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FCM-0012 - Commodity Futures Trading Commission

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FCM-0012 - Commodity Futures Trading Commission Powered By Docstoc
					                                                     SELECTED FCM FINANCIAL DATA                                                                                       Page 1 of 6

                                                        FROM REPORTS FILED BY
                                                           JANUARY 25, 2001
                                             B/D?   DSRO       A/O        Adjusted         Net Capital      Risk Based         Excess          Customers'           Customer
     Futures Commission Merchant                              Date       Net Capital      Requirement         Captal          Net Capital         4d(2)           Pt. 30 Secured
                                                                                         (4% of Seg, SEC    Requirement                        Seg Required          Amount
                                             (a)      (b)                                 or $250,000)          (c)               (d)               (e)                 (f)
 1   AB FINANCIAL LLC                         Y     CME     12/31/2000       6,033,361            416,910         734,446          5,298,915       11,241,983                  0
 2   ABN AMRO INCORPORATED                    Y     CBOT    11/30/2000     187,250,985         44,851,658      80,706,953       106,544,032     1,406,918,448         49,826,779
 3   ABN AMRO SAGE CORPORATION                Y      NFA    12/31/2000      37,216,985          1,683,508       1,441,761        35,533,477        43,032,331                  0
 4   ADM INVESTOR SERVICES INC                N     CBOT    12/31/2000      66,502,933        10,856,374       12,100,153        54,402,780       347,520,361          2,436,419
 5   ADVEST INC                               Y     NFA     12/31/2000      69,263,136        12,487,249                  0      56,775,887                   0                   0
 6   AEGIS FINANCIAL LLC                      N     NFA     12/31/2000         811,158           280,295         704,801            106,357        17,439,424                   315
 7   AG EDWARDS & SONS INC                    Y     CBOT    12/31/2000     817,283,219        71,484,968        2,810,627       745,798,251        51,721,921                     0
 8   AGE COMMODITY CLEARING CORP              N     CBOT    12/31/2000      10,526,183          1,798,976       3,598,774         6,927,409        51,977,306                     0
 9   AIG CLEARING CORPORATION                 N     NYME    12/31/2000     118,429,700           250,000        8,032,397       110,397,303                   0                   0
10   ALARON TRADING CORPORATION               N     NFA     12/31/2000       2,119,098          1,263,179        456,280            855,919        34,355,870                 45,739
11   ALCO COMMODITIES INC                     N     NFA     11/30/2000         462,548           250,000                  0         212,548                   0                   0
12   AMERICAN NATIONAL TRADING CORP           N     NFA     11/30/2000         659,957           250,000         118,228            409,957         5,457,746                     0
13   ATWOOD COMMODITIES LLC                   N     NFA     11/30/2000       2,390,000           324,575         635,770          1,754,230         9,333,042                     0
14   AUBREY G LANSTON & CO INC                Y     CME     12/31/2000      37,992,175          8,536,985       1,340,510        29,455,190        36,845,363         17,885,037
15   AVM LP                                   Y     NFA     12/31/2000      18,615,461           250,000                  0      18,365,461                   0                   0
16   BANC OF AMERICA FUTURES INCORPORATED     Y     CME     12/31/2000      63,314,771          3,673,188       7,474,333        55,840,438        91,829,689                     0
17   BANC ONE BROKERAGE INTERNATIONAL CORP    Y     CBOT    12/31/2000      88,839,086        23,223,617       46,103,835        42,735,251       610,187,717          1,571,052
18   BARCLAYS CAPITAL INC                     Y     CBOT    12/31/2000     232,555,750        14,197,753       32,549,729       200,006,021       351,719,865         24,174,609
19   BAXTER FINANCIAL SERVICES LTD            N     NFA     11/30/2000         725,977           250,000                  0         475,977                   0                   0
20   BEAR STEARNS & CO INC                    Y     NFA     12/29/2000   1,672,021,778        37,952,375                  0   1,634,069,403                   0                   0
21   BEAR STEARNS SECURITIES CORP             Y     CBOT    12/29/2000   2,599,284,670       565,509,360       98,349,029     2,033,775,310     1,455,003,848        109,649,292
22   BENSON-QUINN COMMODITIES INC             N     NFA     12/31/2000       5,272,985           956,940        1,378,666         3,894,319        26,463,634                 11,886
23   BIELFELDT & CO                           N     CBOT    12/31/2000         383,866           250,000                  0         133,866                   0                   0
