Form X-17a-5 - Focus Report (United States Securities And Exchange Commission) Page 14
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30FINANCIAL AND OPERATIONAL COMBINED UNIFORM SINGLE REPORT
PART IIB
_______________________________________________________________
________
________________________
(Name of Dealer)
As of (MM/DD/YYYY)
Ownership Equity and Subordinated Liabilities maturing or proposed to be withdrawn within the next six months and accruals, (as defined
below), which have not been deducted in the computation of Net Capital.
Type of Proposed
Insider
Amount to be
Withdrawal
Expect
Withdrawal
Name of Lender or Contributor
or
Withdrawn
or
to
or Accrual
Outsider?
Maturity Date
Renew
(cash amount and/or Net
(see below for code to enter)
(In or Out)
Capital Value of Securities)
(MM/DD/YYYY)
(Yes or No)
__________________________ 4600
______________________________________________ 4601
________________ 4602
$ _____________________ 4603
_____________ 4604
__________ 4605
__________________________ 4610
______________________________________________ 4611
________________ 4612
_____________________ 4613
_____________ 4614
__________ 4615
__________________________ 4620
______________________________________________ 4621
________________ 4622
_____________________ 4623
_____________ 4624
__________ 4625
__________________________ 4630
______________________________________________ 4631
________________ 4632
_____________________ 4633
_____________ 4634
__________ 4635
__________________________ 4640
______________________________________________ 4641
________________ 4642
_____________________ 4643
_____________ 4644
__________ 4645
__________________________ 4650
______________________________________________ 4651
________________ 4652
_____________________ 4653
_____________ 4654
__________ 4655
__________________________ 4660
______________________________________________ 4661
________________ 4662
_____________________ 4663
_____________ 4664
__________ 4665
__________________________ 4670
______________________________________________ 4671
________________ 4672
_____________________ 4673
_____________ 4674
__________ 4675
__________________________ 4680
______________________________________________ 4681
________________ 4682
_____________________ 4683
_____________ 4684
__________ 4685
__________________________ 4690
______________________________________________ 4691
________________ 4692
_____________________ 4693
_____________ 4694
__________ 4695
Total
$
4699*
* To agree with the total on Recap (Item No. 4880)
OMIT PENNIES
WITHDRAWAL CODE:
DESCRIPTIONS
1
Equity Capital
2
Subordinated Liabilities
3
Accruals
4
15c3-1(c)(2)(iv) Liabilities
INSTRUCTIONS:
Detail Listing must include the total of items maturing during the six month period following the report date, regardless of
whether or not the capital contribution is expected to be renewed. The schedule must also include proposed capital
withdrawals scheduled within the six month period following the report date including the proposed redemption of stock
and payments of liabilities secured by fixed assets (which are considered allowable assets in the capital computation
pursuant to Rule 15c-3-1(c)(2)(iv)), which could be required by the lender on demand or in less than six months.
SEC 2430 (2-02) Page 14 of 28
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