Focus Report Sec Form X 17a 5 Page 15
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15FINANCIAL AND OPERATIONAL COMBINED UNIFORM SINGLE REPORT
PART II
BROKER OR DEALER
as of _____________________
FINANCIAL AND OPERATIONAL DATA
1. Month end total number of stock record breaks unresolved over three business days
Valuation
Number
A. breaks long ............................................................................................................................
$
4890
4900
B. breaks short ...........................................................................................................................
$
4910
4920
74
72
2. Is the firm in compliance with Rule 17a-13 regarding periodic count and verification
of securities positions and locations at least once in each calendar quarter?
(Check one) ..................................................................................................................................
Yes
4930
No
4940
3. Personnel employed at end of reporting period:
A. Income producing personnel ........................................................................................................................................................
4950
B. Non-income producing personnel (all other) .................................................................................................................................
4960
C. Total .............................................................................................................................................................................................
4970
4. Actual number of tickets executed during current month of reporting period ........................................................................................
4980
5. Nunber of corrected customer confirmations mailed after settlement date ...........................................................................................
4990
Debit
Credit
No. of Items
(Short Value)
No. of Items
(Long Value)
6. Money differences ..................................
5000
$
5010
5020
$
5030
69
75
7. Security suspense accounts ....................
5040
$
5050
5060
$
5070
8. Security difference accounts ...................
5080
$
5090
5100
$
5110
9. Commodity suspense accounts ..............
5120
$
5130
5140
$
5150
10. Open transactions with correspondents,
other brokers, clearing organizations,
depositories and interoffice and inter
company accounts which could result
in a charge — unresolved amounts over
30 calendar days ..................................
5160
$
5170
5180
$
5190
11. Bank account reconcilliations — unresolved
amounts over 30 calendar days ..............
5200
$
5210
5220
$
5230
71
73
12. Open transfers over 40 calendar days,
not confirmed ..
..................................
5240
$
5250
5260
$
5270
13. Transactions in reorganization accounts
— over 60 calendar days ........................
5280
$
5290
5300
$
5310
70
76
14. Total ........................................................
5320
$
5330
5340
$
5350
No. of Items
Leger Amount
Market Value
15. Failed to deliver 11 business days or longer (21 Business
Days or longer in the case of Municipal Securities) .....................
5360
$
5361
5362
16. Failed to receive 11 business days of longer (21 business
Days or longer in the case of Municipal Securities) .....................
5363
$
5364
5365
17. Security concentrations (See instructions in Part I):
A. Proprietary positions .................................................................................................................................................................... $
5370
B. Customers’ accounts under Rule 15c3-3 ..................................................................................................................................... $
5374
18. Total of personal capital borrowings due within six months ................................................................................................................. $
5378
19. Maximum haircuts on underwriting commitments during the period ....................................................................................................
$
5380
77
20. Planned capital expenditures for business expansion during next six months ...................................................................................... $
5382
21. Liabilities of other individuals or organizations guaranteed by respondent ........................................................................................... $
5384
22. Lease and rentals payable within one year .......................................................................................................................................... $
5386
23. Aggregate lease and rental commitments payable for entire term of the lease
A. Gross ........................................................................................................................................................................................... $
5388
B. Net .............................................................................................................................................................................................. $
5390
OMIT PENNIES
SEC 1695 (07-02) 27 of 28
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