CBOT 08/31/2002 11,317,061 1,195,335 3,065,444 8,251,617 39,383,209 0

7 AIG CLEARING CORPORATION N NYME 08/31/2002 120,515,633 250,000 5,175,648 115,339,985 0 0

8 ALARON TRADING CORPORATION N CME 08/31/2002 3,343,179 1,739,434 949,917 1,603,745 47,890,388 38,546

9 ALCO COMMODITIES INC N NFA 08/31/2002 458,531 250,000 0 208,531 0 0

10 AMERICAN NATIONAL TRADING CORP N NFA 08/31/2002 1,200,679 345,911 268,044 854,768 11,757,483 0

11 BANC OF AMERICA FUTURES INCORPORATED Y CME 08/31/2002 66,590,859 4,176,335 18,474,475 48,116,384 104,230,873 177,491

12 BANC ONE CAPITAL MARKETS INC Y CBOT 08/31/2002 383,416,383 63,723,395 105,946,390 277,469,993 1,968,162,665 8,394,045

13 BARCLAYS CAPITAL INC Y CBOT 08/30/2002 370,775,967 55,189,650 98,286,285 272,489,682 1,366,018,790 47,463,642

14 BAXTER FINANCIAL SERVICES LTD N NFA 08/30/2002 57,094 250,000 0 -192,906 0 0

15 BEAR STEARNS & CO INC Y CBOT 08/30/2002 1,782,083,667 41,426,800 0 1,740,656,867 0 0

16 BEAR STEARNS SECURITIES CORP Y CME 08/30/2002 2,297,040,520 649,543,713 84,454,341 1,647,496,807 1,442,516,306 147,591,481

17 BIELFELDT & COMPANY LLC N CBOT 08/31/2002 445,641 250,000 0 195,641 0 0

18 BLAYLOCK AND PARTNERS LP Y NFA 08/31/2002 2,551,860 250,000 0 2,301,860 0 0

19 BNP PARIBAS BROKERAGE SERVICES INC Y CME 08/31/2002 16,949,412 1,865,677 9,364,185 7,585,227 46,641,931 0

20 BNP PARIBAS COMMODITY FUTURES INC N NYME 08/31/2002 50,756,722 8,792,566 10,495,196 40,261,526 238,685,650 13,408,094

21 BNP PARIBAS SECURITIES CORP Y CBOT 08/31/2002 332,440,998 267,523 0 332,173,475 0 0

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

23 BOSTON CABOT LLC N NFA 08/31/2002 583,938 250,000 0 333,938 0 0

24 C CZARNIKOW SUGAR FUTURES INC N NFA 08/31/2002 1,512,970 250,000 119,938 1,262,970 722,665 0

25 CANTOR FITZGERALD & CO Y CBOT 08/31/2002 64,382,185 751,367 20,236 63,630,818 250,831 0

26 CAPITAL MARKET SERVICES LLC N NFA 08/31/2002 472,216 250,000 0 222,216 0 0

27 CARGILL INVESTOR SERVICES INC N CBOT 08/31/2002 82,373,611 42,174,863 53,391,813 28,981,798 1,028,251,719 109,893,467

28 CARR FUTURES INC Y CME 08/31/2002 192,330,463 91,903,386 121,534,868 70,795,595 2,252,919,871 1,250,136,977

29 CDC SECURITIES Y NFA 08/31/2002 76,314,342 250,000 0 76,064,342 0 0

30 CIBC WORLD MARKETS CORP Y NYME 08/31/2002 919,658,910 18,134,859 9,481,266 901,524,051 4,958,439 0

31 CLIFDEN FUTURES LLC N NFA 08/31/2002 462,472 250,000 0 212,472 380,335 0

32 COMMERZ FUTURES LLC Y CME 08/31/2002 8,366,903 1,818,539 3,462,259 4,904,644 78,862,546 6,653,870

33 COUNTRY HEDGING INC N NFA 08/31/2002 3,754,119 973,253 2,353,546 1,400,573 30,355,992 51,303

34 CREDIT LYONNAIS ROUSE USA LIMITED N NYME 08/31/2002 22,700,753 3,500,842 15,275,852 7,424,901 135,585,357 196,107

35 CREDIT SUISSE FIRST BOSTON CORPORATION Y CBOT 08/31/2002 3,577,486,529 52,800,799 61,833,191 3,515,653,338 1,057,444,840 210,808,314

