Download:
pdf |
pdfOMB APPROVAL
OMB Number:
3235-0123
Expires: September 30, 2017
Estimated average burden
hours per response. . . . . . 12.00
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Form
X-17A-5
FOCUS REPORT
(Financial and Operational Combined Uniform Single Report)
PART II
11
(Please read instructions before preparing Form.)
This report is being filed pursuant to (Check Applicable Block(s)):
1) Rule 17a-5(a)
16
2) Rule 17a-5(b)
17
4) Special request by designated examining authority
19
3) Rule 17a-11
5) Other
NAME OF BROKER-DEALER
18
26
SEC FILE NO.
14
FIRM I.D. NO.
13
ADDRESS OF PRINCIPAL PLACE OF BUSINESS (Do Not Use P.O. Box No.)
15
FOR PERIOD BEGINNING (MM/DD/YY)
20
24
(No. and Street)
AND ENDING (MM/DD/YY)
21
(City)
22
(State)
23
25
(Zip Code)
NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT
(Area Code) — Telephone No.
30
31
NAMES OF SUBSIDIARIES OR AFFILIATES CONSOLIDATED IN THIS REPORT:
OFFICIAL USE
32
33
34
35
36
37
38
39
DOES RESPONDENT CARRY ITS OWN CUSTOMER ACCOUNTS?
YES
40
NO
41
42
CHECK HERE IF RESPONDENT IS FILING AN AUDITIED REPORT
EXECUTION:
The registrant/broker or dealer submitting this Form and its attachments and the person(s) by
whom it is executed represent hereby that all information contained therein is true, correct and
complete. It is understood that all required items, statements, and schedules are considered
integral parts of this Form and that the submission of any amendment represents that all
unamended items, statements, and schedukes remain true, correct and complete as previously
submitted .
Dated the _______________________________day of _________________________ , _____
Manual signatures of:
1)____________________________________________________________________________
Principal Executive Officer or Managing Partner
2) ____________________________________________________________________________
Principal Financial Officer or Partner
3) ____________________________________________________________________________
Principal Operations Officer or Partner
ATTENTION — Intentional misstatement or omissions of facts constitute Federal
Criminal Violations. (See 18 U.S.C. 1001 and 15 U.S.C. 78:f(a))
Persons who respond to the collection of information contained in this form
are not required to respond unless the form displays a currently valid OMB
control number.
SEC 1695 (07-02) 1 of 28
TO BE COMPLETED WITH THE ANNUAL AUDIT REPORT ONLY:
INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report
NAME (If individual, state last, first, middle name)
70
ADDRESS
71
Number and Street
72
73
City
State
74
Zip Code
CHECK ONE
Certified Public Accountant
75
Public Accountant
76
Accountant not resident in United States
or any of its possessions
77
FOR SEC USE
DO NOT WRITE UNDER THIS LINE . . . FOR SEC USE ONLY
WORK LOCATION
50
REPORT DATE
MM/DD/YY
DOC. SEQ. NO.
51
52
CARD
53
SEC 1695 (07-02) 2 of 28
FINANCIAL AND OPERATIONAL COMBINED UNIFORM SINGLE REPORT
PART II
N2
BROKER OR DEALER
1
100
STATEMENT OF FINANCIAL CONDITION
as of (MM/DD/YY)
SEC FILE NO.
99
98
198
199
Consolidated
Unconsolidated
ASSETS
Allowable
1. Cash ..............................................................................2 $
2. Cash segregated in compliance with federal
and other regulations ......................................................
3. Receivable from brokers or dealers and
clearing organizations:
A. Failed to deliver:
1. Includable in “Formula for Reserve
Requirements” .............................................
2. Other ............................................................
200
B. Securities borrowed:
1. Includable in“Formula for Reserve
Requirements” .............................................
2. Other ............................................................
C. Omnibus accounts:
1. Includable in“Formula for Reserve
Requirements” .............................................
4.
5.
6.
7.
2. Other ............................................................
D. Clearing organizations:
1. Includable in“Formula for Reserve
Requirements” .............................................
2. Other ............................................................
E. Other ..................................................................
Receivables from customers:
A. Securities accounts:
1. Cash and fully secured accounts .................
2. Partly secured accounts ..............................
3. Unsecured accounts ....................................
B. Commodity accounts .........................................
C. Allowance for doubtful accounts ........................
Receivables from non-customers:
A. Cash and fully secured accounts ........................
B. Partly secured and unsecured accounts .............
Securities purchased under agreements
to resell ....................................................................
Securities and spot commodities owned,
at market value:
A. Bankers acceptances, certificates of
deposit and commercial paper ...........................
B. U.S. and Candaian government
obligations ..........................................................
C. State and municipal government
obligations ..........................................................
