Focus Report Sec Form X 17a 5 (Page 10 of 15) in pdf

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) .............................................................................

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 ...............................................................

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). ...................................................................................................................................

4469

17. **Aggregate debit items ..................................................................................................................................................................... $

4470

18. **Less 3% (for alternative method only–see Rule 15c3-1(f)(5)(i) .......................................................................................................

(

) 4471

19. **TOTAL 14c3-3 DEBITS .................................................................................................................................................................... $

4472

RESERVE COMPUTATION

20. Excess of total debits over total credits (line 19 less line 11) ..............................................................................................................

4480

21. Excess of total credits over total debits (line 11 less line 19) ..............................................................................................................

4490

22. If computation permitted on a monthly basis, enter 105% of excess of total credits over total debits ..................................................

4500

23. Amount held on deposit in “Reserve Bank Account(s),” including value of qualified securities, at end of reporting period .................

4510

24. Amount of deposit (or withdrawal) including

4515 value of qualified securities..........................................................................................................

4520

25. New amount in Reserve Bank Account(s) after adding deposit or subtracting withdrawal including

4525 value of qualified securities ......................................................................................................... $

4530

26. Date of deposit (MMDDYY) .................................................................................................................................................................

4540

FREQUENCY OF COMPUTATION

27. Daily

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