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

FINANCIAL AND OPERATIONAL COMBINED UNIFORM SINGLE REPORT

PART IIB

_______________________________________________________________________

________________________

(Name of Dealer)

As of (MM/DD/YYYY)

FINANCIAL AND OPERATIONAL DATA

VALUATION

NUMBER

1. Month end total number of stock record breaks unresolved over

three business days

A. Breaks long .................................................................................................

$ ____________________ 4890

___________________ 4900

B. Breaks short ...............................................................................................

$ ____________________ 4910

___________________ 4920

2. Is the firm in compliance with Rule 17a-13 regarding periodic count and verification of securities positions and locations at

least once in each calendar quarter? (Check one)

Yes

4930

4940

3. Personnel employed at end of reporting period:

A. Income producing personnel ..............................................................................................................................

___________________ 4950

B. Non-income producing personnel (all other)......................................................................................................

___________________ 4960

C. Total ...................................................................................................................................................................

___________________ 4970

4. Actual number of tickets executed during current month of reporting period .......................................................

___________________ 4980

5. Number of corrected customer confirmations mailed after settlement date ..........................................................

___________________ 4990

DEBIT

CREDIT

NO. OF ITEMS

(Short Value)

NO. OF ITEMS

(Long Value)

6. Money differences .........................................

___________ 5000 $ ___________________ 5010 ___________ 5020 $ ___________________5030

7. Security suspense accounts .........................

___________ 5040 $ ___________________ 5050 ___________ 5060 $ ___________________5070

8. Security difference accounts ......................... ___________ 5080 $ ___________________ 5090 ___________ 5100 $ ___________________5110

9. Commodity suspense accounts..................... ___________ 5120 $ ___________________ 5130 ___________ 5140 $ ___________________5150

10. Open transactions with correspondents, other

brokers, clearing organizations, depositories

and interoffice and intercompany accounts

which could result in a charge - unresolved

amounts over 30 calendar days ....................

___________ 5160 $ ___________________ 5170 ___________ 5180 $ ___________________5190

11. Bank account reconciliations - unresolved

amounts over 30 calendar days ....................

___________ 5200 $ ___________________ 5210 ___________ 5220 $ ___________________5230

12. Open transfers over 40 calendar days,

not confirmed ................................................

___________ 5240 $ ___________________ 5250 ___________ 5260 $ ___________________5270

13. Transactions in reorganization accounts

- over 60 calendar days .................................

___________ 5280 $ ___________________ 5290 ___________ 5300 $ ___________________5310

14. Total ..................... ......................................... ___________ 5320 $ ___________________ 5330 ___________ 5340 $ ___________________5350

OMIT PENNIES

SEC 2430 (2-02) Page 17 of 28

Form X-17a-5 - Focus Report (United States Securities And Exchange Commission) Page 17

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