D. Corporate obligations .........................................
Non-Allowable
3
$
760
220
230
770
240
250
780
260
270
790
$
550
310
320
4
750
210
280
290
300
(
Total
330
) 335
(
340
350
360
6
7
800
810
560
570
580
) 590
820
600
830
605
840
370
380
5
390
400
OMIT PENNIES
SEC 1695 (07-02) 3 of 28
FINANCIAL AND OPERATIONAL COMBINED UNIFORM SINGLE REPORT
PART II
BROKER OR DEALER
as of _____________________
STATEMENT OF FINANCIAL CONDITION
ASSETS
Allowable
8.
9.
10.
11.
12.
13.
14.
15.
16.
E. Stocks and warrants ................................................ 9 $
F. Options ....................................................................
G. Arbitrage ..................................................................
H. Other securities .......................................................
I. Sport commodities ..................................................
Securities owned not readily marketable:
A. At Cost ..... 8 $
130
Other investments not readily marketable:
A. At Cost ..... $
140
B. At estimated fair value .............................................
Securities borrowed under subordination
agreements and partners’ individual and
capital securities accounts, at market value:
A. Exempted
securities .. $
150
B. Other ........ $
160 10
Secured demand notesmarket value of collateral:
A. Exempted
securities .. $
170
B. Other ........ $
180
Memberships in exchanges:
A. Owned, at market
value ........ $
190
B. Owned at cost .........................................
C. Contributed for use of company,
at market value ........................................
Investment in and receivables from affiliates,
subsidiaries and associated partnerships
Property, furniture, equipment, leasehold
improvements and rights under lease
agreements:
At cost (net of accumulated depreciation
and amortization)............................................
Other Assets:
A. Dividends and interest receivable ..............
B. Free shipments ........................................
C. Loans and advances ................................
D. Miscellaneous ....................................... 11
TOTAL ASSETS ..................................
$
Non-Allowable
410
420
422
424
430
440
Total
$
$
850
610
860
450
620
870
460
630
880
470
640
890
650
12
660
480
670
490
680
500
510
520
530
540
690
700
710
720
740
13 $
900
14
910
920
$
930
940
OMIT PENNIES
SEC 1695 (07-02) 5 of 28
FINANCIAL AND OPERATIONAL COMBINED UNIFORM SINGLE REPORT
PART II
BROKER OR DEALER
as of _____________________
STATEMENT OF FINANCIAL CONDITION
LIABILITIES AND OWNERSHIP EQUITY (continued)
A.I.
Liabilities*
Non-A.I.
Liabilities*
Total
Liabilities
17. Bank loans payable:
A. Includable in “Formula for Reserve
Requirements” .................................................
B. Other................................................................
18. Securities sold under repurchase agrement....
19. Payable to brokers or dealers and
clearing organizations:
A. Failed to receive:
1. Includable in “Formula for Reserve
Requirements” .............................................
2. Other ............................................................
B. Securities loaned:
1. Includable in “Formula for Reserve
Requirements” .............................................
2. Other ............................................................
C. Omnibus accounts:
1. Includable in “Formula for Reserve
Requirements” .............................................
2. Other ............................................................
D. Clearing organizations:
1. Includable in “Formula for Reserve
Requirements” .............................................
2. Other ............................................................
E. Other: .................................................................
20. Payable to customers:
A. Securities accounts-including free credits
15 $
of ..........
950
B. Commodities accounts .......................................
21. Payable to non customers:
A. Securities accounts ............................................
B. Commodities accounts .......................................
22. Securities sold not yet purchased at market
value-including arbitrage
of .......... $
960
23. Accounts payable and accrued liabilities
and expenses:
A. Drafts payable ....................................................
B. Accounts payable ...............................................
C. Income taxes payable .........................................
D. Deferred income taxes ........................................
E. Acrued expenses and other liabilities ..................
F. Other ..................................................................
$
16
17
1030 $
1040 $
1240 $
1250 $
1260
1460
1470
1480
1050
1060
1270
1280
1490
1500
1070
1080
1290
1090
1095
1300
1530
1540
1100
1105
1110
1310
1320
1550
1560
1570
1120
1130
1330
1580
1590
1140
1150
1340
1350
1600
1610
1360
1620
19
22
1160
1170
1180
23
20
18
21
1190
1200
1370
1380
1510
1520
1630
1640
1650
1660
1670
1680
OMIT PENNIES
*Brokers or Dealers electing the alternative net capital requirement method need not complete these columns.
SEC 1695 (07-02) 7 of 28
FINANCIAL AND OPERATIONAL COMBINED UNIFORM SINGLE REPORT
PART II
BROKER OR DEALER
as of _____________________
STATEMENT OF FINANCIAL CONDITION
LIABILITIES AND OWNERSHIP EQUITY (continued)
A.I.
Liabilities*
Non-A.I.
Liabilities*
Total
Liabilities
24. Notes and mortgages payable:
A. Unsecured ..........................................................
B. Secured ..............................................................
25. Liabilities subordinated to claims
of general creditors:
A. Cash borrowings: ...............................................
1. from outsiders 24 $
970
2. Includes equity subordination (15c3-1(d))
of .......