24   BLAYLOCK & PARTNERS LP                   Y     NFA     12/31/2000       1,612,803           250,000                  0       1,362,803                   0                   0
25   BNP PARIBAS BROKERAGE SERVICES INC       Y     CME     12/31/2000      60,065,968           387,150       16,408,701        43,657,267         4,913,450                     0
26   BNP PARIBAS COMMODITY FUTURES INC        N     NYME    12/29/2000      53,124,527          9,316,381      28,661,800        24,462,727       438,447,469          3,636,915
27   BNP PARIBAS SECURITIES CORP              Y     NFA     12/31/2000     305,473,541           508,483                  0     304,965,058                   0                   0
28   BNY CLEARING SERVICES LLC                Y     NFA     12/31/2000     200,848,334        13,188,298                  0     187,660,036                   0                   0
29   BROADSTREET FINANCIAL CORP               N     NFA     12/31/2000         720,765           250,000               629          470,765         4,753,475                     0
30   C CZARNIKOW SUGAR FUTURES INC            N     NFA     12/31/2000       3,040,219           250,000         185,868          2,790,219         1,580,991                     0
31   CAISSE DES DEPOTS SECURITIES INC         Y     NFA     12/31/2001      23,647,105           250,000                  0      23,397,105                   0                   0
32   CANTOR FITZGERALD & CO                   Y     CBOT    12/31/2000      78,272,322          2,659,357        525,122         75,612,965        24,110,838                     0
33   CARGILL INVESTOR SERVICES INC            Y     CBOT    12/31/2000     107,393,416        37,838,262       74,996,598        32,396,818     1,141,693,411        121,083,130
34   CARR FUTURES INC                         Y     CME     12/31/2000     228,845,935        66,169,437       92,080,496       136,765,439     1,645,609,241        779,599,179
35   CHASE FUTURES & OPTIONS INC              Y     CBOT    12/31/2000      37,552,235          9,395,905      17,855,774        19,696,461       211,111,676         23,785,945
36   CIBC WORLD MARKETS CORP                  Y     NYME    12/31/2000   1,026,877,737        33,698,215       16,200,388       993,179,522         5,792,336                     0
37   COMMERZ FUTURES LLC                      Y     CME     12/31/2000      11,946,993          2,932,088       4,042,667         7,904,326        76,058,554          6,270,457
38   COMMODITY RESOURCE CORPORATION           N     NFA     12/31/2000         701,786           250,000            8,842           451,786         2,107,707                     0
39   COUNTRY HEDGING INC                      N     NFA     11/30/2000       3,558,851           644,292        1,207,092         2,351,759        17,948,663                     0
                                                      SELECTED FCM FINANCIAL DATA                                                                                         Page 2 of 6

                                                         FROM REPORTS FILED BY
                                                            JANUARY 25, 2001
                                              B/D?   DSRO      A/O        Adjusted         Net Capital      Risk Based          Excess            Customers'           Customer
     Futures Commission Merchant                              Date       Net Capital      Requirement         Captal           Net Capital           4d(2)           Pt. 30 Secured
                                                                                         (4% of Seg, SEC    Requirement                           Seg Required          Amount
                                              (a)     (b)                                 or $250,000)          (c)                (d)                (e)                  (f)
40   CREDIT LYONNAIS ROUSE USA LIMITED         N     NYME   12/31/2000      11,425,576          1,808,203       4,640,450          6,785,126          57,890,390                     0
41   CREDIT SUISSE FIRST BOSTON CORPORATION    Y     CBOT   11/30/2000   2,399,071,362        79,366,605       36,394,956      2,319,704,757         333,027,503         77,632,298
42   CRESVALE INTERNATIONAL US LLC             N     NFA    12/31/2000       7,590,626           250,000                  0        7,340,626           2,396,481                     0
43   CROSSLAND LLC                             N     CBOT   12/31/2000       3,997,618           250,000               8,944       3,747,618           2,151,559                     0
44   CUNNINGHAM COMMODITIES INC                N     CBOT   12/29/2000       1,616,760           250,000               6,640       1,366,760           1,826,964                     0
45   DAIN RAUSCHER INCORPORATED                Y     NFA    12/31/2000     222,438,882        29,176,861                  0      193,262,021                     0                   0
46   DAIWA SECURITIES AMERICA INC              Y     CME    12/31/2000     141,507,391          5,983,676       5,330,344        135,523,715          81,703,547             509,821