36 CROSSLAND LLC N CBOT 08/30/2002 3,486,072 374,961 68,129 3,111,111 9,503,407 0

37 CUNNINGHAM COMMODITIES INC N CBOT 08/31/2002 1,762,228 250,000 122,663 1,512,228 6,109,390 104,517

38 DAIWA SECURITIES AMERICA INC Y CME 08/31/2002 228,485,994 5,567,720 5,957,643 222,528,351 99,203,580 1,448,993

39 DEUTSCHE BANK FUTURES INC N CME 08/31/2002 154,106,742 42,608,443 134,799,240 19,307,502 1,121,804,004 10,525,758

40 DEUTSCHE BANK SECURITIES INC Y CBOT 08/31/2002 1,319,458,897 80,803,184 48,689,760 1,238,655,713 1,127,419,940 136,731,470

41 DIRECT TRADING GROUP LLC N NFA 08/31/2002 500,651 250,000 18,111 250,651 1,694,979 0

42 DONALDSON LUFKIN & JENRETTE SEC CORP Y CBOT 08/31/2002 1,194,008,000 84,533,060 0 1,109,474,940 0 0

43 DORMAN TRADING LLC N CME 08/31/2002 4,208,219 858,957 281,060 3,349,262 21,503,685 0

44 DUNAVANT COMMODITY CORP N NYBOT 06/30/2002 14,192,799 898,152 0 13,294,647 32,301,735 0

45 EAGLE MARKET MAKERS INC N CBOT 08/31/2002 1,912,605 250,000 24,655 1,662,605 1,773,697 14,322

46 EM COMBS & SON N CBOT 08/31/2002 1,781,672 250,000 22,649 1,531,672 3,012,514 0

47 FAHNESTOCK & CO INC Y NFA 08/31/2002 169,064,555 8,428,951 0 160,635,604 1,043,500 0

48 FARR FINANCIAL INC N NFA 08/31/2002 802,818 424,133 148,428 378,685 10,821,857 41,570

49 FC STONE LLC N CME 08/31/2002 15,286,179 8,307,262 10,554,869 4,731,310 251,421,967 925,047
SELECTED FCM FINANCIAL DATA 

FROM REPORTS FILED BY 

September 30, 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)