$
980
B. Securities borowings, at market value ................
from outsiders
$
990
C. Pursuant to secured demand note
collateral agreements .........................................
1. from outsiders $
1000
2. Includes equity subordination (15c3-1(d))
of .......
$
1010
D. Exchange memberships contributed for
use of company, at market value ........................
E. Accounts and other borrowings not
qualified for net capital purposes ........................
26.
TOTAL LIABILITIES ......................................
$
25
1210
1211 $
1390
$
1690
1700
1400
1710
1410
1720
1420
26
$
1220
1230 $
27
1430
1740
1440
1450 $
1750
1760
Ownership Equity
27. Sole Proprietorship .............................................................................................................................................................................. $
28. Partnership-limited partners ......................................
$
1020 ....................................................... $
29. Corporation:
A. Preferred stock .............................................................................................................................................................................
B. Common stock ............................................................................................................................................................................. 28
C. Additional paid-in capital ..............................................................................................................................................................
D. Retained earnings .........................................................................................................................................................................
E. Total .............................................................................................................................................................................................
F. Less capital stock in treasury ....................................................................................................................................................... (
30.
TOTAL OWNERSHIP EQUITY ................................................................................................................................................. $
31.
1730
TOTAL LIABILITIES AND OWNERSHIP EQUITY ...................................................................................................................... $
1770
1780
1791
1792
1793
1794
1795
) 1796
1800
1810
OMIT PENNIES
*Brokers or Dealers electing the alternative net capital requirement method need not complete these columns.
SEC 1695 (07-02) 9 of 28
FINANCIAL AND OPERATIONAL COMBINED UNIFORM SINGLE REPORT
PART II
BROKER OR DEALER
as of _____________________
COMPUTATION OF NET CAPITAL
1.
2.
3.
4.
5.
6.
7.
8.
9.
Total ownership equity from Statement of Financial Conditon - Item 1800 .......................................................................................... $
Deduct Ownership equity not allowable for Net Capital ........................................................................................................................
(
Total ownership equity qualified for Net Capital ...................................................................................................................................
Add:
A. Liabilities subordinated to claims of general creditors allowable in computation of net capital ......................................................
B. Other (deductions) or allowable credits (List) ............................................................................................................................... 33
Total capital and allowable subordinated liabilities ............................................................................................................................... $
Deductions and/or charges:
A. Total nonallowable assets from
Statement of Financial Condition (Notes B and C) ................................................................... $
3540
1. Additional charges for customers’ and
3550
non-customers’ security accounts ................................................................................... $
2. Additional charges for customers’ and
3560
non-customers‘ commodity accounts .............................................................................
B. Aged fail-to-deliver .................................................................................................................
3570
1. Number of items ............................................... 29
3450
C. Aged short security differences-less
reserve of ................................................................ $
3460 30
3580
number of items ......................................................
3470
D. Secured demand note deficiency ............................................................................................
3590
E. Commodity futures contracts and spot commodities
- proproetary capital charges ..................................................................................................
3600
F. Other deductions and/or charges ............................................................................................
3610
G. Deductions for accounts carried under Rule 15c3-1(a)(6), (a)(7) and (c)(2)(x) .....................
3615
H. Total deductions and/or charges ..................................................................................................................................................
(
Other additions and/or allowable credits (List) ....................................................................................................................................
Net capital before haircuts on securities positions ............................................................................................................................... $
Haircuts on securities: (computed, where applicable, pursuant to 15c3-1(f)):
A. Contractual securities committments ...................................................................................... $
3660
B. Subordinated securities borrowings ........................................................................................
3670
C. Trading and investment securities:
1. Bankers’ acceptances, certificates of deposit and commercial paper .............................. 31
3680
2. U.S. and Canadian government obligations ......................................................................
3690
3. State and municipal government obligations ....................................................................
3700
4. Corporate obligations .......................................................................................................
3710
5. Stocks and warrants ........................................................................................................
3720
6. Options ............................................................................................................................
3730
7. Arbitrage ..........................................................................................................................
3732
8. Other securities ................................................................................................................ 32
3734
D. Undue Concentration ..............................................................................................................
3650
E. Other (List)
........................................................................................................................
3736
(
10. Net Capital .......................................................................................................................................................................................... $
3480
) 3490
3500
3520
3525
3530
) 3620
3630
3640
) 3740
3750
OMIT PENNIES
SEC 1695 (07-02) 11 of 28
FINANCIAL AND OPERATIONAL COMBINED UNIFORM SINGLE REPORT
PART II
BROKER OR DEALER
as of _____________________
COMPUTATION OF BASIC NET CAPITAL REQUIREMENT
Part A
11. Minimum net capital required (62/3% of line 19) ................................................................................................................................... $
12. Minimum dollar net capital requirement of reporting broker or dealer and minimum net capital requirement
of subsidiaries computed in accordance with Note (A) ....................................................................................................................... $
13. Net capital requirement (greater of line 11 or 12) ................................................................................................................................ $
14. Excess net capital (line 10 less 13) ..................................................................................................................................................... $
15. Excess net capital at 1000% (line 10 less 10% of line 19) .................................................................................................................. 35$
3756
3758
3760
3770
3780
COMPUTATION OF AGGREGATE INDEBTEDNESS
16. Total A.I. liabilities from Statement of Financial Condition ....................................................................................................................