47   DAVID A NOYES & CO                        Y     NFA    12/31/2000       1,016,476           250,000                  0          766,476                     0                   0
48   DEAN WITTER REYNOLDS INC                  Y     CBOT   12/31/2000   1,384,318,600       188,256,245        2,499,838      1,196,062,355         504,232,340        826,082,283
49   DEUTSCHE BANK FUTURES INC                 N     CME    12/31/2000     114,906,066        17,203,777      109,840,000          5,066,066         478,276,227             406,656
50   DEUTSCHE BANK SECURITIES INC              Y     NFA    12/31/2000   1,576,905,349        30,637,598       49,760,000      1,527,145,349         603,078,357        169,459,082
51   DKB FINANCIAL FUTURES CORP                N     CME    12/31/2000       8,627,292           250,000          838,393          7,788,899                     0                   0
52   DONALDSON LUFKIN & JENRETTE SEC CORP      Y     CBOT   11/30/2000   1,658,823,000       222,628,000                  0    1,436,195,000                     0                   0
53   DORMAN TRADING LLC                        N     CBOT   12/31/2000       3,211,128           418,762              98,790       2,792,366          10,461,220                 12,163
54   DUNAVANT COMMODITY CORP                   N     NYCE   12/31/2000      13,795,649           841,863                  0       12,953,786          21,046,566                     0
55   EAGLE MARKET MAKERS INC                   N     CBOT   12/29/2000       1,648,195           250,000              22,895       1,398,195           1,770,409                     0
56   ED&F MAN INTERNATIONAL INC                Y     CME    12/31/2000     175,732,379        81,568,097      103,391,251         72,341,128       2,272,593,379        217,674,543
57   EFUTURES.COM LLC                          N     NFA    12/31/2000         805,162           441,717          169,915            363,445          13,956,302                   432
58   EM COMBS & SON                            N     CBOT   12/31/2000       2,288,438           250,000              14,643       2,038,438           1,283,571                     0
59   ENRON TRADING SERVICES INC                N     NYME   12/31/2000      28,070,213           436,192          856,096         27,214,117          10,904,792                     0
60   FAHNSTOCK & CO INC                        Y     NFA    12/31/2000     158,297,587          9,699,401             86,364     148,598,186            864,554                      0
61   FC STONE LLC                              N     CME    12/31/2000      16,061,504          6,293,391       7,779,320          8,282,184         181,687,888             339,988
62   FCT GROUP LLC                             N     CME    12/31/2000       3,724,223           250,000          154,164          3,474,223           2,852,579                     0
63   FIMAT USA INC                             Y     CME    12/31/2000     101,259,537        39,803,725       58,410,699         42,848,838       1,042,745,756         56,281,102
64   FIRST OPTIONS OF CHICAGO INC              Y     CME    12/29/2000     335,365,573        13,312,071       15,191,803        320,173,770         552,311,955          3,617,701
65   FIRST UNION SECURITIES INC                Y     NFA    12/31/2000      58,811,961          1,282,678                 0       57,529,283                     0                   0
66   FOX INC                                   N     NFA    12/31/2000       1,125,020           252,000                  0          873,020                     0                   0
67   FRIEDBERG MERCANTILE GROUP INC            Y     NFA    12/31/2000       2,612,048           250,000              15,881       2,362,048           2,143,067                     0
68   FRONTIER FUTURES INC                      N     NFA    12/31/2000         946,032           482,640          332,663            463,392          13,632,305                     0
69   FUJI FUTURES INC                          N     CBOT   12/31/2000      18,171,438          2,277,773       5,938,881         12,232,557          68,450,998          1,631,857
70   FUJI SECURITIES INC                       Y     NFA    12/31/2000     188,766,521          1,029,826         779,826        187,736,695                     0                   0
71   FUTURESINET INC                           N     NFA    11/30/2000         293,063           250,000                  0              43,063                  0                   0
72   FUTURES TECH LLC                          N      NFA   12/31/2000         409,451           250,000                  0          159,451                     0                   0
73   GELBER GROUP LLC                          N     CBOT   12/31/2000       3,983,616           750,974          237,526          3,232,642          18,939,742             219,223
74   GELDERMANN INC                            N     NYME   12/31/2000      24,630,605           858,584        2,346,757         22,283,848         112,599,343             348,590
75   GEORGE K BAUM & COMPANY                   Y     NFA    12/31/2000       9,626,021           328,676                  0        9,297,345                     0                   0
