Form X-17A-5 

FOCUS 

Report

Part II

Cover Page

UNITED STATES SECURITIES AND EXCHANGE COMMISSION

FOCUS REPORT (FINANCIAL AND OPERATIONAL COMBINED UNIFORM SINGLE REPORT)

Part II 11

OMB APPROVAL

OMB Number: 3235-0123, 

3235-0749 Expires: 11/30/2026

(3235-0123), 7/31/2024 (3235-0749) 

Estimated average burden hours per

response: 12.00 (3235-0123), 16.00 

(3235-0749)

(Please read instructions before preparing Form)

Name of Firm: _____________________________________

As of: ____________________________________________

1

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.

This report is being filed by a/an: 

1) Broker-dealer not registered as an SBSD or MSBSP

(stand-alone broker-dealer) .............................................................................................................................................. 12000

2) Broker-dealer registered as an SBSD (broker-dealer SBSD) ........................................................................................... 12001

3) Broker-dealer registered as an MSBSP (broker-dealer MSBSP) ..................................................................................... 12002

4) SBSD without a prudential regulator and not registered as a broker-dealer (stand-alone SBSD)................................... 12003 

5) MSBSP without a prudential regulator and not registered as a broker-dealer (stand-alone MSBSP) ............................. 12004 

Check here if respondent is an OTC derivatives dealer ................................................................................................... 12005

This report is being filed by a: Firm authorized to use models 12006 U.S. person 12007 Non- U.S. person 12008 

This report is being filed pursuant to (check applicable block(s)): 

1) Rule 17a-5(a) .................................................................................................................................................................... 16

2) Rule 17a-5(b) .................................................................................................................................................................... 17

3) Special request by DEA or the Commission..................................................................................................................... 19

4) Rule 18a-7......................................................................................................................................................................... 12999 

5) Other (explain: _____________________________________________)...................................................................... 26

NAME OF REPORTING ENTITY

____________________________________________________________________________________ 13

SEC FILE NO.

________________________________ 14

ADDRESS OF PRINCIPAL PLACE OF BUSINESS (Do not use P.O. Box No.)

____________________________________________________________________________________ 20

(No. and Street)

FIRM ID NO.

________________________________ 15

FOR PERIOD BEGINNING (MM/DD/YY)

_______________________________________ 21 __________ 22 __________________________ 23

 (City) (State/Province) (Zip Code)

________________________________ 24

AND ENDING (MM/DD/YY)

______________________________________________________ 12009

 (Country)

________________________________ 25

NAME OF PERSON TO CONTACT IN REGARD TO THIS REPORT EMAIL ADDRESS

____________________________________________________ 30 _________________________ 12010

(AREA CODE) TELEPHONE NO.

________________________________ 31

NAME(S) OF SUBSIDIARIES OR AFFILIATES CONSOLIDATED IN THIS REPORT

____________________________________________________________________________________ 32

OFFICIAL USE

________________________________ 33

____________________________________________________________________________________ 34 ________________________________ 35

____________________________________________________________________________________ 36 ________________________________ 37

____________________________________________________________________________________ 38 ________________________________ 39

Is this report consolidated or unconsolidated? .............................................................................................. Consolidated 198 Unconsolidated 199

Does respondent carry its own customer or security-based swap customer accounts?............................................ Yes 40 No 41

Check here if respondent is filing an audited report .......................................................................................................................................................... 42

EXECUTION: The registrant 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 schedules remain true, correct and complete as previously submitted. 

Dated the ______________________ day of ____________________, 2_____.

Signatures of: Names of:

1) __________________________________________________________ ____________________________________________________ 12011

Principal Executive Officer or Comparable Officer Principal Executive Officer or Comparable Officer

2) __________________________________________________________ ____________________________________________________ 12012

Principal Financial Officer or Comparable Officer Principal Financial Officer or Comparable Officer

3) __________________________________________________________ ____________________________________________________ 12013

Principal Operations Officer or Comparable Officer Principal Operations Officer or Comparable Officer

ATTENTION: Intentional misstatements and/or omissions of facts constitute federal criminal violations. (See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).) 
FOCUS 

