Form X-17a-5 - Focus Report (United States Securities And Exchange Commission) Page 25
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30FINANCIAL AND OPERATIONAL COMBINED UNIFORM SINGLE REPORT
PART IIB
______________________________________________________________
_________
________________________
(Name of Dealer)
As of (MM/DD/YYYY)
II. FINANCIAL INSTRUMENTS WITH OFF-BALANCE SHEET RISK AND WITH CONCENTRATION OF CREDIT RISK
(Provide notional or contractual amounts where appropriate, or in the case of options, the values of the underlying instrument.)
A.
Securities
LONG
SHORT
1.
When-issued securities:
A.
Gross commitments to purchase ..........................................................
$
___
____________
____
6400
$
___________________ 6401
B.
Gross commitments to sell ....................................................................
$
__
_________________
6405
$
___________________
6402
2.
Written stock option contracts:
A.
Market value, and the value of the underlying securities, of call contracts:
1.
Listed
a.
Market value............................................................................
$
___
____________
____
6410
$
___________________ 6411
b.
Value of underlying securities ................................................
$
___
____________
____ 6415
$
___________________ 6416
2.
Unlisted
a.
Market value ...........................................................................
$
___
____________
____ 6420
$
___________________ 6421
b.
Value of underlying securities ................................................
$
___
____________
____ 6425
$
___________________ 6426
B.
Market value, and the value of the underlying securities, of put contracts:
1.
Listed
a.
Market value............................................................................
$
___
____________
____
6430
$
___________________ 6431
b.
Value of underlying securities ................................................
$
___
____________
____ 6435
$
___________________ 6436
2.
Unlisted
a.
Market value ...........................................................................
$
___
____________
____ 6440
$
___________________ 6441
b.
Value of underlying securities ................................................
$
___
____________
____ 6445
$
___________________ 6446
C.
Market value, and the value of the underlying securities, of naked call contracts:
1.
Listed
a.
Market value............................................................................
$
___
____________
____
6450
$
___________________ 6451
b.
Value of underlying securities ................................................
$
___
____________
____ 6455
$
___________________ 6456
2.
Unlisted
a.
Market value ...........................................................................
$
___
____________
____ 6460
$
___________________ 6461
b.
Value of underlying securities ................................................
$
___
____________
____ 6465
$
___________________ 6466
D.
Market value, and the value of the underlying securities, of naked put contracts:
1.
Listed
a.
Market value............................................................................
$
___
____________
____
6470
$
___________________ 6471
b.
Value of underlying securities ................................................
$
___
____________
____ 6475
$
___________________ 6476
2.
Unlisted
a.
Market value ...........................................................................
$
___
____________
____ 6480
$
___________________ 6481
b.
Value of underlying securities ................................................
$
___
____________
____ 6485
$
___________________ 6486
000’s OMITTED
SEC 2430 (2-02) Page 25 of 28
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