76   GILDER GAGNON HOWE & COMPANY LLC          Y     NFA    12/31/2000      26,083,273           300,000                  0       25,783,273                     0                   0
77   GLOBAL FUTURES & FOREX LIMITED            N     NFA    12/31/2000         296,943           250,000                  0              46,943                  0                   0
78   GNI INCORPORATED                          N     CBOT   12/31/2000       8,387,711          4,537,681       6,752,978          1,634,733         101,158,215         15,305,297
                                                         SELECTED FCM FINANCIAL DATA                                                                                      Page 3 of 6

                                                            FROM REPORTS FILED BY
                                                               JANUARY 25, 2001
                                                 B/D?   DSRO      A/O        Adjusted         Net Capital      Risk Based          Excess         Customers'           Customer
      Futures Commission Merchant                                Date       Net Capital      Requirement         Captal           Net Capital        4d(2)           Pt. 30 Secured
                                                                                            (4% of Seg, SEC    Requirement                        Seg Required          Amount
                                                 (a)     (b)                                 or $250,000)          (c)                (d)             (e)                  (f)
 79   GOLDENBERG HEHMEYER & CO                    Y     CBOT   12/31/2000       4,008,109          1,168,603       1,259,046          2,749,063       41,552,640          1,160,427
 80   GOLDMAN SACHS & CO                          Y     CBOT   12/29/2000   3,352,263,674       699,734,325      406,910,417      2,652,529,349    6,564,600,156      2,653,030,122
 81   GREENWICH CAPITAL MARKETS INC               Y     CBOT   12/31/2000     555,672,000          5,429,000      13,253,760        542,418,240      121,614,000                     0
 82   GRUNTAL & CO LLC                            Y     NFA    12/31/2000      46,944,549          1,500,000             37,232      45,444,549        2,089,926                     0
 83   GSA CLEARING LP                             N     CBOT   12/29/2000     314,567,893       127,110,147      276,352,335         38,215,558    3,231,449,716                     0
 84   HAGERTY GRAIN CO INC                        N     CBOT   12/31/2000       1,443,683           250,000              55,486       1,193,683        4,037,103                     0
 85   HERZOG COMMODITIES INC                      N     NFA    12/31/2000         879,622           250,000                  0          629,622                  0                   0
 86   HORNBLOWER FISCHER & CO                     Y     NFA    12/31/2000       2,061,758           339,290          262,048          1,722,468        8,631,819                     0
 87   HSBC SECURITIES USA INC                     Y     CME    12/31/2000     133,816,141          6,741,253       7,324,883        126,491,258      146,806,968         22,006,979
 88   IMPACT INTERNATIONAL TRADING GROUP INC      N     NFA    12/31/2000         411,609           250,000                  0          161,609                  0                   0
 89   ING US SEC FUTURES & OPTIONS INC            Y     CBOT   12/31/2000      76,909,072          9,760,217       9,593,924         67,148,855      284,064,592         37,525,648
 90   INSTANT FUTURES LLC                         N     NFA    9/30/2000          389,595           250,000              25,890         139,595         189,843                      0
 91   INTERACTIVE BROKERS LLC                     Y     NYME   12/31/2000      23,442,595           742,333          695,756         22,700,262       16,246,646          2,311,682
 92   INVERLAT INTERNATIONAL INC                  Y     NFA    11/30/2000       3,817,055           250,000                  0        3,567,055                  0                   0
 93   IOWA GRAIN CO                               N     CBOT   12/31/2000       7,361,908          3,388,649       2,417,581          3,973,259       90,425,808                 10,005
 94   JP MORGAN FUTURES INC                       N     NYME   12/31/2000     379,644,557       133,510,350      220,267,426        159,377,131    3,508,358,491         64,678,690
 95   JULIUS BAER SECURITIES INC                  Y      NFA   12/31/2000      12,775,366           627,374                0         12,147,992                0                  0
 96   KOKUSAI AMERICA INCORPORATED                Y      NFA   12/31/2000      21,636,213           250,000                0         21,386,213                0                  0
 97   KOTTKE ASSOCIATES LLC                       N     CBOT   12/31/2000      11,484,015           291,030              94,880      11,192,985        9,846,568                     0
 98   LADENBURG THALMANN & CO INC                 Y     NFA    12/31/2000      11,270,150          1,000,000                 0       10,270,150                  0                   0
