X-17a-5 Part Ii A Page 7
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9FINANCIAL AND OPERATIONAL COMBINED UNIFORM SINGLE REPORT
PART IIA
BROKER OR DEALER
For the period (MMDDYY) from
3932 to
3933
W
24
Number of months included in this statement
3931
STATEMENT OF INCOME (LOSS)
REVENUE
1. Commissions:
a. Commissions on transactions in exchange listed equity securities executed on an exchange .......................................................
$
3935
b. Commissions on listed option transactions ..................................................................................................................................
3938
W
25
c. All other securities commissions ..................................................................................................................................................
3939
d. Total securities commissions .......................................................................................................................................................
3940
2. Gains or losses on firm securities trading accounts
a. From market making in options on a national securities exchange ................................................................................................
3945
b. From all other trading ...................................................................................................................................................................
3949
c. Total gain (loss) ...........................................................................................................................................................................
3950
3. Gains or losses on firm securities investment accounts ......................................................................................................................
3952
4. Profit (loss) from underwriting and selling groups ...............................................................................................................................
3955
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26
5. Revenue from sale of investment company shares .............................................................................................................................
3970
6. Commodities revenue ..........................................................................................................................................................................
3990
7. Fees for account supervision, investment advisory and administrative services ..................................................................................
3975
8. Other revenue ......................................................................................................................................................................................
3995
9. Total revenue .......................................................................................................................................................................................
$
4030
EXPENSES
10. Salaries and other employment costs for general partners and voting stockholder officers .................................................................
4120
11. Other employee compensation and benefits ........................................................................................................................................
4115
12. Commissions paid to other broker-dealers ..........................................................................................................................................
4140
13. Interest expense ..................................................................................................................................................................................
4075
a. Includes interest on accounts subject to subordination agreements .......................................
4070
14. Regulatory fees and expenses .............................................................................................................................................................
4195
15. Other expenses ...................................................................................................................................................................................
4100
16. Total expenses ....................................................................................................................................................................................
$
4200
NET INCOME
17. Income (loss) before Federal income taxes and items below (Item 9 less Item 16) .............................................................................
$
4210
18. Provision for Federal income taxes (for parent only) ............................................................................................................................
4220
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28
19. Equity in earnings (losses) of unconsolidated subsidiaries not included above ...................................................................................
4222
a. After Federal income taxes of .................................................................................................
4338
20. Extraordinary gains (losses) ................................................................................................................................................................
4224
a. After Federal income taxes of .................................................................................................
4239
21. Cumulative effect of changes in accounting principles ........................................................................................................................
4225
22. Net income (loss) after Federal income taxes and extraordinary items ................................................................................................
$
4230
MONTHLY INCOME
23. Income (current month only) before provision for Federal income taxes and extraordinary items ........................................................
$
4211
SEC 1696 (02-03) 11 of 16
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