Form X-17a-5 - Focus Report (United States Securities And Exchange Commission) Page 28
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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.)
LONG
SHORT
2.
Unlisted
a.
Market value....................................................................
$
_
_______________
___ 6625
$
__
______________
___
6626
b.
Value of underlying instruments ....................................
$
_
_______________
___ 6627
$
__
______________
___
6628
C.
Market value, and the value of the underlying instruments, of naked
call contracts:
1.
Listed
a.
Market value....................................................................
$
_
_______________
___ 6630
$
__
______________
___
6631
b.
Value of underlying instruments ....................................
$
_
_______________
___ 6632
$
__
______________
___
6633
2.
Unlisted
a.
Market value....................................................................
$
_
_______________
___ 6635
$
__
______________
___
6636
b.
Value of underlying instruments ....................................
$
_
_______________
___ 6637
$
__
______________
___
6638
D.
Market value, and the value of the underlying instruments, of naked
put contracts:
1.
Listed
a.
Market value....................................................................
$
_
_______________
___ 6640
$
__
______________
___
6641
b.
Value of underlying instruments ....................................
$
_
_______________
___ 6642
$
__
______________
___
6643
2.
Unlisted
a.
Market value....................................................................
$
_
_______________
___ 6645
$
__
______________
___
6646
b.
Value of underlying instruments ....................................
$
_
_______________
___ 6647
$
__
______________
___
6648
000’s OMITTED
SEC 2430 (2-02) Page 28 of 28
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