 99   LAKES TRADING GROUP INC                     N     CBOT   12/31/2000       1,325,349           250,000          240,804          1,075,349        4,079,208                     0
100   LAWRENCE-BONFITTO TRADING COMPANY           N     CBOT   12/31/2000       2,861,316           250,000           56,501          2,611,316        4,535,490                     0
101   LBS LIMITED PARTNERSHIP                     N     CBOT   12/31/2000         418,363           250,000                  0          168,363                  0                   0
102   LEGG MASON WOOD WALKER INC                  Y      NFA   12/31/2000     290,284,932        24,173,580                0        266,111,352                0                  0
103   LEHMAN BROTHERS INC                         Y     CBOT   12/31/2000   1,670,421,000       124,859,000       74,338,320      1,545,562,000      984,304,000         13,760,000
104   LIND-WALDOCK & COMPANY LLC                  N     CME    12/31/2000      50,319,110        22,968,996       13,611,330         27,350,114      599,550,499          8,452,284
105   LINN GROUP THE                              N     NFA    12/31/2000         466,305           250,000                  0          216,305                  0                   0
106   LINSCO/PRIVATE LEDGER CORP                  Y     NFA    12/31/2000      59,021,188          5,491,572                 0       53,529,616                  0                   0
107   LOEB PARTNERS CORPORATION                   Y     NFA    11/30/2000      11,834,127           250,000                  0       11,584,127                  0                   0
108   MACQUARIE FUTURES INC                       N     CBOT   12/31/2000         692,827           250,000              16,800         442,827                  0                   0
109   MARQUETTE ELECTRONIC BROKERAGE LLC          N     NFA    12/31/2000         959,522           250,000                  0          709,522                  0                   0
110   MASCOT CAPITAL INVESTMENTS LTD              N     NFA    9/30/2000          536,581           250,000                  0          286,581                  0                   0
111   MAXCOR FINANCIAL INC                        Y     NFA    12/31/2000      12,549,516           250,000                  0       12,299,516                  0                   0
112   MBF CLEARING CORP                           N     NYME   12/31/2000       6,108,006          1,951,102         691,544          4,156,904       50,176,235                 33,547
113   MCVEAN TRADING AND INVESTMENTS INC          Y     NFA    12/31/2000       8,478,759          4,932,024         741,850          3,546,735      123,710,093                     0
114   MERRILL LYNCH FUTURES INC                   N     CBOT   12/29/2000     384,653,000       243,382,920      296,240,640         88,412,360    6,002,482,000        235,229,000
115   MERRILL LYNCH PIERCE FENNER & SMITH         Y     CBOT   12/1/2000    3,780,561,790       529,333,069                  0    3,251,228,721                  0                   0
116   MERRILL LYNCH PROFESSIONAL CLEARING CORP    Y     NFA    12/1/2000      721,169,497        38,831,810       95,956,203        625,213,294    1,174,564,654                     0
117   MID-CO COMMODITIES INC                      N     NFA    11/30/2000       3,348,520           316,748          695,480          2,653,040        7,918,694                     0
                                                         SELECTED FCM FINANCIAL DATA                                                                                        Page 4 of 6

                                                            FROM REPORTS FILED BY
                                                               JANUARY 25, 2001
                                                 B/D?   DSRO      A/O        Adjusted          Net Capital      Risk Based          Excess          Customers'           Customer
      Futures Commission Merchant                                Date       Net Capital       Requirement         Captal           Net Capital         4d(2)           Pt. 30 Secured
                                                                                             (4% of Seg, SEC    Requirement                         Seg Required          Amount
                                                 (a)     (b)                                  or $250,000)          (c)                (d)              (e)                  (f)
118   MIDLAND EURO INC                            N     NFA    12/31/2000       1,488,026            250,000                  0        1,238,026                   0           519,932
119   MILLBURN RIDGEFIELD CORP                    N     NFA    12/31/2000      10,474,038            250,000                  0       10,224,038                   0                 0
120   MILLENIUM PERFORMANCE LLC                   N     CBOT   12/31/2000         441,278            250,000                  0          191,278                   0                 0
121   MITCHELL HUTCHINS ASSET MANAGEMENT INC      Y     NFA    12/31/2000      88,739,814            250,000                  0       88,489,814                   0                 0
122   MITSUI & CO COMMODITIES CORPORATION         N     NFA    9/29/2000        1,270,809            250,000               5,780       1,020,809         3,500,941                   0