Report 

Part II

STATEMENT OF FINANCIAL CONDITION

Items on this page to be reported by a: Stand-Alone Broker-Dealer

Stand-Alone SBSD

Broker-Dealer SBSD 

Stand-Alone MSBSP 

Broker-Dealer MSBSP 

Name of Firm: _____________________________________

As of: ____________________________________________

2

ASSETS

Assets Allowable Non-Allowable Total

1. Cash.................................................................................................. $ ___________________ 200 $ ___________________ 12014 $ ___________________ 750

2. Cash segregated in compliance with federal 

and other regulations........................................................................ $ ___________________ 210 $ ___________________ 760

3. Receivables from brokers/dealers and clearing organizations 

A. Failed to deliver

1. Includible in segregation requirement under

17 CFR 240.15c3-3 and its appendices or 

17 CFR 240.18a-4 and 18a-4a............................................... $ ___________________ 220

2. Other................................................................................... $ ___________________ 230 $ ___________________ 770

B. Securities borrowed

1. Includible in segregation requirement under

17 CFR 240.15c3-3 and its appendices or 

17 CFR 240.18a-4 and 18a-4a............................................... $ ___________________ 240

2. Other................................................................................... $ ___________________ 250 $ ___________________ 780

C. Omnibus accounts 

1. Includible in segregation requirement under

17 CFR 240.15c3-3 and its appendices or 

17 CFR 240.18a-4 and 18a-4a............................................... $ ___________________ 260

2. Other................................................................................... $ ___________________ 270 $ ___________________ 790

D. Clearing organizations 

1. Includible in segregation requirement under

17 CFR 240.15c3-3 and its appendices or 

17 CFR 240.18a-4 and 18a-4a, or the CEA........................... $ ___________________ 280

2. Other................................................................................... $ ___________________ 290 $ ___________________ 800

E. Other ......................................................................................... $ ___________________ 300 $ ___________________ 550 $ ___________________ 810 

4. Receivables from customers

A. Securities accounts 

1. Cash and fully secured accounts....................................... $ ___________________ 310

2. Partly secured accounts .................................................... $ ___________________ 320 $ ___________________ 560

3. Unsecured accounts .......................................................... $ ___________________ 570

B. Commodity accounts.................................................................. $ ___________________ 330 $ ___________________ 580

C. Allowance for doubtful accounts................................................ $ (___________________) 335 $ (___________________) 590 $ ___________________ 820

5. Receivables from non-customers 

A. Cash and fully secured accounts.............................................. $ ___________________ 340

B. Partly secured and unsecured accounts .................................. $ ___________________ 350 $ ___________________ 600 $ ___________________ 830

6. Excess cash collateral pledged on derivative transactions.............. $ ___________________ 12015 $ ___________________ 12016 $ ___________________ 12017

7. Securities purchased under agreements to resell............................ $ ___________________ 360 $ ___________________ 605 $ ___________________ 840

8. Trade date receivable ....................................................................... $ ___________________ 292 $ ___________________ 802

9. Total net securities, commodities, and swaps positions................... $ ___________________ 12019 $ ___________________ 12022 $ ___________________ 12024

10. Securities borrowed under subordination agreements and partners’ 

individual and capital securities accounts, at market value

A. Exempted securities.............. $ ________________ 150

B. Other ..................................... $ ________________ 160 $ ___________________ 460 $ __________________ 630 $ ___________________ 880

11. Secured demand notes – market value of collateral

A. Exempted securities.............. $ ________________ 170

B. Other ..................................... $ ________________ 180 $ ___________________ 470 $ __________________ 640 $ __________________ 890
FOCUS 

Report 

Part II

STATEMENT OF FINANCIAL CONDITION

Items on this page to be reported by a: Stand-Alone Broker-Dealer

Stand-Alone SBSD

Broker-Dealer SBSD 

Stand-Alone MSBSP 

Broker-Dealer MSBSP 

Name of Firm: _____________________________________

As of: ____________________________________________

3

Assets Allowable Non-Allowable Total

12. Memberships in exchanges

A. Owned, at market value........ $ ________________ 190

B. Owned at cost ........................................................................... $ __________________ 650

C. Contributed for use of company, at market value..................... $ __________________ 660 $ __________________ 900

13. Investment in and receivables from affiliates, subsidiaries and

associated partnerships................................................................... $ ___________________ 480 $ __________________ 670 $ __________________ 910

14. Property, furniture, equipment, leasehold improvements 

and rights under lease agreements

At cost (net of accumulated depreciation and amortization) ........... $ ___________________ 490 $ __________________ 680 $ __________________ 920

