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Annual Financial Report - Part III 260.241.2 (III) - California

Annual Financial Report - Part III Form. This is a California form and can be used in Securities Regulation Division Blue Sky Secretary Of State .
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STATE OF CALIFORNIA DEPARTMENT OF CORPORATIONS ANNUAL FINANCIAL REPORT PART III NAME OF LICENSEE: for the period from STATEMENT OF INCOME (LOSS) REVENUE Commissions Gains or Losses on Principal transactions including unrealized gains and losses Underwriting Interest Income from the sale of investment company shares Other TOTAL REVENUE EXPENSES Employee compensation and benefits Commissions and floor brokerage Communications Promotional Interest Occupancy and equipment rental Taxes other than income taxes Other operating expenses TOTAL EXPENSES Income (loss) before income taxes and items below Income taxes Minority interest in income of consolidated subsidiaries Equity in earnings of unconsolidated subsidiaries Income (loss) before extraordinary items Extraordinary items Cumulative effect of changes in accounting principles NET INCOME (LOSS) $ $ $ $ to $ $ 260.241.2 (PART III) (11-77) -1- American LegalNet, Inc. www.USCourtForms.com STATE OF CALIFORNIA DEPARTMENT OF CORPORATIONS ANNUAL FINANCIAL REPORT PART III NAME OF LICENSEE: for the period from STATEMENT OF CHANGES IN OWNERSHIP EQUITY (SOLE PROPRIETORSHIP, PARTNERSHIP OR CORPORATION) Balance, beginning of period Net income (loss) Additions Deductions Balance, end of period STATEMENT OF CHANGES IN LIABILITIES SUBORDINATED TO CLAIMS OF GENERAL CREDITORS Balance, beginning of period Increases Decreases Balance, end of period $ $ to $ $ -2- American LegalNet, Inc. www.USCourtForms.com STATE OF CALIFORNIA DEPARTMENT OF CORPORATIONS ANNUAL FINANCIAL REPORT PART III NAME OF LICENSEE: as of COMPUTATION OF NET CAPITAL 1. 2. 3. 4. Total ownership equity (from Statement of Financial Condition) ..................................................... $ Deduct: Ownership equity not allowable for net capital ......................................................... ( Total ownership equity qualified net capital .............................. Add: A. Liabilities subordinated to claims of general creditors allowable in computation of net capital .................................. B. Other(deductions) or allowable credits (List) ............................ Total capital and allowable subordinated liabilities .......................... $ Deductions and/or charges: A. Total non-allowable assets from Statement of Financial Condition .................................. $ (Notes B and C) 1. Additional charges for customers' and non-customers' security accounts .............. 2. Additional charges for customers' and non-customers' commodity accounts ............. B. Aged fail-to-deliver: ............................ 1. Number of items ............... C. Aged short security differencesless reserve of ................. $ number of items ................. D. Secured demand note deficiency ................. E. Commodity futures contracts and spot commodities - proprietary capital charges .................................. F. Other deductions and/or charges ................. G. Option deductions and/or charges pursuant to Rule 260.216.12(c)(2)(J) and/or (K) ................. ( H. Total deductions and/or charges .......................................$ Other additions and/or allowable credits (List) ............................. Net Capital before haircuts on securities positions ..........................$ Haircuts on securities: (computed, where applicable, pursuant to Rule 260.216.12: A. Contractual securities commitments ................. B. Subordinated securities borrowings ................. C. Trading and Investment securities: 1. Bankers' acceptances, certificates of deposit and commercial paper ................. 2. U.S. and Canadian government obligations.................................... 3. State and municipal government obligations.................................... 4. Corporate obligations .......................... 5. Stocks and warrants ............................. 6. Options ........................................ 7. Arbitrage ..................................... 8. Other securities .............................. D. Undue concentration ................................ ( E. Other (List) ....................................... Net Capital ............................................................... $ OMIT PENNIES -3- ) 5. 6. )) 7. 8. 9. ) 10. American LegalNet, Inc. www.USCourtForms.com STATE OF CALIFORNIA DEPARTMENT OF CORPORATIONS ANNUAL FINANCIAL REPORT PART III NAME OF LICENSEE: as of COMPUTATION OF BASIC NET CAPITAL REQUIREMENT Part A 11. Minimum net capital required (6-2/3% of line 18) .............................. $ 12. Minimum dollar net capital requirement of reporting firm and minimum net capital requirement of subsidiaries computed in accordance with Note (A) .......................................... $ 13. Net capital requirement (greater of line 11 or 12) ............................ $ 14. Excess net capital (line 10 less 13) .......................................... $ COMPUTATION OF AGGREGATE INDEBTEDNESS 15. 16. Total A.1 liabilities from Statement of Financial Condition ................... $ Add: A. Drafts for immediate credit ........................... $ Market value of securities borrowed for which B. no equivalent value is paid or credited ............... $ C. Other unrecorded amounts (List) ....................... $ 17. Deduct: Adjustment based on deposits in Special Reserve Bank Accounts Rule 260.216.12(c)(1)(G) .............................................$ 18. Total aggregate indebtedness ................................................. $ 19. Percentage of aggregate indebtedness to net capital . (line 18 .by line 10) ........................................................% . . COMPUTATION OF ALTERNATE NET CAPITAL REQUIREMENT Part B 20. 4% of combined aggregate debit items as shown in Formula for Reserve Requirements pursuant to Rule 260.216.12.1 prepared as of the date of the net capital computation including both broker-dealers and consolidated subsidiaries' debits .............................................$ 21. Minimum dollar net capital requirement of reporting brokerdealer and minimum net capital requirement of subsidiaries computed in accordance with Note (A) ..........................................$ 22. Net capital requirement (greater of line 20 or 21) .............................$ 23. Excess net capital (line 10 less 22) ..........................................$ 24. Percentage of Net Capital to Aggregate Debits (line . 10 . by line 18 page 5-Part III ......................................
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