123   MORGAN KEEGAN & COMPANY INC                 Y     NFA    12/31/2000     136,261,775         13,594,754                  0      122,667,021                   0                 0
124   MORGAN STANLEY & COMPANY INCORPORATED       Y     CME    12/31/2000   4,324,534,982        631,011,277       51,948,300      3,693,523,705     2,331,642,032        614,663,184
125   MULTIINVESTMENTS INC                        Y     NFA    12/31/2000       1,662,800            250,000                  0        1,412,800                   0                 0
126   NATIONAL COMMODITIES CORP INC               N     NFA    12/29/2000         826,609            540,000               5,709         286,609        11,544,143                   0
127   NEUBERGER BERMAN LLC                        Y     NFA    12/31/2000     184,674,974         27,902,796          660,529        156,772,178        18,305,675                   0
128   NIKKO SECURITIES CO INTERNATIONAL INC       Y     NFA    12/31/2000      14,294,409            250,000                  0       14,044,409                   0                 0
129   NOMURA SECURITIES INTERNATIONAL INC         Y     CBOT   12/31/2000     461,279,353           6,098,308       8,814,767        452,464,586        51,323,328                   0
130   OCONNOR & COMPANY LLC                       Y     CBOT   12/31/2000      22,763,841           1,182,966         710,084         21,580,875        41,231,216                   0
131   PACKERS TRADING CO INC                      N     NFA    12/31/2000       4,287,884            250,000          119,505          4,037,884         5,183,805          7,796,582
132   PAINE WEBBER INCORPORATED                   Y     CBOT   12/31/2000   1,531,999,885        279,330,885       14,499,450      1,252,669,000       509,562,962          9,915,530
133   PAX CLEARING CORPORATION                    Y     NFA    12/31/2000      96,084,127            250,000                  0       95,834,127                   0                 0
134   PEREGRINE FINANCIAL GROUP INC               N     NFA    12/31/2000       5,960,554           2,013,418         713,622          3,947,136        51,834,756             452,866
135   PIONEER FUTURES INC                         N     NYME   12/31/2000       6,155,926           3,074,514       2,010,844          3,081,412        84,714,295             673,767
136   PROFESSIONAL MARKET BROKERAGE INC           N     NFA    12/31/2000       2,621,916           1,661,554         681,473            960,362        45,011,860             564,709
137   PRUDENTIAL SECURITIES INCORPORATED          Y     CBOT   11/24/2000   1,334,865,000        214,605,000       79,804,120      1,120,260,000     2,018,735,000        149,526,000
138   RAND FINANCIAL SERVICES INC                 N     CME    12/31/2000      11,368,895           4,791,413       6,864,514          4,504,381       106,584,800         24,116,000
139   RAYMOND JAMES & ASSOCIATES INC              Y     NFA    11/24/2000     288,603,355         33,685,993                  0      254,917,362                   0                 0
140   RB&H FINANCIAL SERVICES LP                  N     CME    12/31/2000       4,303,870           2,222,915       1,688,641          2,080,955        60,509,837                   0
141   RBC DOMINION SECURITIES CORPORATION         Y     CME    12/31/2000     167,849,370           1,000,000       6,865,388        160,983,982                   0                 0
142   REFCO INC                                   N     CME    12/31/2000     121,745,985         71,583,484       66,803,143         50,162,501     1,925,675,362          8,017,551
143   REPUBLIC NEW YORK SECURITIES CORPORATION    Y     NYME   12/31/2000      (3,951,936)          2,624,730                 0       (6,576,666)       65,618,256                   0
144   RJ OBRIEN ASSOCIATES INC                    N     CME    12/29/2000      17,055,212           8,820,901       8,922,093          8,133,119       231,801,692          5,701,118
145   ROBBINS FUTURES INC                         N     NFA    12/31/2000         449,467            251,298              63,070         198,169         6,450,552                   0
146   ROBERTSON STEPHENS INC                      Y     NFA    12/31/2000     574,297,356         13,237,438                  0      561,059,918                   0                 0
147   ROBINSON-HUMPHREY COMPANY LLC THE           Y     NFA    12/31/2000      54,533,449           1,000,000                 0       53,533,449                   0                 0
148   ROSENTHAL COLLINS GROUP LLC                 N     CME    12/31/2000      37,661,546           5,584,594       4,091,712         32,076,952       159,836,419          1,061,820
149   ROSENTHAL GLOBAL SECURITIES LP              Y     NFA    12/31/2000       3,020,803            589,805                  0        2,430,998                   0                 0
150   ROTHSCHILD INC                              Y     NYME   12/31/2000      22,708,886            250,000                  0       22,458,886                   0                 0
151   SALOMON SMITH BARNEY INC                    Y     CBOT   12/31/2000   3,572,895,562        504,401,136      167,221,596      3,068,494,426     3,922,641,583         56,604,430
