Focus Report Sec Form X 17a 5 (Page 13 of 15) in pdf

Focus Report Sec Form X 17a 5 Page 13

FINANCIAL AND OPERATIONAL COMBINED UNIFORM SINGLE REPORT

PART II

BROKER OR DEALER

as of _____________________

Ownership Equity and Subordinated Liabilities maturing or proposed to be withdrawn within the next six months

and accruals, (as defined below), which have not been deducted in the computation of Net Capital.

Type of Proposal

Amount to be

Withdrawal or

Withdrawn (cash

(MMDDYY)

Expect

Accrual

Insider or

amount and/or Net

Withdrawal or

See below for

Outsider?

Capital Value of

Maturity

Renew

code to enter

Name of Lender or Contributor

(In or Out)

Securities)

Date

(Yes or No)

4600

4601

4602

4603

4604

4605

4610

4611

4612

4613

4614

4615

4620

4621

4622

4623

4624

4625

4630

4631

4632

4633

4634

4635

4640

4641

4642

4643

4644

4645

4650

4651

4652

4653

4654

4655

4660

4661

4662

4663

4664

4665

4670

4671

4672

4673

4674

4675

4680

4681

4682

4683

4684

4685

4690

4691

4692

4693

4694

4695

Total $

4699*

OMIT PENNIES

* To agree with the total on Recap (Item No. 4880)

Instructions: Detail Listing must include the total of items maturing during the six month period following the report date, regardless of whether or not the capital contribution is

expected to be renewed. The schedule must also include proposed capital withdrawals scheduled within the six month period following the report date including

the proposed redemption of stock and payments of liabilities secured by fixed assets (which are considered allowable assets in the capital computation pursuant

to Rule 15c3-1(c)(2(iv)), which could be required by the lender on demand or in less than six months.

WITHDRAWAL CODE:

DESCRIPTIONS

Equity Capital

Subordinated Liabilities

Accruals

15c3-1(c)(2)(iv) Liabilities

SEC 1695 (07-02) 23 of 28