Form X-17a-5 - Focus Report (United States Securities And Exchange Commission) (Page 13 of 30) in pdf

FINANCIAL AND OPERATIONAL COMINED 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)

EXPENSES (continued)

12. 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

13. Floor brokerage paid to certain brokers (see definition) .........................................................................................

____________________ 4050

14. Commissions and clearance paid to all other brokers (see definition) ...................................................................

____________________ 4145

15. Clearance paid to non-brokers (see definition) .......................................................................................................

____________________ 4135

16. Communications .......................................................................................................................................................

____________________ 4060

17. Occupancy and equipment costs ...........................................................................................................................

____________________ 4080

18. Promotional costs .....................................................................................................................................................

____________________ 4150

19. Interest expense ......................................................................................................................................................

____________________ 4075

A. Includes interest on accounts subject to subordination agreements ....................

_____________________ 4070

20. Losses in error account and bad debts ................................................................................................................................................

____________________ 4170

21. Data processing costs (including service bureau service charges) ..................................................................................................

____________________ 4186

22. Non-recurring charges .............................................................................................................................................................................

____________________ 4190

23. Regulatory fees and expenses ...............................................................................................................................................................

____________________ 4195

24. Other expenses ........................................................................................................................................................................................

____________________ 4100

25. Total expenses .........................................................................................................................................................................................

4200

NET INCOME

26. Income (loss) before Federal income taxes and items below (Item 10 less Item 26)..............................................

$ ____________________ 4210

27. Provision for Federal income taxes (for parent only) ...............................................................................................

____________________ 4220

28. Equity in earnings (losses) of unconsolidated subsidiaries not included above ...................................................

____________________ 4222

A. After Federal income taxes of ...................................................................

_____________________ 4338

29. Extraordinary gains (losses) ....................................................................................................................................

____________________ 4224

A. After Federal income taxes of ...................................................................

_____________________ 4239

30. Cumulative effect of changes in accounting principles ..........................................................................................

____________________ 4225

31. Net income (loss) after Federal income taxes and extraordinary items .................................................................

____________________ 4230

MONTHLY INCOME

32. Income (current month only) before provision for Federal income taxes and extraordinary items ......................

4211

OMIT PENNIES

SEC 2430 (2-02) Page 13 of 28