17. Add:
A. Drafts for immediate credit .....................................................................................................
3800
34 $
B. Market value of securities borrowed for which no equivilent value
is paid or credited ................................................................................................................... $
3810
C. Other unrecorded amounts (List) ............................................................................................ $
3820
18. Deduct: Adjustment based on deposits in Special Reserve Bank Accounts (15c3-1(c)(1)(vii)) ...........................................................
19. Total aggregate indebtedness ..............................................................................................................................................................
20. Percentage of aggregate indebtedness to net capital (line 19 ÷ by lne 10) .........................................................................................
21. Percentage of aggregate indebtedness to net capital after anticipated capital withdrawals
(line 19 ÷ by line 10 less Item 4880 page 25) ...................................................................................................................................
$
3790
$
$
$
%
3830
3838
3840
3850
%
3853
COMPUTATION OF ALTERNATE NET CAPITAL REQUIREMENT
Part B
22. 2% of combined aggregate debt items as shown in Formula for Reserve Requirements pursuant to Rule 15c3-3
prepared as of date of the net capital computation including both brokers or dealers and consolidated subsidiaries’ debits ...............36 $
23. Minimum dollar net capital requirement of reporting broker or dealer and minimum net capital requirement of
subsidiaries computed in accordance with Note (A) ............................................................................................................................ $
24. Net capital requirement (greater of line 22 or 23) ................................................................................................................................ $
25. Excess net capital (line 10 less 24) ..................................................................................................................................................... $
26. Percentage of Net Capital to Aggregate Debits (line 10 ÷ by line17 page 8) ....................................................................................... %
27. Percentage of Net Capital, after anticipated capital withdrawals, to Aggregate Debits
(line 10 less item 4880 page 11 ÷ by line 17 page 8) ........................................................................................................................ %
28. Net capital in excess of the greater of:
A. 5% of combines aggregate debit items or $120,000 .................................................................................................................... $
3870
3880
3760
3910
3851
3854
3920
OTHER RATIOS
Part C
29. Percentage of debt to debt-equity total computed in accordance with Rule 15c3-1(d) ........................................................................ %
30. Options deductions/Net Capital ratio (1000% test) total deductions exclusive of liquidating equity under
Rule 15c3-1(a)(6), (a)(7) and (c)(2)(x) ÷ Net Capital ........................................................................................................................ %
3860
3852
NOTES:
(A) The minimum net capital requirement should be computed by adding the minimum dollar net capital requirement of the reporting broker dealer and, for each
subsidiary to be consolidated, the greater of:
1. Minimum dollar net capital requirement , or
2. 62/3% of aggregate indebtedness or 2% of aggregate debits if alternative method is used.
(B) Do not deduct the value of securities borrowed under subordination agrements or secured demand notes covered by subordination agrements not in satisfactory form
and the market values of memberships in exchanges contributed for use of company (contra to item 1740) and partners’ securities which were included in non-allowable
assets.
(C) For reports filed pursuant to paragraph (d) of Rule 17a-5, respondent should provide a list of material non-allowable assets.
SEC 1695 (07-02) 13 of 28
PART II - FINANCIAL AND OPERATIONAL COMBINED UNIFORM SINGLE REPORT
BROKER OR DEALER
REVENUE
For the period (MMDDYY) from38
3932 to
Number of months included in this statement
STATEMENT OF INCOME (LOSS)
1. Commissions:
a. Commissions on transactions in listed equity securities executed on an exchange ....................................................................... $
b. Commissions on transactions in exchange listed equity securities executed over-the-counter ......................................................
c. Commissions on listed option transactions ..................................................................................................................................
d. All other securities commissions ..................................................................................................................................................
e. Total securities commissions ....................................................................................................................................................... 40
2. Gains or losses on firm securities trading accounts
a. From market making in over-the-counter equity securities ............................................................................................................
1. Includes gains or (losses) OTC market making in exchange listed equity securities .........
3943
b. From trading in debt securities .....................................................................................................................................................
c. From market making in options on a national securities exchange ................................................................................................
d. From all other trading ...................................................................................................................................................................
e. Total gains or (losses) ..................................................................................................................................................................
3. Gains or losses on firm securities investment accounts
4235
a. Includes realized gains (losses) .............................................................................................
4236
b. Includes unrealized gains (losses) ..........................................................................................
c. Total realized and unrealized gains (loses) ................................................................................................................................... 41
4. Profits or (losses) from underwriting and selling groups .....................................................................................................................
a. Includes underwriting income from corporate equity securities ..............................................
4237
5. Margin interest ....................................................................................................................................................................................
6. Revenue from sale of investment company shares .............................................................................................................................