50 FCT GROUP LLC N CME 08/31/2002 3,593,694 250,000 402,649 3,191,045 6,971,836 0

51 FIMAT USA INC Y CME 08/31/2002 176,247,867 64,718,476 107,142,902 69,104,965 2,294,604,267 365,521,489

52 FIRST CAPITOL GROUP LLC N NFA 08/31/2002 1,784,314 589,497 507,031 1,194,817 20,096,430 1,630

53 FIRST OPTIONS OF CHICAGO INC Y CME 08/30/2002 228,945,025 7,990,448 20,953,707 207,991,318 436,865,164 13,852,570

54 FOREX CAPITAL MARKETS LLC N NFA 08/31/2002 7,594,709 250,000 0 7,344,709 0 0

55 FORTIS CLEARING CHICAGO LLC N CBOT 08/31/2002 5,616,396 1,467,423 567,019 4,148,973 37,501,449 1,569,265

56 FRIEDBERG MERCANTILE GROUP INC Y NFA 08/31/2002 1,385,995 250,000 42,982 1,135,995 4,247,971 0

57 FRONTIER FUTURES INC N NFA 08/31/2002 898,859 385,655 315,533 513,204 12,387,681 0

58 FUTURES TECH LLC N NFA 08/31/2002 408,940 250,000 0 158,940 0 0

59 FX SOLUTIONS LLC N NFA 08/31/2002 376,665 250,000 0 126,665 0 0

60 GAIN CAPITAL N NFA 08/31/2002 1,700,915 250,000 0 1,450,915 0 0

61 GELBER GROUP LLC N CBOT 08/31/2002 10,097,372 682,568 199,217 9,414,804 19,137,344 153,893

62 GFS SECURITIES & FUTURES INC N NFA 08/31/2002 409,212 250,000 0 159,212 0 0

63 GILDER GAGNON HOWE AND CO LLC Y NFA 08/31/2002 27,720,391 250,000 0 27,470,391 0 0

64 GLOBAL FUTURES & FOREX LTD N NFA 08/31/2002 3,211,795 250,000 0 2,961,795 0 0

65 GNI INCORPORATED N CBOT 08/31/2002 12,497,614 5,490,640 5,802,261 6,695,353 125,522,658 12,847,607

66 GOLDENBERG HEHMEYER & CO Y CBOT 08/31/2002 12,257,955 1,525,949 1,536,907 10,721,048 51,671,457 3,288,926

67 GOLDMAN SACHS & CO Y CBOT 08/30/2002 3,306,589,554 606,835,707 394,424,067 2,699,753,847 6,932,726,883 3,106,620,695

68 GREENWICH CAPITAL MARKETS INC Y CBOT 08/31/2002 894,296,000 12,075,000 18,029,440 876,266,560 180,987,000 158,000

69 HAGERTY GRAIN CO INC N CBOT 08/31/2002 1,681,434 295,413 125,370 1,386,021 7,423,279 0

70 HORNBLOWER FISCHER & CO Y NFA 08/31/2002 2,034,460 488,160 300,444 1,546,300 12,224,018 0

71 HOTSPOT FX INC N NFA 08/31/2002 391,423 250,000 0 141,423 0 0

72 HSBC SECURITIES USA INC Y CME 08/31/2002 288,648,423 9,237,500 23,888,829 264,759,594 239,853,393 28,274,674

73 INTEGRATED BROKERAGE SERVICES INC N NFA 08/31/2002 620,902 250,000 0 370,902 799,717 0

74 INTERACTIVE BROKERS LLC Y NFA 08/31/2002 81,046,208 1,990,511 491,702 79,055,697 34,225,606 15,537,159

75 IOWA GRAIN CO N CBOT 08/31/2002 8,005,777 3,526,377 3,117,970 4,479,400 94,808,815 5,177

76 JP MORGAN FUTURES INC N NYME 08/31/2002 436,426,031 143,813,178 236,975,265 199,450,766 3,726,194,757 318,489,650

77 JULIUS BAER SECURITIES INC Y NFA 08/31/2002 8,957,535 563,956 0 8,393,579 0 0

78 KOTTKE ASSOCIATES LLC N CBOT 08/31/2002 10,561,563 442,401 156,176 10,119,162 16,113,478 47,062

79 LADENBURG THALMANN & CO INC Y NFA 08/31/2002 3,769,484 1,000,000 0 2,769,484 0 0

80 LAWRENCE-BONFITTO TRADING COMPANY N CBOT 08/30/2002 2,705,272 250,000 36,704 2,455,272 5,068,136 0

81 LBS LIMITED PARTNERSHIP N CBOT 08/31/2002 421,988 250,000 0 171,988 0 0

82 LEGG MASON WOOD WALKER INC Y NFA 08/31/2002 333,184,249 19,012,832 0 314,171,417 0 0

83 LEHMAN BROTHERS INC Y CBOT 08/31/2002 1,663,555,000 91,836,380 119,084,120 1,544,470,880 1,282,467,000 18,325,000

84 LINN GROUP ( THE ) N NFA 08/31/2002 505,377 250,000 0 255,377 0 0

85 LINSCO/PRIVATE LEDGER CORP Y NFA 08/31/2002 98,941,369 3,728,562 0 95,212,807 0 0

