Form X-17a-5 - Focus Report (United States Securities And Exchange Commission) Page 6
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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
LIABILITIES AND OWNERSHIP EQUITY
Liabilities
Total
16. Bank loans payable: .......................................................................................................................................................
$ __
_________________
1470
17. Securities sold under repurchase agreement .............................................................................................................
$
__
_________________
1480
18. Payable to brokers/dealers and clearing
organizations:
A. Failed to receive: ....................................................................................................................................................
$ __
_________________
1500
B. Securities loaned: ....................................................................................................................................................
$ __
_________________
1520
C. Omnibus accounts: ................................................................................................................................................
$
__
_________________
1540
D. Clearing organization: ..........................................................................................................................................
$
__
_________________
1560
E. Other ......................................................................................................................................................................
$ __
_________________
1570
19. Payable to customers:
A. Securities accounts-including
excess collateral of
$ ___________________ 950 ............................................................................................
$ __
_________________
1580
B. Commodities accounts ........................................................................................................................................
$
__
_________________
1590
20. Payable to non-customers:
A. Securities accounts ..............................................................................................................................................
$
__
_________________
1600
B. Commodities accounts ........................................................................................................................................
$
__
_________________
1610
21. Securities sold not yet purchased
at market value- including
arbitrage of
$
___________________ 960 ..........................................................................................
$
__
_________________
1620
22. Accounts payable and accrued liabilities and expenses:
A. Drafts payable .....................................................................................................................................................
$ __
_________________
1630
B. Accounts payable ................................................................................................................................................
$ __
_________________
1640
C. Income taxes payable .........................................................................................................................................
$
__
_________________
1650
D. Deferred income taxes ........................................................................................................................................
$
__
_________________
1660
E. Accrued expenses and other liabilities ...............................................................................................................
$
__
_________________
1670
F. Other ...................................................................................................................................................................
$ __
_________________
1680
OMIT PENNIES
SEC 2430 (2-02) Page 6 of 28
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