X-17a-5 Part Ii A Page 5
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9FINANCIAL AND OPERATIONAL COMBINED UNIFORM SINGLE REPORT
PART IIA
BROKER OR DEALER
as of _____________________
COMPUTATION OF NET CAPITAL
1. Total ownership equity from Statement of Financial Condition ............................................................................................................. $
3480
2. Deduct ownership equity not allowable for Net Capital ........................................................................................................................
(
) 3490
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19
3. Total ownership equity qualified for Net Capital ...................................................................................................................................
3500
4. Add:
A. Liabilities subordinated to claims of general creditors allowable in computation of net capital ......................................................
3520
B. Other (deductions) or allowable credits (List) ...............................................................................................................................
3525
5. Total capital and allowable subordinated liabilities ............................................................................................................................... $
3530
6. Deductions and/or charges:
A. Total non-allowable assets from
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Statement of Financial Condition (Notes B and C) ................................................................... $
3540
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B. Secured demand note delinquency .........................................................................................
3590
C. Commodity futures contracts and spot commodities –
proprietary capital charges .....................................................................................................
3600
D. Other deductions and/or charges ............................................................................................
3610
(
)
3620
7. Other additions and/or allowable credits (List) ....................................................................................................................................
3630
8. Net capital before haircuts on securities positions ...............................................................................................................................
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$
3640
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9. Haircuts on securities (computed, where applicable, pursuant to 15c3-1(f)):
A. Contractual securities commitments ....................................................................................... $
3660
B. Subordinated securities borrowings ........................................................................................
3670
C. Trading and investment securities:
1. Exempted securities .........................................................................................................
3735
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2. Debt securities .................................................................................................................
3733
3. Options ............................................................................................................................
3730
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4. Other securities ................................................................................................................
3734
D. Undue Concentration ..............................................................................................................
3650
E. Other (List)
........................................................................................................................
3736
(
) 3740
10. Net Capital ..........................................................................................................................................................................................
$
3750
OMIT PENNIES
SEC 1696 (02-03) 7 of 16
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