86 LOEB PARTNERS CORPORATION Y NFA 08/31/2002 13,875,217 250,000 0 13,625,217 0 0

87 MACQUARIE FUTURES INC N CBOT 08/31/2002 751,561 250,000 0 501,561 0 0

88 MAN FINANCIAL INC Y CME 08/31/2002 169,529,728 88,116,293 82,433,936 81,413,435 2,012,814,597 335,650,192

89 MARQUETTE ELECTRONIC BROKERAGE LLC N NFA 08/31/2002 1,856,872 250,000 0 1,606,872 0 0

90 MAXCOR FINANCIAL INC Y NFA 08/31/2002 22,468,650 250,000 0 22,218,650 0 0

91 MBF CLEARING CORP N NYME 08/31/2002 6,078,267 2,275,669 525,983 3,802,598 56,883,299 205,127

92 MCVEAN TRADING AND INVESTMENTS LLC N NFA 08/31/2002 6,780,428 3,882,467 932,684 2,897,961 97,395,707 0

93 MERRILL LYNCH PIERCE FENNER & SMITH Y CBOT 08/30/2002 3,157,414,902 299,850,264 216,048,747 2,857,564,638 4,847,142,974 373,713,874

94 MERRILL LYNCH PROFESSIONAL CLEARING CORP Y NFA 08/30/2002 1,365,748,744 30,342,626 55,288,646 1,310,460,098 875,225,617 0

95 MID-CO COMMODITIES INC N NFA 08/31/2002 3,262,055 552,802 998,643 2,263,412 14,651,320 0

96 MIDLAND EURO INC N NFA 08/31/2002 195,936 250,000 0 -54,064 0 0

97 MITSUI & CO INVESTMENT PRODUTS CORP N NFA 08/30/2002 2,729,891 250,000 2,448 2,479,891 1,475,517 0

98 MIZUHO SECURITIES USA INC Y CME 08/31/2002 253,287,884 13,754,384 16,795,621 236,492,263 290,418,369 36,142,918
SELECTED FCM FINANCIAL DATA 

FROM REPORTS FILED BY 

September 30, 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)

99 MONEY GARDEN CORP N NFA 08/31/2002 3,157,623 250,000 0 2,907,623 0 0

100 MORGAN KEEGAN & COMPANY INC Y NFA 08/31/2002 143,902,587 9,917,014 0 133,985,573 0 0

101 MORGAN STANLEY & CO INCORPORATED Y CME 08/31/2002 5,383,769,160 646,531,283 124,050,859 4,737,237,877 3,061,123,703 960,372,939

102 MORGAN STANLEY DW INC Y CBOT 08/31/2002 1,523,948,268 102,303,115 1,540,748 1,421,645,153 586,393,960 959,400,704

103 NATIONAL COMMODITIES CORPORATION INC N NFA 08/31/2002 1,845,325 250,000 11,136 1,595,325 13,961,667 0

104 NEUBERGER BERMAN LLC Y NFA 08/31/2002 223,695,055 14,106,023 557,163 209,589,032 13,633,822 0

105 NEXUS TRADING LLC N NFA 08/31/2002 252,988 250,000 0 2,988 0 0

106 NIKKO SECURITIES CO INTERNATIONAL INC Y NFA 08/31/2002 8,475,754 250,000 0 8,225,754 0 0

107 NOMURA SECURITIES INTERNATIONAL INC Y CBOT 08/31/2002 733,762,336 2,057,875 651,591 731,704,461 6,422,205 0

108 NOYES DAVID A Y NFA 08/31/2002 1,536,080 250,000 0 1,286,080 0 0

109 OCONNOR & COMPANY LLC Y CBOT 08/31/2002 35,354,323 2,154,337 1,562,335 33,199,986 57,505,549 0

110 PACKERS TRADING CO INC N NFA 08/31/2002 2,648,490 250,000 161,340 2,398,490 5,955,966 0

111 PATTERSON CAPITAL MARKETS LTD N CBOT 08/31/2002 447,996 250,000 0 197,996 0 0

112 PAX CLEARING CORPORATION Y CME 08/31/2002 65,588,183 1,229,456 1,258,234 64,329,949 31,853,528 0

113 PENSON FINANCIAL FUTURES INC N NFA 08/31/2002 454,573 250,000 7,416 204,573 232,627 0

114 PEREGRINE FINANCIAL GROUP INC N NFA 08/31/2002 11,658,329 3,336,101 1,895,390 8,322,228 87,079,205 1,040,756

115 PIONEER CAPITAL CORP Y NFA 08/31/2002 4,241,879 250,000 0 3,991,879 0 0

116 PIONEER FUTURES INC N NYME 08/31/2002 5,509,287 2,747,156 1,040,805 2,762,131 76,283,533 159,877

117 PREFERRED TRADE INC Y NFA 08/31/2002 10,047,704 619,537 0 9,428,167 0 0

118 PRUDENTIAL SECURITIES INCORPORATED Y CBOT 08/30/2002 571,833,000 71,971,680 46,842,240 499,861,320 980,392,000 83,270,000

