Form X-17a-5 - Focus Report (United States Securities And Exchange Commission) Page 18
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30FINANCIAL AND OPERATIONAL COMBINED UNIFORM SINGLE REPORT
PART IIB
_______________________________________________________________
________
________________________
(Name of Dealer)
As of (MM/DD/YYYY)
FINANCIAL AND OPERATIONAL DATA (continued)
NO. OF ITEMS
Ledger Amount
Market Value
15.
Failed to deliver 11 business days or longer (21 business
days or longer in the case of Municipal Securities)........................ ____________ 5360
$ ____________________5361
$ ___________________ 5362
16.
Failed to receive 11 business days or longer (21 business
days or longer in the case of Municipal Securities)........................ ____________ 5363
$ ____________________5364
$ ___________________ 5365
17.
Security concentrations (See instructions in Part I):
A.
Proprietary positions .............................................................................................................................................
$ ___________________ 5370
18.
Total of personal capital borrowings due within six months .......................................................................................
$ ___________________ 5378
19.
Maximum haircuts on underwriting commitments during the period .........................................................................
$ ___________________ 5380
20.
Planned capital expenditures for business expansion during next six months ........................................................
$ ___________________ 5382
21.
Liabilities of other individuals or organizations guaranteed by respondent ..............................................................
$ ___________________ 5384
22.
Lease and rentals payable within one year ................................................................................................................
$ ___________________ 5386
23.
Aggregated lease and rental commitments payable for entire term of the lease
A.
Gross ...................................................................................................................................................................
$ ___________________ 5388
B.
Net ......................................................................................................................................................................
$ ___________________ 5390
OMIT PENNIES
SEC 2430 (2-02) Page 18 of 28
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