Form X-17a-5 - Schedule I - Focus Report Page 5
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7OMB APPROVAL
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3235-0123
UNITED STATES
Expires:
March 31, 2016
SECURITIES AND EXCHANGE COMMISSION
Estimated average burden
Washington, D.C. 20549
hours per response. . . . . . 12.00
FOCUS REPORT
Form
(Financial and Operational Combined Uniform Single Report)
Schedule I
X-17A-5
INFORMATION REQUIRED OF BROKERS AND DEALERS PURSUANT TO RULE 17a-5
Report for the Calendar Year 20___
W
8004
1
of if less than 12 months
Report for the period beginning _____/_____/_____ 8005 and ending _____/_____/_____ 8006
MM
DD
YY
MM
DD
YY
SEC FILE NUMBER
8-
8011
1.
NAME OF BROKER DEALER
OFFICIAL USE ONLY
N9
W
2
8020
8021
Firm No.
M M Y Y
2.
Name(s) of Broker-dealer(s) merging with respondent during reporting period:
OFFICIAL USE ONLY
W
NAME: _________________________________________________ ____ 8053 ___________________________
8057
W40
3
NAME: __________________________________________
_______
____ 8054
___________________________
8058
W
4
NAME: __________________________________________
_______
____
8055 ___________________________
8059
W
5
W
NAME: __________________________________________
_______
____
8056
8060
6
W
3. Respondent conducts a securities business exclusively with registered broker-dealers:
7
(enter applicable code: 1 = Yes 2 = No)
8073
4. Respondent is registered as a specialist on a national securities exchange
:
(enter applicable code: 1 = Yes 2 = No)
8074
5. Respondent is registered as a specialist on a national securities exchange
:
(a) equity securities ......................................................... (enter applicable code: 1 = Yes 2 = No)
8075
(b) municipals ................................................................... (enter applicable code: 1 = Yes 2 = No)
8076
(a) other debt instruments .............................................. (enter applicable code: 1 = Yes 2 = No)
8077
6. Respondent is registered solely as a municipal bond dealer:
(enter applicable code: 1 = Yes 2 = No)
8078
7. Respondent is an insurance company or an affiliate of an insurance company:
(enter applicable code: 1 = Yes 2 = No)
8079
W
8. Respondent carries its own public customer accounts:
8
(enter applicable code: 1 = Yes 2 = No)
8084
9. Respondent’s total numer of public customer accounts:
(carrying firms filing X-17A-5 Part II only
(a) Public customer accounts ...............................................................................................................
8080
(b) Omnibus accounts ...........................................................................................................................
8081
10. Respondent clears its public customer and/or proprietary accounts:
(enter applicable code: 1 = Yes 2 = No)
8085
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