X-17a-5 Part Ii A Page 8
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9FINANCIAL AND OPERATIONAL COMBINED UNIFORM SINGLE REPORT
PART IIA
BROKER OR DEALER
For the period (MMDDYY) from _____________ to ______________
STATEMENT OF CHANGES IN OWNERSHIP EQUITY
(SOLE PROPRIETORSHIP, PARTNERSHIP OR CORPORATION)
1. Balance, beginning of period ...............................................................................................................................................................
$
4240
A. Net income (loss) .........................................................................................................................................................................
4250
B. Additions (Includes non-conforming capital of ....................................................................... $
4262 )
4260
W
29
C. Deductions (Includes non-conforming capital of ..................................................................... $
4272 )
4270
2. Balance, end of period (From item 1800) ............................................................................................................................................
$
4290
STATEMENT OF CHANGES IN LIABILITIES SUBORDINATED
TO CLAIMS OF GENERAL CREDITORS
3. Balance, beginning of period ...............................................................................................................................................................
$
4300
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30
A. Increases ......................................................................................................................................................................................
4310
B. Decreases ....................................................................................................................................................................................
4320
4. Balance, end of period (From item 3520) ............................................................................................................................................
$
4330
OMIT PENNIES
SEC 1696 (02-03) 13 of 16
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