Form X-17A-5 Focus Report Form X-17A-5 Schedule 1 (SEC1675) {X-17A-5} | Pdf Fpdf Doc Docx | Official Federal Forms

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Form X-17A-5 Focus Report Form X-17A-5 Schedule 1 (SEC1675) {X-17A-5} | Pdf Fpdf Doc Docx | Official Federal Forms

Form X-17A-5 Focus Report Form X-17A-5 Schedule 1 (SEC1675) {X-17A-5}

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

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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 FOCUS REPORT FORM X-17A-5 SCHEDULE I (To be filed annually as of the end of calendar year) Contents Schedule I INFORMATION REQUIRED OF ALL BROKERS AND DEALERS PURUSANT TO RULE 17a-5 ***** __________________________________________________ Name of Respondent Persons who are to 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. American LegalNet, Inc. www.FormsWorkFlow.com SEC1675 (6-02) 1 of 7 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM X-17A-5 SCHEDULE I GENERAL INSTRUCTIONS NOTE TO RESPONDENTS: Schedule I of Form X-17A-5 is a calendar year unconsolidated report to be filed by all registrants either as a supplement to the regular fourth quarter Part II of Form X-17A-5 within seventeen business days of the end of the third quarter. Brokers or dealers which are exempt from the filing requirements of paragraphs (a)(iii) of Section 240.17a-5 are to submit, no later than 17 business days after the close of the calendar year, an annual report consisting of the Facing Page, balance sheet, and Revenue Expense Statement from Part IIA of Form and Schedule I of Form X17A-5. Schedule I requires the reporting of general information designed to measure certain economic and financial characteristics of the registrant. SPECIFIC INSTRUCTIONS 4 ­ The term "national securities exchange(s)" shall mean any exchange(s) registered under Section 6 of the Securities Exchange Act of 1934. 9a & b ­ "Equity security" shall mean any stock or similar security, or any security convertible with or without consideration, into such a security or carrying any warrant or right to subscribe to or purchase such a security. The term "public customer" shall mean any person from whom or on whose behalf a broker or dealer has received or acquired or holds funds or securities for the account of such person, but shall not include a broker or dealer, or a general, special or limited partner or director or officer of the broker or dealer, or any person to the extent that such person has a claim for property or funds which by contract, agreement or understanding, or by operation of law is part of the capital of the broker or dealer or is subordinated to the claims of creditors of the broker or dealer Omnibus accounts carried for other brokers or dealers shall not be included in the count of public customer accounts (Item 9a) but shall be included under Item 9b. Only active public customer accounts will be included in the public customer account total. For an accountant to be considered "active" it must have a non-zero cash or securities balance at the end of the reporting period. Omnibus accounts carried for other brokers at the end of the reporting period are to be included in Omnibus account total. 11 ­ Indicate with "1" the methods by which respondent clears its public customer accounts. If respondent has no customers, as defined in 9a and 9b above, respondent is to place a "1" in the "not applicable" box. If respondent principally clears its public customer transactions through other than a broker-dealer, place a "1" in the "other" box. 12 ­ Exchange membership is to include associate and limited memberships as well as regular memberships. See Item 4 description for definition of "exchange." 13a & b ­ Report only full time (full time is defined as anyone who works 40 hours or more per week for respondent) personnel employed by respondent as of the last business day of the year. A full time registered representative is any person who works a minimum of 30 hours per week and spends a minimum of 50 percent of his time engaged in effecting transactions with public customers on behalf of the respondent. The number of employees and registered representatives is "as of " the last business day of the year. American LegalNet, Inc. www.FormsWorkFlow.com 2 of 7 16a & b ­ These items are to be completed only by carrying or clearing firms required to file Part II of Form X-17A5. Report the total number of public customer transactions executed on a national securities exchange. If basis of count is an actual count, place a "1" in "actual" box. If statistical method is used, place a "1" in "estimate" box. A transaction is defined as an executed trade which results in a customer trade confirmation. Therefore, the count of transactions should be taken from the customer side and should not include confirmation corrections. For count purposes, several executions at the same price, which result in one confirmation, should be counted as one transaction. For investment company securities transactions in which cash or securities are handled by respondent (exclude transactions by others, such as voluntary or period payment plans), a count of trade confirmations should be used to obtain the transaction count. The street and customer side are counted as one transaction. For underwriting transactions, the takedown should be counted as one transaction and the ultimate sale to customers should be counted based on customers' confirmations (e.g., an underwriting of 2,000 shares is ultimately sold to five customers-takedown of 2,000 shares counts as one trade and the sale to five customers counts as five trades.) For commodity transactions, purchase or sale of contracts are to be counted as one transaction and each subsequent closeout is to be counted as one transaction [e.g., five contracts of a commodity purchased in one trade (same price and on the same day) is one transaction, subsequent sale is five separate contracts (different day or price for each is five additional transactions)]. Do not include clearing house side in count. For option transactions, the purchase of an option contract represents a transaction. For commercial paper transactions, both the purchase and sale should be counted as separate transactions. Count may be taken from confirmation or acknowledgement tickets. Items which are not strictly principal trades, such as private placement sales should be included. Repurchase agreement sales and returns should also be included in count. Corrections shall be excluded from the transaction count. However, an error transaction, that is a transaction where the wrong security was purchased and the correct security

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