Focus Report Sec Form X 17a 5 Page 9
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15PART II - FINANCIAL AND OPERATIONAL COMBINED UNIFORM SINGLE REPORT
BROKER OR DEALER
For the period (MMDDYY) from
3932 to
3933
38
Number of months included in this statement
3931
STATEMENT OF INCOME (LOSS)
REVENUE
1. Commissions:
a. Commissions on transactions in listed equity securities executed on an exchange ....................................................................... $
3935
b. Commissions on transactions in exchange listed equity securities executed over-the-counter ......................................................
3937
c. Commissions on listed option transactions ..................................................................................................................................
3938
d. All other securities commissions ..................................................................................................................................................
3939
e. Total securities commissions .......................................................................................................................................................
3940
40
2. Gains or losses on firm securities trading accounts
a. From market making in over-the-counter equity securities ............................................................................................................
3941
1. Includes gains or (losses) OTC market making in exchange listed equity securities .........
3943
b. From trading in debt securities .....................................................................................................................................................
3944
c. From market making in options on a national securities exchange ................................................................................................
3945
d. From all other trading ...................................................................................................................................................................
3949
e. Total gains or (losses) ..................................................................................................................................................................
3950
3. Gains or losses on firm securities investment accounts
a. Includes realized gains (losses) .............................................................................................
4235
b. Includes unrealized gains (losses) ..........................................................................................
4236
c. Total realized and unrealized gains (loses) ...................................................................................................................................
3952
41
4. Profits or (losses) from underwriting and selling groups .....................................................................................................................
3955
a. Includes underwriting income from corporate equity securities ..............................................
4237
5. Margin interest ....................................................................................................................................................................................
3960
6. Revenue from sale of investment company shares .............................................................................................................................
3970
7. Fees for account supervision, investment advisory and administrative services ..................................................................................
3975
8. Revenue from research services .........................................................................................................................................................
3980
9. Commodities revenue ..........................................................................................................................................................................
3990
10. Other revenue related to securities business ........................................................................................................................................
3985
42
11. Other revenue ......................................................................................................................................................................................
3995
12. Total revenue ....................................................................................................................................................................................... $
4030
EXPENSES
13. Registered representative’s compensation .......................................................................................................................................... $
4110
14. Clerical and administrative employees’ expenses ................................................................................................................................
4040
15. Salaries and other employment costs for general partners, and voting stockholder officers ................................................................
4120
a. Includes interest credited to General and Limited Partners capital accounts ...........................
4130
16. Floor brokerage paid to certain brokers (see definition) .......................................................................................................................
4055
17. Commissions and clearance paid to all other brokers (see definition) .................................................................................................
4145
43
18. Clearance paid to non-brokers (see definition) ....................................................................................................................................
4135
19. Communications .................................................................................................................................................................................
4060
20. Occupancy and equipment costs ........................................................................................................................................................
4080
21. Promotional costs ...............................................................................................................................................................................
4150
22. Interest expense ..................................................................................................................................................................................
4075
a. Includes interest on accounts subject to subordination agreements .......................................
4070
23. Losses in error account and bad debts ...............................................................................................................................................
4170
24. Data processing costs (including service bureau service charges) ......................................................................................................
4186
44
25. Non-recurring charges ........................................................................................................................................................................
4190
26. Regulatory fees and expenses .............................................................................................................................................................
4195
27. Other expenses ...................................................................................................................................................................................
4100
28. Total expenses .................................................................................................................................................................................... $
4200
NET INCOME
29. Income (loss) before Federal income taxes and items below (Item 12 less Item 28) ...........................................................................
4210
30. Provision for Federal income taxes (for parent only) ............................................................................................................................
4220
31. Equity in earnings (losses) of unconsolidated subsidiaries not included above ...................................................................................
4222
45
a. After Federal income taxes of .................................................................................................
4238
39
32. Extraordinary gains (losses) ................................................................................................................................................................
4224
a. After Federal income taxes of .................................................................................................
4239
33. Cumulative effect of changes in accounting principles ........................................................................................................................
4225
34. Net income (loss) after Federal income taxes and extraordinary items ................................................................................................ $
4230
MONTHLY INCOME
35. Income (current month only) before provision for Federal income taxes and extraordinary items ........................................................ $
4211
SEC 1695 (07-02) 15 of 28
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