X-17a-5 Part Ii A Page 6
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9FINANCIAL AND OPERATIONAL COMBINED UNIFORM SINGLE REPORT
PART IIA
BROKER OR DEALER
as of _____________________
COMPUTATION OF NET CAPITAL REQUIREMENT
Part A
11. Minimum net capital required (6
/
% of line 19) ...................................................................................................................................
$
3756
2
3
12. Minimum dollar net capital requirement of reporting broker or dealer and minimum net capital requirement
of subsidiaries computed in accordance with Note (A) .......................................................................................................................
$
3758
13. Net capital requirement (greater of line 11 or 12) ................................................................................................................................
$
3760
14. Excess net capital (line 10 less 13) .....................................................................................................................................................
$
3770
15. Excess net capital at 1000% (line 10 less 10% of line 19) ..................................................................................................................
W
$
3780
22
COMPUTATION OF AGGREGATE INDEBTEDNESS
16. Total A.I. liabilities from Statement of Financial Condition ....................................................................................................................
$
3790
17. Add:
A. Drafts for immediate credit ..................................................................................................... $
W
3800
21
B. Market value of securities borrowed for which no equivalent value
is paid or credited ................................................................................................................... $
3810
C. Other unrecorded amounts (List) ............................................................................................ $
3820
$
3830
18. Total aggregate indebtedness ..............................................................................................................................................................
$
3840
19. Percentage of aggregate indebtedness to net capital (line 18 ÷ by line 10) ........................................................................................
%
3850
20. Percentage of debt to debt-equity total computed in accordance with Rule 15c3-1(d) ........................................................................
%
3860
COMPUTATION OF ALTERNATE NET CAPITAL REQUIREMENT
Part B
21. 2% of combined aggregate debit items as shown in Formula for Reserve Requirements pursuant to Rule 15c3-3
prepared as of the date of the net capital computation including both brokers or dealers and consolidated subsidiaries’ debits ..........
$
3970
22. Minimum dollar net capital requirement of reporting broker or dealer and minimum net capital requirement of
subsidiaries computed in accordance with Note (A) ............................................................................................................................
W
$
3880
23
23. Net capital requirement (greater of line 21 or 22) ................................................................................................................................
$
3760
24. Excess capital (line 10 less 23) ...........................................................................................................................................................
$
3910
25. Net capital in excess of the greater of:
A. 5% of combined aggregate debit items or $120,000 ....................................................................................................................
$
3920
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. 6
/
% of aggregate indebtedness or 4% of aggregate debits if alternative method is used.
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(B) Do not deduct the value of securities borrowed under subordination agreements or secured demand note covered by subordination agreements 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 1696 (02-03) 9 of 16
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