Form X-17a-5 - Focus Report (United States Securities And Exchange Commission) Page 11
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30FINANCIAL AND OPERATIONAL COMBINED UNIFORM SINGLE REPORT
PART IIB
______________________________________________________________
_________
________________________
(Name of Dealer)
As of (MM/DD/YYYY)
COMPUTATION OF NET CAPITAL AND NET CAPITAL REQUIRED
(Under (c)(3)(vi) of Rule 15c3-1)
Capital
1. Total Ownership Equity (from Statement of Financial Condition - Item 1800) .......................................................
$
___________________ 3480
2. Deduct: Ownership Equity not allowable for Net Capital .........................................................................................
(________________)_ 3490
3. Total Ownership Equity Qualified for Net Capital ...................................................................................................
___________________ 3500
4. Add: Subordinated Liabilities Approved for Net Capital .........................................................................................
___________________
3520
5. Other Allowable Credits or Deductions ...................................................................................................................
___________________
3525
6. Total Capital and Approved Subordinations ............................................................................................................
$
3530
7. Non-Allowable Assets ................................................................................................................................................
(________________)_ 3540
8. Other Deductions and/or Charges ............................................................................................................................
(________________)_ 4000
9. Secured Demand Note Deficiency ............................................................................................................................
(________________)_ 3590
10. Commodity futures contracts and spot commodities proprietary capital charges ...........................................
(________________)_ 3600
11. Other additions and/or allowable credits
A. Credit add backs under 15c3-1(c)(15) .............................................................................................................
___________________ 3631
B. Other ...................................................................................................................................................................
___________________
3632
12. Tentative Net Capital (must equal or exceed $100,000,000)....................................................................................
$
3640
13. Haircuts on Securities (computed pursuant to 15c3-1(c)(2)(vi)):
A. Fixed Income ...............................................................................................
$
___________________ 3636
B. Currency ......................................................................................................
___________________
3637
C. Commodities ..............................................................................................
___________________
3638
D. Equities .......................................................................................................
___________________
3 639
14. Total deductions and/or charges ............................................................................................................................
(________________)_ 4040
15. Undue Concentration ...............................................................................................................................................
(________________)_ 3650
16. Other (List) ................................................................................................................................................................
(________________)_ 3736
17. Credit Risk .................................................................................................................................................................
(________________)_ 4051
18. Net Capital ................................................................................................................................................................
$
4750
20,000,000
19. Minimum Net Capital .................................................................................................................................................
$ ________________
_ __
3758
20. Excess Net Capital ...................................................................................................................................................
$
__________________ 3770
OMIT PENNIES
SEC 2430 (2-02) Page 11 of 28
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