7. Fees for account supervision, investment advisory and administrative services ..................................................................................
8. Revenue from research services .........................................................................................................................................................
9. Commodities revenue ..........................................................................................................................................................................
10. Other revenue related to securities business ........................................................................................................................................ 42
11. Other revenue ......................................................................................................................................................................................
12. Total revenue ....................................................................................................................................................................................... $
3933
3931
3935
3937
3938
3939
3940
3941
3944
3945
3949
3950
3952
3955
3960
3970
3975
3980
3990
3985
3995
4030
EXPENSES
13. Registered representative’s compensation .......................................................................................................................................... $
14. Clerical and administrative employees’ expenses ................................................................................................................................
15. Salaries and other employment costs for general partners, and voting stockholder officers ................................................................
a. Includes interest credited to General and Limited Partners capital accounts ...........................
4130
16. Floor brokerage paid to certain brokers (see definition) .......................................................................................................................
17. Commissions and clearance paid to all other brokers (see definition) ................................................................................................. 43
18. Clearance paid to non-brokers (see definition) ....................................................................................................................................
19. Communications .................................................................................................................................................................................
20. Occupancy and equipment costs ........................................................................................................................................................
21. Promotional costs ...............................................................................................................................................................................
22. Interest expense ..................................................................................................................................................................................
a. Includes interest on accounts subject to subordination agreements .......................................
4070
23. Losses in error account and bad debts ...............................................................................................................................................
24. Data processing costs (including service bureau service charges) ...................................................................................................... 44
25. Non-recurring charges ........................................................................................................................................................................
26. Regulatory fees and expenses .............................................................................................................................................................
27. Other expenses ...................................................................................................................................................................................
28. Total expenses .................................................................................................................................................................................... $
4110
4040
4120
4055
4145
4135
4060
4080
4150
4075
4170
4186
4190
4195
4100
4200
NET INCOME
29. Income (loss) before Federal income taxes and items below (Item 12 less Item 28) ...........................................................................
30. Provision for Federal income taxes (for parent only) ............................................................................................................................
31. Equity in earnings (losses) of unconsolidated subsidiaries not included above ................................................................................... 45
a. After Federal income taxes of ................................................................................................. 39
4238
32. Extraordinary gains (losses) ................................................................................................................................................................
a. After Federal income taxes of .................................................................................................
4239
33. Cumulative effect of changes in accounting principles ........................................................................................................................
34. Net income (loss) after Federal income taxes and extraordinary items ................................................................................................ $
4210
4220
4222
4224
4225
4230
MONTHLY INCOME
35. Income (current month only) before provision for Federal income taxes and extraordinary items ........................................................ $
4211
SEC 1695 (07-02) 15 of 28
FINANCIAL AND OPERATIONAL COMBINED UNIFORM SINGLE REPORT
PART II
BROKER OR DEALER
as of _____________________
COMPUTATION FOR DETERMINATION OF RESERVE REQUIRTEMENTS
FOR BROKER-DEALERS UNDER RULE 15c3-3
(See Rule 15c3-3, Exhibit A and Related Notes)
CREDIT BALANCES
1. Free credit balances and other credit balancesin customers’ security
accounts (see Note A, Exhibit A, Rule 15c3-3) ............................................................................. 46 $
4340
2. Monies borrowed collateralized by securities carried for the accounts of
customers (see Note B) ................................................................................................................
4350
3. Monies payable against customers‘ securities loaned (see Note C) ..............................................
4360
4. Customers’ securities failed to receive (see Note D) .....................................................................
4370
5. Credit balances in firm accounts which are attributable to principal sales to customers ................
4380
6. Market value of stock dividends, stock splits and similar distributions receivable outstanding
over 30 calendar days ...................................................................................................................
4390
7. **Market value of short security count differences over 30 calendar days old ..............................
4400
8. **Market value of short securities and credits (not to be offset by logs or by
debits) in all suspense accounts over 30 calendar days ............................................................... 47
4410
9. Market value of securities which are in transfer in excess of 40 calendar days and have not been
confirmed to be in transfer by the transfer agnet or the issuer during the 40 days .........................
4420
10. Other (List) ...................... ...........................................................................................................
4425
11. TOTAL CREDITS ................................................................................................................................................................................. $
4430
DEBIT BALANCES
12. **Debit balances in customers’ cash and margin accounts excluding unsecured accounts and
accounts doubtful of collection net of deductions pursuant to Note E, Exhibit A, Rule 15c3-3 ....... $
4440
13. Securities borrowed to effectuate short sales by customers and securities borrowed to make
delivery on customers’ securities failed to deliver ..........................................................................
4450
14. Failed to deliver of customers’ securities not older than 30 calendar days ....................................
4460
15. Margin required and on deposit with Options Clearing Corporation for all option contracts
written or purchased in customer accounts (see Note F) ...............................................................