119 QTECH DERIVATIVES INC N NFA 08/31/2002 499,321 250,000 0 249,321 0 0

120 RAND FINANCIAL SERVICES INC N CME 08/31/2002 12,385,522 6,587,931 9,807,148 2,578,374 157,073,900 22,005,600

121 RAYMOND JAMES & ASSOCIATES INC Y NFA 08/30/2002 339,681,986 20,553,936 228,180 319,128,050 0 0

122 RB&H FINANCIAL SERVICES LP N CME 08/31/2002 3,265,621 1,976,895 906,190 1,288,726 51,987,777 113,647

123 RBC DAIN RAUSCHER INC Y NFA 08/31/2002 227,401,380 26,869,121 0 200,532,259 0 0

124 RBC DOMINION SECURITIES CORPORATION Y CME 08/31/2002 112,108,105 1,000,000 1,222,500 110,885,605 0 0

125 REFCO LLC N CME 08/31/2002 180,380,222 103,081,296 88,387,231 77,298,926 2,930,784,719 53,110,218

126 RJ OBRIEN ASSOCIATES INC N CME 08/30/2002 28,964,362 14,281,500 13,701,180 14,682,862 383,686,921 6,242,317

127 ROBBINS FUTURES INC N NFA 08/31/2002 492,542 261,023 9,166 231,519 6,630,475 0

128 ROBERTSON STEPHENS INC Y CME 08/31/2002 277,488,358 3,303,523 0 274,184,835 0 0

129 ROSENTHAL COLLINS GROUP LLC N CME 08/31/2002 51,510,624 9,914,201 6,068,625 41,596,423 264,587,177 672,181

130 ROSENTHAL GLOBAL SECURITIES LLC Y CBOT 08/31/2002 11,418,979 956,481 0 10,462,498 0 0

131 ROTSCHILD INC N NYME 07/31/2002 9,468,321 250,000 9,218,321 0 0

132 SALOMON SMITH BARNEY INC Y CBOT 08/31/2002 3,612,359,847 368,126,859 173,683,609 3,244,232,988 4,900,939,973 109,099,968

133 SANFORD C BERNSTEIN & CO LLC Y NFA 08/31/2002 147,494,436 9,510,727 0 137,983,709 0 0

134 SAVANT USA LIMITED N NFA 08/31/2002 525,617 250,000 0 275,617 0 0

135 SENTINEL MANAGEMENT GROUP INC N NFA 08/31/2002 914,466 250,000 0 664,446 392,343,657 0

136 SG COWEN SECURITIES CORPORATION Y NFA 08/31/2002 857,460,440 1,500,000 0 855,960,440 0 0

137 SHATKIN ARBOR KARLOV & CO N CBOT 08/31/2002 6,239,074 374,655 64,617 5,864,419 9,937,520 144,218

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

139 SHEPARD INTERNATIONAL INC N NFA 08/31/2002 2,242,024 250,000 0 1,992,024 0 0

140 SHERWOOD FUTURES GROUP LLC N NFA 08/31/2002 562,639 389,618 0 173,021 9,740,452 0

141 SIEGEL TRADING CO INC THE N NFA 08/31/2002 550,367 250,000 0 300,367 1,741,549 0

142 SMW TRADING COMPANY INC N CME 08/30/2002 6,750,174 451,748 378,814 6,298,426 11,847,412 0

143 SPEAR LEEDS & KELLOG Y NYME 08/30/2002 1,216,583,378 36,441,642 3,665,444 1,180,141,736 181,458,177 111,628

144 STAFF USA INC N NFA 08/31/2002 339,378 250,000 0 89,378 0 0

145 STEPHENS INC Y NFA 08/30/2002 65,055,044 9,578,239 0 55,476,805 0 0

146 STERLING COMMODITIES CORP N NYME 08/31/2002 5,382,384 821,426 326,080 4,560,958 20,757,440 617,621

147 SWISS AMERICAN SECURITIES INC Y NFA 08/31/2002 65,506,665 4,052,091 0 61,454,574 0 0
SELECTED FCM FINANCIAL DATA 

FROM REPORTS FILED BY 

September 30, 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)

