Risk Assessment Report For Brokers And Dealers For 17h Page 4

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Material Associated Person:______________________________
LONG
SHORT
(000's omitted)
(b) Market value, and the value of the underlying securities,
of put contracts:
(i) Listed
2060
2065
(A) Market value .......................................................
2070
2075
(B) Value of underlying securities
............................
(ii) Unlisted
2080
2085
(A) Market value
.......................................................
2090
2095
(B) Value of underlying securities
............................
(c) Market value, and the value of the underlying securities,
of naked call contracts:
(i) Listed
2105
2100
(A) Market value
.......................................................
2115
2110
(B) Value of underlying securities
............................
(ii) Unlisted
2120
2125
(A) Market value
.......................................................
2130
2135
(B) Value of underlying securities
............................
(d) Market value, and the value of the underlying securities,
of naked put contracts:
(i) Listed
2140
2145
(A) Market value
.......................................................
2150
2155
(B) Value of underlying securities
............................
(ii) Unlisted
2160
2165
(A) Market value
.......................................................
2170
2175
(B) Value of underlying securities
............................
3. Futures:
2180
2185
(a) U.S. Treasury and mortgage-backed securities futures
......
2195
2190
(b) Other futures (specify)
......................................................
4. Forwards:
2205
2200
(a) U.S. Treasury and mortgage-backed securities
.................
(i) Aggregate current cost of replacing contracts by counter-
2210
2215
party in which the Material Associated Person has a gain
(ii) Per counterparty breakdown where credit risk exceeds
the Materiality Threshold (attach schedule).
2220
2225
(b) Other forwards (specify)
...................................................
(i) Aggregate current cost of replacing contracts by counter-
2230
2235
party in which the Material Associated Person has a gain
(ii) Per counterparty breakdown where credit risk exceeds
the Materiality Threshold (attach schedule).
B.
Interest Rate Swaps
1. U.S. dollar denominated swaps:
2240
2245
(a) Total notional or contractual amount
................................
(b) Aggregate current cost of replacing contracts by counter-
2250
2255
party in which the Material Associated Person has a gain
(c) Per counterparty breakdown where credit risk exceeds
the Materiality Threshold (attach schedule).
2. Cross currency swaps:
2260
2265
(a) Total notional or contractual amount
.................................
(b) Aggregate current cost of replacing contracts by counter-
2270
2275
party in which the Material Associated Person has a gain
(c) Per counterparty breakdown where credit risk exceeds
the Materiality Threshold (attach schedule).
C.
Foreign exchange
1. Swaps:
2280
2285
(a) Total notional or contractual amount
................................
(b) Aggregate cost of replacing contracts by counterparty in
2290
2295
which the Material Associated Person has a gain
...............
(c) Per counterparty breakdown where credit risk exceeds
the Materiality Threshold (attach schedule).
PAGE 4

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