4465
16. Other (List). ................................................................................................................................... 48
4469
17. **Aggregate debit items ..................................................................................................................................................................... $
18. **Less 3% (for alternative method only–see Rule 15c3-1(f)(5)(i) .......................................................................................................
(
19. **TOTAL 14c3-3 DEBITS .................................................................................................................................................................... $
4470
) 4471
4472
RESERVE COMPUTATION
20. Excess of total debits over total credits (line 19 less line 11) ..............................................................................................................49 $
21. Excess of total credits over total debits (line 11 less line 19) ..............................................................................................................
22. If computation permitted on a monthly basis, enter 105% of excess of total credits over total debits ..................................................
23. Amount held on deposit in “Reserve Bank Account(s),” including value of qualified securities, at end of reporting period .................
24. Amount of deposit (or withdrawal) including
$
4515 value of qualified securities..........................................................................................................
25. New amount in Reserve Bank Account(s) after adding deposit or subtracting withdrawal including
$
4525 value of qualified securities ......................................................................................................... $
26. Date of deposit (MMDDYY) .................................................................................................................................................................
4480
4490
4500
4510
4520
4530
4540
FREQUENCY OF COMPUTATION
27. Daily 50
4332 Weekly
4333 Monthly
4334
** In the event the Net Capital Requirement is computed under the alternative method, this “Reserve Formula” shall be prepared in
accordance with the requirements of paragraph (f) of Rule 15c3-1.
SEC 1695 (07-02) 17 of 28
FINANCIAL AND OPERATIONAL COMBINED UNIFORM SINGLE REPORT
PART II
BROKER OR DEALER
as of _____________________
COMPUTATION FOR DETERMINATION OF RESERVE REQUIRTEMENTS
FOR BROKER-DEALERS UNDER RULE 15c3-3 (continued)
EXEMPTIVE PROVISIONS
28. If an exemption from Rule 15c3-3 is claimed, identify below the section upon which such exemption is based (check only one)
A. (k)(1) — $2,500 capital category as per Rule 15c3-1 .................................................................................................................52 $
B. (k)(2)(A) — “Special Account for the Exclusive Benefit of customers” maintained .......................................................................
C. (k)(2)(B) — All customer transactions cleared through another broker-dealer on a fully disclosed basis.
Name of clearing firm 51
4335
D. (k)(3) — Exempted by order of the Commission ..........................................................................................................................
4550
4560
4570
4580
Information for Possession or Control Requirements Under Rule 15c3-3
State the market valuation and number of otems of:
1. Customers’ fully paid securities and excess margin securities not in the respondent’s possesion or control as of the report date
(for which instructions to reduce to possession or control had been issued as of the report date) but for which the required
action was not taken by respondent within the time frame specified under Rul 15c3-3. Notes A and B ........................................ $
A. Number of items ....................................................................................................................................................................
2. Customers’ fully paid securities and excess margin securities for which instructions to reduce possession or control had not
been issued as of the report date, excluding items arising from “temporary lags which result from normal business operations”
as permitted under Rule 15c3-3. Notes B, C and D ...................................................................................................................... $
A. Number of items .................................................................................................................................................................... 53
3. The system and procedures utilitzed in complying with the requirement to maintain physical possession or control of
customers’ fully paid and excess margin securities have been tested and are functioning in a manner adequate to
fulfill the requirements of Rule 15c3-3 .............................................................................. Yes
4584 No
4586
4587
4588
4589
OMIT PENNIES
4585
NOTES
A— Do not include in item one customers’ fully paid and excess margin securities required by Rule 15c3-3 to be in possession or control but for which no action was
required by the respondent as of the report date or required action was taken by respondent with the time frames specified under Rule 15c3-3.
B— State separately in response to items one and two whether the securities reported in response thereto were subsequently reduced to possession or control by the
respondent.
C— Be sure to include in item two only items not arising from “temporary lags which result from normal business operations” as permitted under Rule 15c3-3.
D—Item two must be responded to only with report which is filed as of the date selected for the broker’s or dealer’s annual audit of financial statements, whether or not such
date is the end of a calendar quarter. The response to item two should be filed within 60 calendar days after such date, rather than with the remainder of this report. This
information may be required on a more frequest basis by the Commission or the designated examining authority in accordance with Rule 17a-5(a)(2)(iv).
SEC 1695 (07-02) 19 of 28
FINANCIAL AND OPERATIONAL COMBINED UNIFORM SINGLE REPORT
PART II
BROKER OR DEALER
as of _____________________
SCHEDULE OF SEGREGATION REQUIREMENTS AND FUNDS IN SEGREGATION
CUSTOMER’S REGULATED COMMODITY FUTURES ACCOUNTS
SEGREGATION REQUIREMENTS
1. Net ledger balance:
A. Cash .............................................................................................................................................................................................
B. Securities (at market) ...................................................................................................................................................................
2. Net unrealized profit (loss) in open futures contracts traded on a contract market ...............................................................................
3. Exchange traded options:
A. Add: Market Value of an open option contracts purchased on a contract market ..........................................................................
