Form X-17a-5 - Focus Report (United States Securities And Exchange Commission) Page 24
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30FINANCIAL AND OPERATIONAL COMBINED UNIFORM SINGLE REPORT
PART IIB
______________________________________________________________
_________
________________________
(Name of Dealer)
As of (MM/DD/YYYY)
SCHEDULE VI
AGGREGATE SECURITIES AND OTC DERIVATIVE POSITIONS
I. AGGREGATE SECURITIES AND COMMODITIES POSITIONS
Aggregate Securities and Commodities Positions
LONG
SHORT
1. U.S. Treasury securities ..................................................................................
$
___________________ 6200
$
___________________
6201
2. U.S. Government agency .................................................................................
$
___________________ 6210
$
___________________
6211
3. Securities issued by states and political subdivisions in the U.S. ..................
$
___________________ 6220
$
___________________
6021
4. Foreign securities:
A. Debt securities ............................................................................................
$
___________________ 6230
$
___________________
6231
B. Equity securities .........................................................................................
$
___________________ 6235
$
___________________
6236
5. Banker’s acceptances ......................................................................................
$
___________________ 6240
$
___________________
6241
6. Certificates of deposit .......................................................................................
$
___________________ 6250
$
___________________
6251
7. Commercial paper ............................................................................................
$
___________________ 6260
$
___________________
6261
8. Corporate obligations .......................................................................................
$
___________________ 6270
$
___________________
6271
9. Stocks and warrants (other than arbitrage positions) .....................................
$
___________________ 6280
$
___________________
6281
10. Arbitrage:
A. Index arbitrage and program trading .........................................................
$
___________________ 6290
$
___________________
6291
B. Risk arbitrage ..............................................................................................
$
___________________ 6295
$
___________________
6296
C. Other arbitrage ...........................................................................................
$
___________________ 6300
$
___________________
6301
11. Options:
A. Market value of put options:
1. Listed ....................................................................................................
$
___________________ 6310
$
___________________
6311
2. Unlisted .................................................................................................
$
___________________ 6315
$
___________________
6316
B. Market value of call options:
1. Listed ....................................................................................................
$
___________________ 6320
$
___________________
6321
2. Unlisted .................................................................................................
$
___________________ 6325
$
___________________
6326
12. Spot commodities ............................................................................................
$
___________________ 6330
$
___________________
6331
13. Investments with no ready market:
A. Equity ..........................................................................................................
$
___________________ 6340
$
___________________
6341
B. Debt ............................................................................................................
$
___________________ 6345
$
___________________
6346
C. Other (include limited partnership interests) .............................................
$
___________________ 6350
$
___________________
6351
14. Other securities or commodities ......................................................................
$
___________________ 6360
$
___________________
6361
15. Summary of delta or similar analysis (if available)(attach analysis)
000’s OMITTED
SEC 2430 (2-02) Page 24 of 28
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