152   SANFORD C BERNSTEIN & CO LLC                Y     NFA    12/31/2000     164,903,361           8,382,630                 0      156,520,731                   0                 0
153   SANWA FUTURES LLC                           N     CME    12/31/2000      27,195,795            590,201        1,168,858         26,026,937         9,213,774          5,541,247
154   SAVANT USA LIMITED                          N     NFA    12/31/2000       3,518,482            250,000              63,424       3,268,482         2,179,472                   0
155   SCHRODER & CO INC                           Y     NFA    12/31/2000     162,691,782           8,505,723                 0      154,186,059                   0                 0
156   SECURITIES CORP OF IOWA                     Y     NFA    12/31/2000       1,404,921            250,000                  0        1,154,921                   0                 0
                                                 SELECTED FCM FINANCIAL DATA                                                                                       Page 5 of 6

                                                    FROM REPORTS FILED BY
                                                       JANUARY 25, 2001
                                         B/D?   DSRO      A/O         Adjusted         Net Capital      Risk Based          Excess         Customers'           Customer
      Futures Commission Merchant                        Date        Net Capital      Requirement         Captal           Net Capital        4d(2)           Pt. 30 Secured
                                                                                     (4% of Seg, SEC    Requirement                        Seg Required          Amount
                                         (a)     (b)                                  or $250,000)          (c)                (d)              (e)                 (f)
157   SENTINEL MANAGEMENT GROUP INC       N     NFA    12/31/2000          474,086           250,000                  0          224,086      244,793,538                     0
158   SG COWEN SECURITIES CORPORATION     Y     NFA    12/31/2000      792,132,856          3,683,899                 0      788,448,957                  0                   0
159   SHATKIN ARBOR KARLOV & CO           N     CBOT   12/31/2000        7,325,880           250,000              88,035       7,075,880        6,008,651                  7,555
160   SHAY GRAIN CLEARING COMPANY         N     KCBT   12/31/2000          721,648           250,000                  0          471,648        1,338,466                     0
161   SHEPARD INTRENATIONAL INC           N     NFA    12/31/2000        2,128,627           250,000                  0        1,878,627                  0                   0
162   SHERWOOD FUTURES GROUP LLC          N     NFA    12/31/2000          408,171           250,000              66,789         158,171          841,810                     0
163   SIEGEL TRADING CO INC THE           N     NFA    12/31/2000          631,747           250,000               3,644         381,747        1,988,148                     0
164   SMW TRADING COMPANY INC             N     CME    12/31/2000        6,739,175           319,665        1,015,337          5,723,838        7,991,614                     0
165   SPEAR LEEDS & KELLOG                Y     NYME   12/31/2000      866,613,940        27,037,900       15,939,565        839,576,040      492,884,104                 16,273
166   STEPHENS INC                        Y     NFA    12/29/2000       73,135,312        13,776,677                  0       59,358,635                  0                   0
167   STERLING COMMODITIES CORP           N     NYME   12/31/2000        3,887,740           684,216          223,471          3,203,524       17,233,417                  9,665
168   SWISS AMERICAN SECURITIES INC       Y     NFA    12/31/2000       57,357,818          6,574,022                 0       50,783,796                  0                   0
169   SWISS FINANCIAL SERVICES INC        N     NFA    12/31/2000          685,901           250,000          105,464            435,901        1,676,797                     0
170   TCA FUTURES LLC                     N     NFA    12/31/2000          419,861           250,000                  0          169,861                  0                   0
171   TECH NET TRADING INC                N     NFA    12/31/2000          774,535           250,000              27,389         524,535        3,647,952                     0
172   TENCO INC                           N     CBOT   12/31/2000       23,486,309          1,753,029       1,479,829         21,733,280       46,615,011                     0
173   TIMBER HILL LLC                     Y     CME    12/31/2000      229,450,104           250,000              50,912     229,200,104          642,047                     0
174   TOKYO GENERAL USA INC               N     NFA    12/31/2000          401,677           250,000              57,376         151,677        1,347,568                  9,479
175   TOKYO-MITSUBISHI FUTURES USA INC    N     CME    12/31/2000       16,538,053           830,214        2,437,535         14,100,518       20,187,780             567,570