B. Deduct: Market Value of an open option contracts granted (sold) on a contract market ................................................................
4. Net equity (deficit) (total of 1, 2 and 3) ...............................................................................................................................................
5. Add accounts liquidating to a deficit and accounts with debit balances with no open trades ...............................................................
6. Amount required to be segregated (total of 5 and 4) ..........................................................................................................................
7010
7020
7030
7032
7033
7040
7050
7060
FUNDS ON DEPOSIT IN SEGREGATION
7. Deposited in segregated funds bank accounts:
A. Cash .............................................................................................................................................................................................
B. Securities representing investments of customers’ fund (at market) .............................................................................................
C. Securities held in particular customers or option customers in lieu of cash (at market) ................................................................
8. Margin on deposits with clearing organizations of contract markets:
A. Cash .............................................................................................................................................................................................
B. Securities representing investments of customers’ fund (at market) .............................................................................................
C. Securities held in particular customers or option customers in lieu of cash (at market) ................................................................
9. Settlement due from (to) clearing organizations of contract markets ...................................................................................................
10. Exchange traded options:
A. Add: Unrealized receivables for option contracts purchased on contract markets .........................................................................
B. Deduct: Unrealized obligations for option contracts granted (sold) on contract markets ...............................................................
11. Net equities with other FCMs ...............................................................................................................................................................
12. Segregated funds on hand:
A. Cash .............................................................................................................................................................................................
B. Securities representing investments of customers’ funds (at market) ...........................................................................................
C. Securities held for particular customers in lieu of cash (at market) ...............................................................................................
13. Total amount in segregation *total of 7 through 12) ............................................................................................................................ $
14. Excess (insufficiency) funds in segregation (13 minus 6) ................................................................................................................... $
7070
7080
7090
7100
7110
7120
7130
7132
7133
7140
7150
7160
7170
7180
7190
SEC 1695 (07-02) 21 of 28
FINANCIAL AND OPERATIONAL COMBINED UNIFORM SINGLE REPORT
PART II
BROKER OR DEALER
as of _____________________
Ownership Equity and Subordinated Liabilities maturing or proposed to be withdrawn within the next six months
and accruals, (as defined below), which have not been deducted in the computation of Net Capital.
Type of Proposal
Withdrawal or
Accrual
See below for
code to enter
Amount to be
Withdrawn (cash
amount and/or Net
Capital Value of
Securities)
Insider or
Outsider?
(In or Out)
Name of Lender or Contributor
(MMDDYY)
Withdrawal or
Maturity
Date
Expect
to
Renew
(Yes or No)
54
4600
4601
4602 $
4603
4604
4605
55
4610
4611
4612
4613
4614
4615
56
4620
4621
4622
4623
4624
4625
57
4630
4631
4632
4633
4634
4635
58
4640
4641
4642
4643
4644
4645
59
4650
4651
4652
4653
4654
4655
60
4660
4661
4662
4663
4664
4665
61
4670
4671
4672
4673
4674
4675
62
4680
4681
4682
4683
4684
4685
63
4690
4691
4692
4693
4694
4695
Total $
64
4699*
OMIT PENNIES
* To agree with the total on Recap (Item No. 4880)
Instructions: Detail Listing must include the total of items maturing during the six month period following the report date, regardless of whether or not the capital contribution is
expected to be renewed. The schedule must also include proposed capital withdrawals scheduled within the six month period following the report date including
the proposed redemption of stock and payments of liabilities secured by fixed assets (which are considered allowable assets in the capital computation pursuant
to Rule 15c3-1(c)(2(iv)), which could be required by the lender on demand or in less than six months.
WITHDRAWAL CODE:
1.
2.
3.
4.
DESCRIPTIONS
Equity Capital
Subordinated Liabilities
Accruals
15c3-1(c)(2)(iv) Liabilities
SEC 1695 (07-02) 23 of 28
FINANCIAL AND OPERATIONAL COMBINED UNIFORM SINGLE REPORT
Capital Withdrawals
PART II
BROKER OR DEALER
as of _____________________
RECAP
Ownership Equity and Subordinated Liabilities maturing or proposed to be withdrawn within the next six months
and accruals, (as defined below), which have not been deducted in the computation of Net Capital.
1. Equity Capital
A. Partnership Capital:
4700
1. General Partners .............................................................................................................. 65 $
2. Limited ............................................................................................................................
4710
3. Undistributed Profits ........................................................................................................
4720
4730
4. Other (describe below) ....................................................................................................
4735
5. Sole Proprietorship ..........................................................................................................
B. Corporation Capital:
4740
1. Common Stock ................................................................................................................
2. Preferred Stock ................................................................................................................
4750
4760
3. Retained Earnings (Dividends and Other) ......................................................................... 66
4. Other (describe below) ....................................................................................................
4770
2. Subordinated Liabilities
A. Secured Demand Notes ..........................................................................................................
4780
B. Cash Subordinates .................................................................................................................
4790
C. Debentures .............................................................................................................................
