Risk Assessment Report For Brokers And Dealers For 17h Page 3
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6PART II
GENERAL INSTRUCTIONS FOR PART II OF THIS FORM
1.
Provide the following information for each Material Associated Person as of the end of the quarter. Indicate the name of each
Material Associated Person in a separate column or complete a separate Part II for each Material Associated Person. In the event a
separate listing of a position, financial instrument or otherwise is required pursuant to any of the provisions of section 240.17h-1T, the
broker or dealer should indicate as such in the appropriate section of this Part II. Where appropriate, indicate long and short positions
separately. (Report amounts in thousands)
Material Associated Person:____________________________________
LONG
SHORT
I.
AGGREGATE SECURITIES AND COMMODITIES POSITIONS
(000's omitted)
1000
1005
1. U.S. Treasury securities
..........................................................
1010
1015
2. U.S. Government agency
........................................................
1020
1025
3. Securities issued by states and political subdivisions in the U.S.
4. Foreign securities:
1030
1035
(a) Debt securities
..................................................................
1040
1045
(b) Equity securities
...............................................................
1050
1055
5. Banker’s acceptances
.............................................................
1065
1060
6. Certificates of deposit
.............................................................
1075
1070
7. Commercial paper
...................................................................
1080
1085
8. Corporate obligations
.............................................................
1090
1095
9. Stocks and warrants (other than arbitrage positions)
..............
10. Arbitrage:
1100
1105
(a) Index arbitrage and program trading
................................
1110
1115
(b) Risk arbitrage
...................................................................
1120
1125
(c) Other arbitrage
.................................................................
11. Options:
(a) Market value of put options:
1130
1135
(i) Listed
.........................................................................
1140
1145
(ii) Unlisted
......................................................................
(b) Market value of call options:
1155
1150
(i) Listed
...........................................................................
1160
1165
(ii) Unlisted
......................................................................
1170
1175
12. Spot commodities
...................................................................
13. Investments with no ready market:
1180
1185
(a) Equity
..............................................................................
1195
1190
(b) Debt
.................................................................................
1200
1205
(c) Other (include limited partnership interests)
....................
1210
1215
14. Other securities or commodities
.............................................
15. Summary of delta or similar analysis (if available)(attach analysis)
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. In the
event a separate listing of a position or instrument is required pursuant to the provisions of section 17h-1T, separately state such position.)
A. Securities
LONG
SHORT
(000's omitted)
1. When-issued securities:
2000
2005
(a) Gross commitments to purchase
.......................................
2010
2015
(b) Gross commitments to sell
................................................
2. Written stock option contracts:
(a) Market value, and the value of the underlying securities,
of call contracts:
(i) Listed
2020
2025
(A) Market value
.......................................................
2030
2035
(B) Value of underlying securities
............................
(ii) Unlisted
2040
2045
(A) Market value
......................................................
2055
2050
(B) Value of underlying securities
............................
PAGE 3
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