Form X-17a-5 - Focus Report (United States Securities And Exchange Commission) Page 12
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30FINANCIAL AND OPERATIONAL COMBINED UNIFORM SINGLE REPORT
PART IIB
For the Period (MM/DD/YYYY)
from _____________________________________ 3932
to _________
_______________________________________ 3933
Number of months included
____________________
_____________________________________
___________
______
in this statement
(Name of Dealer)
3931
STATEMENT OF INCOME (LOSS)
REVENUE
1. Contracts:
A. Interest Rate/Fixed Income products ................................................................................................................
$ ___________________ 3921
B. Over-the-counter currency and foreign exchange products for Net Capital ....................................................
___________________
3922
C. Equity products .................................................................................................................................................
___________________
3923
D. Commodity products ..........................................................................................................................................
___________________
3924
E. All other securities commissions .......................................................................................................................
___________________
3925
F. Total securities commissions ............................................................................................................................
$
__________________
3940
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) .......................................................................................................................................
$ ___________________
3 950
3. Gains or Losses on Firm Securities Investment Accounts:
A. Includes realized gains (losses)..................................................................
$
____________________ 4235
B. Includes unrealized gains (losses)..............................................................
____________________
4 236
C. Total realized and unrealized gains (losses) ...................................................................................................
$
___________________ 3952
4. Other Interest ...........................................................................................................................................................
___________________ 3953
5. Fees for account supervision, investment advisory and administrative services ...................................................
___________________ 3975
6. Revenue from research services .............................................................................................................................
___________________ 3980
7. Commodities revenue ..............................................................................................................................................
___________________ 3990
8. Other revenue ..........................................................................................................................................................
___________________ 3995
9. Total Revenue ............................................................................................................................................................
$
4030
EXPENSES
10. Compensation ........................................................................................................................................................
$
___________________ 4110
11. Clerical and administrative employees’ expenses ...................................................................................................
___________________ 4040
OMIT PENNIES
SEC 2430 (2-02) Page 12 of 28
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