4800
D. Other (describe below) ...........................................................................................................
4810
3. Other Anticipated Withdrawals
4820
A. Bonuses .................................................................................................................................
4860
B. Voluntary Contributions to Pension or Profit Sharing Plans ..................................................... 67
4870
C. Other (describe below) ...........................................................................................................
Total ...................................................................................................................................................................................... $
4. Description of Other
4880
STATEMENT OF CHANGES IN OWNERSHIP EQUITY
(SOLE PROPRIETORSHIP, PARTNERSHIP OR CORPORATION)
1. Balance, beginning of period ............................................................................................................................................................... $
A. Net income (loss) .........................................................................................................................................................................
B. Additions (includes non-conforming capital of ........................................................................ $
4263 68
C. Deductions (includes non-conforming capital of ..................................................................... $
4272
2. Balance, end of period (From Item 1800) ............................................................................................................................................ $
4240
4250
4260
4270
4290
STATEMENT OF CHANGES IN LIABILITIES SUBORDINATED
TO CLAIMS OF GENERAL CREDITORS
3. Balance, beginning of period ............................................................................................................................................................... $
A. Increases ......................................................................................................................................................................................
B. Decreases .................................................................................................................................................................................... (
4. Balance, end of period (From Item 3520) ............................................................................................................................................ $
4300
4310
) 4320
4330
OMIT PENNIES
SEC 1695 (07-02) 25 of 28
FINANCIAL AND OPERATIONAL COMBINED UNIFORM SINGLE REPORT
PART II
BROKER OR DEALER
as of _____________________
FINANCIAL AND OPERATIONAL DATA
1. Month end total number of stock record breaks unresolved over three business days
Valuation
4890
A. breaks long ............................................................................................................................ $
B. breaks short ........................................................................................................................... 72 $
4910
2. Is the firm in compliance with Rule 17a-13 regarding periodic count and verification
of securities positions and locations at least once in each calendar quarter?
(Check one) ..................................................................................................................................
Yes
4930
3. Personnel employed at end of reporting period:
A. Income producing personnel ........................................................................................................................................................
B. Non-income producing personnel (all other) .................................................................................................................................
C. Total .............................................................................................................................................................................................
4. Actual number of tickets executed during current month of reporting period ........................................................................................
5. Nunber of corrected customer confirmations mailed after settlement date ...........................................................................................
Debit
(Short Value)
No. of Items
6.
7.
8.
9.
10.
11.
12.
13.
14.
Money differences ..................................
69
Security suspense accounts ....................
Security difference accounts ...................
Commodity suspense accounts ..............
Open transactions with correspondents,
other brokers, clearing organizations,
depositories and interoffice and inter
company accounts which could result
in a charge — unresolved amounts over
30 calendar days ..................................
Bank account reconcilliations — unresolved
amounts over 30 calendar days ..............
Open transfers over 40 calendar days,
not confirmed ..
..................................
Transactions in reorganization accounts
— over 60 calendar days ........................70
Total ........................................................
Number
4900
4920
74
4940
No
4950
4960
4970
4980
4990
Credit
(Long Value)
No. of Items
5000
5040
5080
5120
$
$
$
$
5010
5050
5090
5130
5020
5060
5100
5140
75 $
$
$
$
5030
5070
5110
5150
5160
$
5170
5180
$
5190
5200
71$
5210
5220
$
5230
5240
$
5250
5260
$
5270
5280
5320
$
$
5290
5330
5300
5340
76$
5310
5350
No. of Items
73
$
Leger Amount
Market Value
15. Failed to deliver 11 business days or longer (21 Business
Days or longer in the case of Municipal Securities) .....................
5360 $
5361
16. Failed to receive 11 business days of longer (21 business
Days or longer in the case of Municipal Securities) .....................
5363 $
5364
17. Security concentrations (See instructions in Part I):
A. Proprietary positions .................................................................................................................................................................... $
B. Customers’ accounts under Rule 15c3-3 ..................................................................................................................................... $
18. Total of personal capital borrowings due within six months ................................................................................................................. $
19. Maximum haircuts on underwriting commitments during the period ....................................................................................................77$
20. Planned capital expenditures for business expansion during next six months ...................................................................................... $
21. Liabilities of other individuals or organizations guaranteed by respondent ........................................................................................... $
22. Lease and rentals payable within one year .......................................................................................................................................... $
23. Aggregate lease and rental commitments payable for entire term of the lease
A. Gross ........................................................................................................................................................................................... $
B. Net .............................................................................................................................................................................................. $
5362
5365
5370
5374
5378
5380
5382
5384
5386
5388
5390
OMIT PENNIES
SEC 1695 (07-02) 27 of 28
| File Type | application/pdf |
| File Title | Form X-17A-5 Part II |
| Subject | SEC 1695, Date: 2013-05-02 |
| Author | U.S. Securities and Exchange Commission |
| File Modified | 2017-08-22 |
| File Created | 2007-02-15 |