Form X-17a-5 - Focus Report (United States Securities And Exchange Commission) Page 3
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30FINANCIAL AND OPERATIONAL COMBINED UNIFORM SINGLE REPORT
PART IIB
_________________________________________________________________________ __N 2
100
(Name of Dealer)
STATEMENT OF FINANCIAL CONDITION FOR OTC DERIVATIVES DEALERS
Consolidated
198
__________________________________________99
____________________________________________98
Unconsolidated
199
As of (MM/DD/YYYY)
(SEC File No.)
ASSETS
Assets
Allowable
Non-Allowable
Total
1. Cash .............................................................. $ ____________________ 200
$ _____________________750
2. Cash segregated in compliance with
federal and other regulations ......................
____________________210
____________________ 760
3. Receivable from broker/dealers and
clearing organizations:
A. Failed to deliver .....................................
_____________________230
____________________ 770
B. Securities borrowed...............................
_____________________250
____________________ 780
C. Omnibus accounts ................................
_____________________270
____________________ 790
D. Clearing organization ............................
_____________________290
____________________ 800
E. Contracts:
1. Interest Rate ......................................
_____________________291
____________________ 801
2. Currency & Foreign Exchange .........
_____________________292
____________________ 802
3. Equity ...............................................
_____________________293
____________________ 803
4. Commodity ......................................
_____________________294
____________________ 804
5. Other ................................................
_____________________295
____________________ 805
F. Other ....................................................
_____________________300
$ ___________________550
____________________ 810
4. Receivable from customers:
A. Securities accounts:
1. Cash and fully secured accounts.....
_____________________310
2. Partly secured accounts ..................
_____________________320
________________ 560
3. Unsecured accounts .......................
............................................
________________ 570
B. Commodity accounts ..........................
_____________________330
________________ 580
C. Allowance for doubtful accounts ........
(___________________)_335
(_______________) 590
____________________ 820
OMIT PENNIES
SEC 2430 (2-02) Page 3 of 28
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