Focus Report Sec Form X 17a 5 Page 12

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FINANCIAL AND OPERATIONAL COMBINED UNIFORM SINGLE REPORT
PART II
BROKER OR DEALER
as of _____________________
SCHEDULE OF SEGREGATION REQUIREMENTS AND FUNDS IN SEGREGATION
CUSTOMER’S REGULATED COMMODITY FUTURES ACCOUNTS
SEGREGATION REQUIREMENTS
1. Net ledger balance:
A. Cash .............................................................................................................................................................................................
7010
B. Securities (at market) ...................................................................................................................................................................
7020
2. Net unrealized profit (loss) in open futures contracts traded on a contract market ...............................................................................
7030
3. Exchange traded options:
A. Add: Market Value of an open option contracts purchased on a contract market ..........................................................................
7032
B. Deduct: Market Value of an open option contracts granted (sold) on a contract market ................................................................
7033
4. Net equity (deficit) (total of 1, 2 and 3) ...............................................................................................................................................
7040
5. Add accounts liquidating to a deficit and accounts with debit balances with no open trades ...............................................................
7050
6. Amount required to be segregated (total of 5 and 4) ..........................................................................................................................
7060
FUNDS ON DEPOSIT IN SEGREGATION
7. Deposited in segregated funds bank accounts:
A. Cash .............................................................................................................................................................................................
7070
B. Securities representing investments of customers’ fund (at market) .............................................................................................
7080
C. Securities held in particular customers or option customers in lieu of cash (at market) ................................................................
7090
8. Margin on deposits with clearing organizations of contract markets:
A. Cash .............................................................................................................................................................................................
7100
B. Securities representing investments of customers’ fund (at market) .............................................................................................
7110
C. Securities held in particular customers or option customers in lieu of cash (at market) ................................................................
7120
9. Settlement due from (to) clearing organizations of contract markets ...................................................................................................
7130
10. Exchange traded options:
A. Add: Unrealized receivables for option contracts purchased on contract markets .........................................................................
7132
B. Deduct: Unrealized obligations for option contracts granted (sold) on contract markets ...............................................................
7133
11. Net equities with other FCMs ...............................................................................................................................................................
7140
12. Segregated funds on hand:
A. Cash .............................................................................................................................................................................................
7150
B. Securities representing investments of customers’ funds (at market) ...........................................................................................
7160
C. Securities held for particular customers in lieu of cash (at market) ...............................................................................................
7170
13. Total amount in segregation *total of 7 through 12) ............................................................................................................................ $
7180
14. Excess (insufficiency) funds in segregation (13 minus 6) ................................................................................................................... $
7190
SEC 1695 (07-02) 21 of 28

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