15. Other assets

A. Dividends and interest receivable ............................................... $ ___________________ 500 $ __________________ 690

B. Free shipments............................................................................ $ ___________________ 510 $ __________________ 700

C. Loans and advances ................................................................... $ ___________________ 520 $ __________________ 710

D. Miscellaneous.............................................................................. $ ___________________ 530 $ __________________ 720

E. Collateral accepted under ASC 860............................................ $ ___________________ 536

F. SPE Assets.................................................................................. $ ___________________ 537 $ __________________ 930

16. TOTAL ASSETS.............................................................................. $ ___________________ 540 $ __________________ 740 $ __________________ 940

Note: Stand-alone MSBSPs should only complete the Allowable and Total columns.
FOCUS 

Report 

Part II

STATEMENT OF FINANCIAL CONDITION

Items on this page to be reported by a: Stand-Alone Broker-Dealer

Stand-Alone SBSD

Broker-Dealer SBSD 

Stand-Alone MSBSP 

Broker-Dealer MSBSP 

Name of Firm: _____________________________________

As of: ____________________________________________

4

LIABILITIES AND OWNERSHIP EQUITY

Liabilities A.I. Liabilities Non-A.I. Liabilities Total

17. Bank loans payable

 A. Includible in segregation requirement under 

17 CFR 240.15c3-3 and its appendices or 

17 CFR 240.18a-4 and 18a-4a, or the CEA .....................................................................$ _______________ 1030 $ ______________ 1240 $ _________________ 1460

B. Other............................................................................................................................ $ _______________ 1040 $ ______________ 1250 $ _________________ 1470

18. Securities sold under repurchase agreements ................................................................ $ ______________ 1260 $ _________________ 1480

19. Payable to brokers/dealers and clearing organizations 

A. Failed to receive

1. Includible in segregation requirement under 

17 CFR 240.15c3-3 and its appendices or 

17 CFR 240.18a-4 and 18a-4a................................................................................ $ _______________ 1050 $ ______________ 1270 $ _________________ 1490

2. Other ........................................................................................................... $ _______________ 1060 $ ______________ 1280 $ _________________ 1500

B. Securities loaned

1. Includible in segregation requirement under 

17 CFR 240.15c3-3 and its appendices or 

17 CFR 240.18a-4 and 18a-4a................................................................................ $ _______________ 1070 $ _________________ 1510

2. Other ........................................................................................................... $ _______________ 1080 $ ______________ 1290 $ _________________ 1520

C. Omnibus accounts

1. Includible in segregation requirement under 

17 CFR 240.15c3-3 and its appendices or 

17 CFR 240.18a-4 and 18a-4a................................................................................ $ _______________ 1090 $ _________________ 1530

2. Other ........................................................................................................... $ _______________ 1095 $ ______________ 1300 $ _________________ 1540

D. Clearing organizations

1. Includible in segregation requirement under 

17 CFR 240.15c3-3 and its appendices or 

17 CFR 240.18a-4 and 18a-4a, or the CEA............................................................ $ _______________ 1100 $ _________________ 1550

2. Other................................................................................................................... $ _______________ 1105 $ ______________ 1310 $ _________________ 1560

E. Other........................................................................................................................... $ _______________ 1110 $ ______________ 1320 $ _________________ 1570

20. Payable to customers

A. Securities accounts – including free credits of.........$ _________________ 950 $ ________________ 1120 $ _________________ 1580

B. Commodities accounts ............................................................................................... $ _______________ 1130 $ ______________ 1330 $ _________________ 1590

21. Payable to non-customers

A. Securities accounts .................................................................................................... $ _______________ 1140 $ ______________ 1340 $ _________________ 1600

B. Commodities accounts ............................................................................................... $ _______________ 1150 $ ______________ 1350 $ _________________ 1610

22. Excess cash collateral received on derivative transactions............................................. $ ________________ 12025 $ ______________ 12026 $ _________________ 12027

23. Trade date payable........................................................................................................... $ _______________ 12031 $ ______________ 12037 $ _________________ 1562

24. Total net securities, commodities, and swaps positions.................................................. $ ________________ 12032 $ ______________ 12038 $ _________________ 12044