176   TONG YANG FUTURES AMERICA INC       N     NFA    12/31/2000          798,658           250,000                  0          548,658                  0                   0
177   TRADELINK LLC                       Y     CBOT   12/31/2000       14,358,435            250,000         253,207         14,105,228                0                   0
178   TRANSMARKET GROUP LLC               Y     CBOT   12/31/2000        7,537,689          1,027,551         112,357          6,510,138       21,171,834             161,585
179   TRILAND USA INC                     N     NYME   12/31/2000       19,931,290           396,845          627,070         19,304,220        9,921,122                     0
180   TUCKER ANTHONY INCORPORATED         Y     NFA    12/31/2000       44,798,244          1,000,000                 0       43,798,244                  0                   0
181   UBS WARBURG FUTURES INC             N     CME    12/31/2000      173,876,675        83,122,688      137,354,810         36,521,865    2,097,314,357                     0
182   UBS WARBURG LLC                     Y     CBOT   12/31/2000    1,141,035,085       114,004,477      171,806,385        969,228,700    2,308,990,078        320,264,410
183   UNIVERSAL FINANCIAL HOLDING CORP    N     NFA    12/31/2000          622,581           276,000          105,527            346,581        2,508,640                     0
184   US BANCORP PIPER JAFFRAY INC        Y     NFA    12/31/2000      190,452,586        19,004,494                  0      171,448,092                  0                   0
185   US SECURITIES & FUTURES CORP        Y     NFA    12/31/2000          532,381           250,000                  0          282,381                  0                   0
186   VISION LIMITED PARTNERSHIP          N     NFA    12/31/2000        9,391,236          3,791,844       1,813,862          5,599,392       98,221,572                 24,125
187   WACHOVIA SECURITIES INC             Y     NFA    12/31/2000      179,156,447        13,087,375                  0      166,069,072                  0                   0
188   WEISS PECK & GREER LLC              Y     NFA    12/29/2000      115,328,767        11,792,275                  0      103,536,492                  0                   0
189   WHITE COMMERCIAL CORPORATION        N     NFA    10/31/2000        1,638,219           250,000                  0        1,388,219                  0                   0
190   XPRESSTRADE LLC                     N     NFA    12/31/2000          515,919           250,000                  0          265,919                  0                   0


      Totals                                                        46,311,327,693                                                         54,648,823,783      6,753,911,572
                                                                      SELECTED FCM FINANCIAL DATA                                                                                                    Page 6 of 6

                                                                         FROM REPORTS FILED BY
                                                                            JANUARY 25, 2001
                                                           B/D?    DSRO            A/O             Adjusted             Net Capital       Risk Based            Excess             Customers'     Customer
Futures Commission Merchant                                                        Date           Net Capital         Requirement           Captal            Net Capital               4d(2)   Pt. 30 Secured
                                                                                                                     (4% of Seg, SEC     Requirement                             Seg Required      Amount
                                                           (a)       (b)                                              or $250,000)             (c)                 (d)                   (e)          (f)
(a): B/D? : A 'Y' means the FCM is also registered                (d): Excess net capital is adjusted net capital,                     (f): This represents the amount of funds an FCM
with the Securities and Exchange Commission                       less the greater of the net capital requirement or risk-             is required to set aside for customers who trade
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 sum total          (e): This represents the total amount of funds that                  Note: Any errors in this table should be brought
of 8% of customer, and 4% of non-customer                         an FCM is required to segregate on behalf of                         to the attention of the CFTC's Division of Trading
risk margin for domestic and foreign futures accounts             customers who are trading on commodity                               and Markets at (312) 353-6642 or via
(excluding proprietary accounts). The risk based                  exchanges located in the United States.                              e-mail to: fzimmerle@cftc.gov or
minimum 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.

				
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