Focus Report Sec Form X 17a 5 Page 7
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15FINANCIAL AND OPERATIONAL COMBINED UNIFORM SINGLE REPORT
PART II
BROKER OR DEALER
as of _____________________
COMPUTATION OF NET CAPITAL
1. Total ownership equity from Statement of Financial Conditon - Item 1800 .......................................................................................... $
3480
2. Deduct Ownership equity not allowable for Net Capital ........................................................................................................................
(
) 3490
3. Total ownership equity qualified for Net Capital ...................................................................................................................................
3500
4. Add:
A. Liabilities subordinated to claims of general creditors allowable in computation of net capital ......................................................
3520
B. Other (deductions) or allowable credits (List) ...............................................................................................................................
3525
33
5. Total capital and allowable subordinated liabilities ............................................................................................................................... $
3530
6. Deductions and/or charges:
A. Total nonallowable assets from
Statement of Financial Condition (Notes B and C) ................................................................... $
3540
1. Additional charges for customers’ and
non-customers’ security accounts ................................................................................... $
3550
2. Additional charges for customers’ and
non-customers‘ commodity accounts .............................................................................
3560
B. Aged fail-to-deliver .................................................................................................................
3570
1. Number of items ...............................................
3450
29
C. Aged short security differences-less
reserve of ................................................................
$
3460
3580
30
number of items ......................................................
3470
D. Secured demand note deficiency ............................................................................................
3590
E. Commodity futures contracts and spot commodities
- proproetary capital charges ..................................................................................................
3600
F. Other deductions and/or charges ............................................................................................
3610
G. Deductions for accounts carried under Rule 15c3-1(a)(6), (a)(7) and (c)(2)(x) .....................
3615
H. Total deductions and/or charges ..................................................................................................................................................
(
) 3620
7. Other additions and/or allowable credits (List) ....................................................................................................................................
3630
8. Net capital before haircuts on securities positions ............................................................................................................................... $
3640
9. Haircuts on securities: (computed, where applicable, pursuant to 15c3-1(f)):
A. Contractual securities committments ...................................................................................... $
3660
B. Subordinated securities borrowings ........................................................................................
3670
C. Trading and investment securities:
1. Bankers’ acceptances, certificates of deposit and commercial paper ..............................
3680
31
2. U.S. and Canadian government obligations ......................................................................
3690
3. State and municipal government obligations ....................................................................
3700
4. Corporate obligations .......................................................................................................
3710
5. Stocks and warrants ........................................................................................................
3720
6. Options ............................................................................................................................
3730
7. Arbitrage ..........................................................................................................................
3732
8. Other securities ................................................................................................................
3734
32
D. Undue Concentration ..............................................................................................................
3650
E. Other (List)
........................................................................................................................
3736
(
) 3740
10. Net Capital .......................................................................................................................................................................................... $
3750
OMIT PENNIES
SEC 1695 (07-02) 11 of 28
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