Official Federal Forms > Securities And Exchange Commission
Form X-17A-5 Focus Report Part II (SEC1695) X-17A-5 - Official Federal Forms
| Form X-17A-5 Focus Report Part II (SEC1695) Form. This is a national form and can be used in Securities And Exchange Commission . |
|
||||||
 Get this form for FREE as a print-only pdf |
|||||||
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0123 Expires: March 31, 2016 Estimated average burden hours per response. . . . . . 12.00 Form X-17A-5 FOCUS REPORT (Financial and Operational Combined Uniform Single Report) PART II 17 19 11 (Please read instructions before preparing Form.) This report is being filed pursuant to (Check Applicable Block(s)): 1) Rule 17a-5(a) 16 2) Rule 17a-5(b) 4) Special request by designated examining authority NAME OF BROKER-DEALER 3) Rule 17a-11 5) Other SEC FILE NO. 14 FIRM I.D. NO. 13 ADDRESS OF PRINCIPAL PLACE OF BUSINESS (Do Not Use P.O. Box No.) 20 (No. and Street) 18 26 15 FOR PERIOD BEGINNING (MM/DD/YY) 24 AND ENDING (MM/DD/YY) 21 (City) (State) 22 (Zip Code) 23 25 (Area Code) -- Telephone No. NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT 30 NAMES OF SUBSIDIARIES OR AFFILIATES CONSOLIDATED IN THIS REPORT: OFFICIAL USE 31 33 35 37 39 YES 32 34 36 38 DOES RESPONDENT CARRY ITS OWN CUSTOMER ACCOUNTS? CHECK HERE IF RESPONDENT IS FILING AN AUDITIED REPORT 40 NO 41 42 EXECUTION: The registrant/broker or dealer submitting this Form and its attachments and the person(s) by whom it is executed represent hereby that all information contained therein is true, correct and complete. It is understood that all required items, statements, and schedules are considered integral parts of this Form and that the submission of any amendment represents that all unamended items, statements, and schedukes remain true, correct and complete as previously submitted. Dated the _______________________________day of _________________________ , _____ Manual signatures of: 1)____________________________________________________________________________ Principal Executive Officer or Managing Partner 2) ____________________________________________________________________________ Principal Financial Officer or Partner 3) ____________________________________________________________________________ Principal Operations Officer or Partner ATTENTION -- Intentional misstatement or omissions of facts constitute Federal Criminal Violations. (See 18 U.S.C. 1001 and 15 U.S.C. 78:f(a)) Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. SEC 1695 (07-02) 1 of 28 American LegalNet, Inc. www.FormsWorkFlow.com TO BE COMPLETED WITH THE ANNUAL AUDIT REPORT ONLY: INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report NAME (If individual, state last, first, middle name) 70 ADDRESS 71 Number and Street CHECK ONE Certified Public Accountant Public Accountant Accountant not resident in United States or any of its possessions 75 76 77 City 72 State 73 Zip Code 74 FOR SEC USE DO NOT WRITE UNDER THIS LINE . . . FOR SEC USE ONLY WORK LOCATION REPORT DATE MM/DD/YY DOC. SEQ. NO. CARD 50 51 52 53 SEC 1695 (07-02) 2 of 28 American LegalNet, Inc. www.FormsWorkFlow.com FINANCIAL AND OPERATIONAL COMBINED UNIFORM SINGLE REPORT PART II BROKER OR DEALER 1 N2 STATEMENT OF FINANCIAL CONDITION as of (MM/DD/YY) SEC FILE NO. Consolidated Unconsolidated 100 99 98 198 199 ASSETS Allowable 1. Cash ..............................................................................2 $ 2. Cash segregated in compliance with federal and other regulations ...................................................... 3. Receivable from brokers or dealers and clearing organizations: A. Failed to deliver: 1. Includable in "Formula for Reserve Requirements" ............................................. 2. Other ............................................................ B. Securities borrowed: 1. Includable in"Formula for Reserve Requirements" ............................................. 2. Other ............................................................ C. Omnibus accounts: 1. Includable in"Formula for Reserve Requirements" ............................................. 2. Other ............................................................ D. Clearing organizations: 1. Includable in"Formula for Reserve Requirements" ............................................. 2. Other ............................................................ E. Other .................................................................. Receivables from customers: A. Securities accounts: 1. Cash and fully secured accounts ................. 2. Partly secured accounts .............................. 3. Unsecured accounts .................................... B. Commodity accounts ......................................... C. Allowance for doubtful accounts ........................ Receivables from non-customers: A. Cash and fully secured accounts ........................ B. Partly secured and unsecured accounts ............. Securities purchased under agreements to resell .................................................................... Securities and spot commodities owned, at market value: A. Bankers acceptances, certificates of deposit and commercial paper ........................... B. U.S. and Candaian government obligations .......................................................... C. State and municipal government obligations .......................................................... D. Corporate obligations ......................................... 3 Non-Allowable 200 210 $ Total 750 760 220 230 770 240 250 780 260 270 790 280 290 300 $ 550 7 800 810 4. 310 320 330 ) 335 340 350 360 6 4 ( ( 560 570 580 ) 590 820 5. 600 605 830 840 6. 7. 370 380 390 400 OMIT PENNIES 5 SEC 1695 (07-02) 3 of 28 American LegalNet, Inc. www.FormsWorkFlow.com FINANCIAL AND OPERATIONAL COMBINED UNIFORM SINGLE REPORT PART II BROKER OR DEALER STATEMENT OF FINANCIAL CONDITION ASSETS Allowable E. Stocks and warrants ................................................ 9 $ F. Options .................................................................... G. Arbitrage .................................................................. H. Other securities ....................................................... I. Sport commodities .................................................. Securities owned not readily marketable: A. At Cost ..... 8 $ 130 Other investments not readily marketable: A. At Cost ..... $ 140 B. At estimated fair value ............................................. Securities borrowed under subordination agreements and partners' individual and capital securities accounts,
|
|||||||
