Form X-17a-5 - Focus Report (United States Securities And Exchange Commission) Page 4
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30FINANCIAL AND OPERATIONAL COMBINED UNIFORM SINGLE REPORT
PART IIB
_______________________________________________________________________
________________________
(Name of Dealer)
As of (MM/DD/YYYY)
STATEMENT OF FINANCIAL CONDITION FOR OTC DERIVATIVES DEALERS
ASSETS (continued)
Assets
Allowable
Non-Allowable
Total
5. Receivables from non-customers:
A. Cash and fully secured accounts ..........
$ ____________________ 340
B. Partly secured and unsecured accounts $ ____________________ 350
$ ____________________ 600
$ _____________________ 830
6. Securities purchased under agreements
to resale ........................................................
_____________________360
______________________ 605
____________________ 840
7. Securities and spot commodities owned
at market value:
A. Bankers acceptances, certificates
of deposit and commercial paper ........
_____________________370
B. U.S. and Canadian government
obligations ............................................
____________________
_ __ 380
C. State and municipal government
obligations ............................................
_____________________390
D. Corporate obligations ..........................
_____________________400
E. Stocks and warrants ............................
_____________________410
F. Options ................................................
_____________________420
G. Arbitrage .............................................
_____________________422
H. Other securities ..................................
_____________________424
I. Spot commodities .............................
_____________________430
____________________ 850
8. Securities owned not readily marketable:
A. At cost ........ $ _______________130
_____________________440
______________________ 610
____________________ 860
9. Other investments not readily marketable:
A. At cost ........ $ _______________140
B. At estimated fair value .......................
_____________________450
______________________ 620
____________________ 870
10. Securities borrowed under subordination
agreements and partners’ individual and
capital securities accounts at market
value:
A. Exempted
securities...... $ _______________ 150
B. Other ........... $ _______________ 160
_____________________460
______________________ 630
____________________ 880
OMIT PENNIES
SEC 2430 (2-02) Page 4 of 28
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