Form X-17A-5 Focus Report Part I (SEC1705) {X-17A-5} | Pdf Fpdf Doc Docx | Official Federal Forms

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Form X-17A-5 Focus Report Part I (SEC1705) {X-17A-5} | Pdf Fpdf Doc Docx | Official Federal Forms

Form X-17A-5 Focus Report Part I (SEC1705) {X-17A-5}

This is a Official Federal Forms form that can be used for Securities And Exchange Commission.

Alternate TextLast updated: 5/16/2016

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FORM X-17A-5 FOCUS REPORT (Financial and Operational Combined Uniform Single Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0123 Expires: May 31, 2017 Estimated average burden hours per response. . . . . .12.00 PART I (Please read instructions before preparing Form.) Name of Broker/Dealer As of (Month/Day/Year) Address of Principal Place of Business (No. and Street) (City) (State) (Zip Code) INSTRUCTIONS Schedule A ­ Routine Report 1. 2. 3. 4. Subordinated Loan Agreements -- (As Defined in Appendix D, Rule 15c3-1) -- Enter the total amount of cash obtained pursuant to subordinated loan agreements in effect at the report date. This item corresponds to the same item number in Parts II and IIA. Secured Demand Notes -- (As Defined in Appendix D, Rule 15c3-1) -- Enter the total face amount of all secured demand notes in effect at report date. This item corresponds to the same item number in Parts II and IIA. Total Subordinations Allowable for Net Capital -- (Total of lines 1 and 2) -- This item corresponds to the same item number in Parts II and IIA. Ownership Equity/Partnership Capital -- Start of Month -- Enter here the same total amount from the prior month end (corrections of prior month should be included on line 7) as reported on Part I or II. Lines 5 through 7 reflect all changes of ownership equity qualified for inclusion in net capital from the last previously filed FOCUS Report. Unconsolidated Income/Expense for the Month a. Enter the net of realized and unrealized gains (or losses) in all trading, investment and other proprietary accounts for the current reporting month. Losses should be recorded in brackets. This item corresponds to the sum of items 3950 and 3952 in Parts II and IIA. b. Report unconsolidated gross income for the current reporting month excluding realized or unrealized gains (or losses) reported under item 5(a) above. c. Enter the total unconsolidated expenses for the current reporting month. Provision for federal income taxes should not be included in this amount. d. Federal income taxes to be reported by corporations only. Net Profit (or Loss) for the Month -- Net of lines 5(a) through 5(d). Other (Exclude Non-Conforming Capital) a. Additions to Capital -- includes all additions to capital even though subsequently withdrawn before the end of the period. Capital additions which are not qualified for Net Capital should be excluded. Also include sale of capital stock or partners' contributions and income adjustments applicable to prior periods, or nonrecurring items not included in 5(a), (b) or (d). b. (Deductions) from Capital (Exclude Non-Conforming Capital) -- include contributions made and withdrawn during the period, partners' capital withdrawals, retirement or repurchase of capital stock, dividends and income adjustments applicable to prior periods, or other nonrecurring items (adjusted for any related income tax provision) not included in lines 5(c) or (d). Ownership Equity/Partnership Capital -- End of Month -- This item corresponds to the same item number in Parts II and IIA. Include here the total of lines 4, 6 and 7(a) less 7(b). Other (Deductions) or Allowable Credits -- This item allows for adjustments, both (deductions) and additions (such as deferred tax credits) not otherwise provided for in lines 4 to 8. These adjustments will generally arise as a result of the provisions of subparagraph (c)(2)(i) of Rule 15c3-1. Sole proprietors who are registered broker-dealers shall record on line 9 any deductions required by subparagraph (c)(2)(iii) of Rule 15c3-1. 5. 6. 7. 8. 9. 10. Total Capital and Allowable Subordinations -- Total (add lines 3, 8 and 9) represents the capital and subordinated liabilities which are qualified for net capital under Rule 15c3-1. This item corresponds to the same item number in Parts II and IIA. 11. Added Charges -- Customer and Non-Customer Securities and Commodity Accounts a. Securities Accounts -- The rule requires a deduction for deficiencies in customers' or non-customers' accounts in meeting the maintenance margin requirements set forth in Article Ill, Section 30, Appendix A of the Association's Rules of Fair Practice. This item corresponds to the same item number in Part II and represents charges other than amounts deducted as non-allowable assets. b. Commodity Accounts -- This item covers charges under Appendix B to Rule 15c3-1, other than amounts deducted as non-allowable assets. It corresponds to the same item number in Part II. 12. Operational Deductions from Net Capital -- Enter total of lines 1-7 of Operational Deductions from Net Capital (Schedule B, Line 8). 13. Non-Allowable Assets (Not included in lines 11 and 12) -- This total amount should also exclude the value of securities borrowed under subordination agreements not in satisfactory form and the market value of memberships in exchanges contributed for use of a company and partners' securities which are included in non-allowable assets and excluded from line 10 as nonconforming capital. Also, exclude any non-allowable amounts included on line 12 as deductions. 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. SEC1705 (4-03) 1 of 16 American LegalNet, Inc. www.FormsWorkFlow.com Schedule A ID NO. NAME OF BROKER-DEALER NAME AND TELEPHONE NO. OF PERSON COMPLETING THIS REPORT SEC FILE NO. 98 FOR MONTH ENDS 20___ (IN THOUSANDS -- $000's OMITTED) ITEM 1710 1730 3520 3501 3950 4212 4201 4221 4250 4264 4274 3500 3525 3530 3550 3560 3575 3540 3600 3612 3620 3640 3740 3750 4880 4881 1011 3840 4470 3760 3850 3851 3770 3910 3852 4430 4472 4530 7060 7180 30. 850 1620 841 1621 3551 6. 7. 1. 2. 3. 4. 5. Subordinated Loan Agreements -- Cash Secured Demand Notes -- Face Amount Total Subordinations Allowable for Net Capital Ownership Equity/Partnership Capital ­ Start of Month Unconsolidated Income/Expense for the Month: a. Trading and Investment Account Profit or (Loss) b. Other Gross Income (Loss) c. Expenses d. Federal Income Taxes Net Profit or (Loss) for the Month 0ther (Exclude Non-conforming Capital) a. Additions to Capital b. (Deductions) from Capital Ownership Equity/Partnership Capital -- End of Month Other (Deductions) or Allowable Credits Total Capital and Allowable Subordinations Added Charges -- Customer and Non-Customer a. Securities Accounts b. Commodity Accounts Operational

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