Form X-17a-5 - Focus Report (United States Securities And Exchange Commission) Page 9
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30FINANCIAL AND OPERATIONAL COMBINED UNIFORM SINGLE REPORT
PART IIB
________________________________________________________________
_______
________________________
(Name of Dealer)
As of (MM/DD/YYYY)
COMPUTATION OF NET CAPITAL AND NET CAPITAL REQUIRED
(Electing 15c3-1 Appendix F)
CAPITAL
Capital
1. Total Ownership Equity ............................................................................................................................................
$
___________________
3480
2. Deduct: Ownership Equity not Allowable for Net Capital .........................................................................................
(_________________) 3490
3. Total Ownership Equity Qualified for Net Capital .....................................................................................................
___________________
3500
4. Add: Subordinated Liabilities Approved for Net Capital .........................................................................................
___________________
3520
5. Other Allowable Credits or Deductions ....................................................................................................................
___________________
3525
6. Total Capital and Approved Subordinations ............................................................................................................
___________________
3530
7. Non-Allowable Assets .......................................................................................
$
____________________
3540
8. Secured Demand Note Deficiency ....................................................................
____________________
3590
9. Other Deductions and Charges ........................................................................
____________________
3610
10. Total Non-Allowable Assets, Other Deductions and Charges (add lines 7 - 9).....................................................
(_________________)_ 3620
11. Tentative Net Capital (Must equal or exceed $100,000,000) ....................................................................................
$
___________________ 3640
Computation of Net Capital Requirements and Excess Net Capital
12. Market Risk Exposure:
A. Total Value at Risk ..........................................................................................
$
____________________ 3635
Value at Risk Components:
1. Fixed Income (VaR) ...........................
$
___________________ 3636
2. Currency (VaR) ..................................
___________________
3637
3. Commodities (VaR) ..........................
___________________
3638
4. Equities (VaR) ...................................
___________________ 3639
NOTE: The sum of the value at risk components may not equal total value at risk.
B. Multiplication Factor ..................................................................................................... X
$
____________________
3645
C. Subtotal (If Line 12A is positive, multiply Line 12A by 12B) .......................
____________________
3655
D. Alternative Method for Equities under Appendix A of Rule 15c3-1
(if applicable) ...............................................................................................
____________________
3665
E. Non - Marketable Securities .......................................................................
____________________
3675
F. Residual Positions ..........................................................................................................
____________________
3676
13. Subtotal Market Risk Exposure (add Lines 12C and 12D) ................................................................................................................
$
___________________ 3677
OMIT PENNIES
SEC 2430 (2-02) Page 9 of 28
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