148 TCA FUTURES LLC N NFA 08/31/2002 411,575 250,000 0 161,575 0 0

149 TENCO INC N CBOT 08/31/2002 26,698,854 1,905,660 1,717,319 24,793,194 62,199,100 0

150 TIMBER HILL LLC Y CME 08/31/2002 379,621,949 340,566 509,643 379,112,306 8,549,617 0

151 TOKYO GENERAL USA INC N NFA 08/31/2002 485,843 250,000 7,931 235,843 1,343,801 0

152 TOKYO-MITSUBISHI FUTURES USA INC N CME 08/31/2002 21,554,490 302,284 4,248,375 17,306,115 7,533,112 23,977

153 TRADELINK LLC Y CBOT 08/31/2002 24,059,431 250,000 494,108 23,565,323 0 0

154 TRANSMARKET GROUP LLC Y CBOT 08/31/2002 6,862,168 1,402,044 0 5,460,124 0 0

155 TRILAND USA INC N NYME 08/31/2002 19,397,962 745,284 483,240 18,652,678 18,635,108 0

156 UBS PAINEWEBBER INC Y CBOT 08/31/2002 1,305,136,569 211,164,407 15,194,226 1,093,972,162 726,670,574 77,820,061

157 UBS WARBURG LLC Y CBOT 08/31/2002 1,939,786,382 140,540,672 198,514,222 1,741,272,160 3,015,713,897 497,802,911

158 UFJ FUTURES LLC N CME 08/31/2002 14,935,750 250,000 1,663,667 13,272,083 0 0

159 UNIVERSAL FINANCIAL HOLDING CORP N NFA 08/31/2002 661,202 250,000 105,043 411,202 2,647,505 0

160 US BANCORP PIPER JAFFRAY INC Y NFA 08/31/2002 227,188,296 9,890,214 0 217,298,082 0 0

161 US SECURITIES & FUTURES CORP Y NFA 08/31/2002 388,290 250,000 0 138,290 0 0

162 VELOCITY FUTURES LP N NFA 08/31/2002 268,018 250,000 0 18,018 0 0

163 VISION LIMITED PARTNERSHIP N NFA 08/31/2002 15,553,302 5,446,654 2,070,622 10,106,648 143,384,952 19,321

164 WACHOVIA SECURITIES INC Y CME 08/31/2002 422,812,150 4,351,458 0 418,460,692 0 0

165 WALL STREET DERIVATIVES INC N NFA 08/31/2002 392,108 250,000 0 142,108 0 0

166 WEISS PECK & GREER LLC Y NFA 08/30/2002 81,182,260 3,945,712 0 77,236,548 0 0

167 WHITE COMMERCIAL CORPORATION N NFA 08/31/2002 1,637,987 250,000 0 1,387,987 0 0

168 XPRESSTRADE LLC N NFA 08/31/2002 1,767,893 250,000 0 1,517,893 0 0

169 YORK BUSINESS ASSOCIATES LLC N NFA 08/31/2002 1,584,410 250,000 0 1,334,410 45,515 0

Totals 48,617,693,868 56,842,219,140 9,405,445,070

Name Changes from August 2002 Update

None

Reconcilation from August Web Page Update

August Web Page Update 167

Additions

1 NEXUS TRADING LLC

2 VELOCITY FUTURES LP

Deletions

None

September Web Page Update 169
SELECTED FCM FINANCIAL DATA 

FROM REPORTS FILED BY 

September 30, 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)

(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. 

which applies to all FCMs that are members of the a net liquidating equity.

National Futures Association, was effective 10/31/00.