25. Accounts payable and accrued liabilities and expenses

A. Drafts payable............................................................................................................. $ _______________ 1160 $ _________________ 1630

B. Accounts payable ....................................................................................................... $ _______________ 1170 $ _________________ 1640

C. Income taxes payable................................................................................................. $ _______________ 1180 $ _________________ 1650

D. Deferred income taxes ............................................................................................... $ ______________ 1370 $ _________________ 1660

E. Accrued expenses and other liabilities....................................................................... $ _______________ 1190 $ _________________ 1670

F. Other ........................................................................................................................... $ _______________ 1200 $ ______________ 1380 $ _________________ 1680

G. Obligation to return securities .................................................................................... $ _______________ 12033 $ ______________ 1386 $ _________________ 1686

H. SPE liabilities.............................................................................................................. $ _______________ 12045 $ ______________ 1387 $ _________________ 1687
FOCUS 

Report 

Part II

STATEMENT OF FINANCIAL CONDITION

Items on this page to be reported by a: Stand-Alone Broker-Dealer

Stand-Alone SBSD

Broker-Dealer SBSD 

Stand-Alone MSBSP 

Broker-Dealer MSBSP 

Name of Firm: _____________________________________

As of: ____________________________________________

5

Liabilities A.I. Liabilities Non-A.I. Liabilities Total

26. Notes and mortgages payable 

A. Unsecured................................................................................................................... $ _______________ 1210 $ _________________ 1690

B. Secured....................................................................................................................... $ _______________ 1211 $ ______________ 1390 $ _________________ 1700

27. Liabilities subordinated to claims of creditors

A. Cash borrowings......................................................................................................... $ ______________ 1400 $ _________________ 1710

1. From outsiders ................................................. $_________________ 970

2. Includes equity subordination (Rule 15c3-1(d) or Rule 18a-1(g)) 

of....................................................................... $_________________ 980

B. Securities borrowings, at market value ...................................................................... $ ______________ 1410 $ _________________ 1720

1. From outsiders ................................................. $_________________ 990

C. Pursuant to secured demand note collateral agreements ......................................... $ ______________ 1420 $ _________________ 1730

1. From outsiders ................................................. $_________________ 1000

2. Includes equity subordination (Rule 15c3-1(d) or Rule 18a-1(g)) 

of....................................................................... $_________________ 1010

D. Exchange memberships contributed for use of company, at market value............... $ ______________ 1430 $ _________________ 1740

E. Accounts and other borrowings not qualified for net capital purposes ...................... $ _______________ 1220 $ ______________ 1440 $ _________________ 1750

28. TOTAL LIABILITIES....................................................................................................... $ _______________ 1230 $ ______________ 1450 $ _________________ 1760

Ownership Equity

29. Sole proprietorship ............................................................................................................................................................................................................ $ _________________ 1770

30. Partnership and limited liability company – including limited partners/members ...........$ _______________ 1020 $ _________________ 1780

31. Corporation 

A. Preferred stock .......................................................................................................................................................... $ ______________ 1791

B. Common stock........................................................................................................................................................... $ ______________ 1792

C. Additional paid-in capital ........................................................................................................................................... $ ______________ 1793

D. Retained earnings ..................................................................................................................................................... $ ______________ 1794

E. Accumulated other comprehensive income .............................................................................................................. $ ______________ 1797

F. Total ............................................................................................................................................................................................................................. $ _________________ 1795

G. Less capital stock in treasury...................................................................................................................................................................................... $(__________________ ) 1796

32. TOTAL OWNERSHIP EQUITY (sum of Line Items 1770, 1780, 1795, and 1796).......................................................................................................... $ _________________ 1800

33. TOTAL LIABILITIES AND OWNERSHIP EQUITY (sum of Line Items 1760 and 1800) ................................................................................................ $ _________________ 1810
FOCUS 

Report 

Part II

COMPUTATION OF NET CAPITAL (FILER AUTHORIZED TO USE MODELS)

Items on this page to be reported by a: Stand-Alone Broker-Dealer (Authorized to use models)

Stand-Alone SBSD (Authorized to use models)

Broker-Dealer SBSD (Authorized to use models) 

Broker-Dealer MSBSP (Authorized to use models) 

Name of Firm: _____________________________________

As of: ____________________________________________

6

Computation of Net Capital

1. Total ownership equity from Item 1800 ............................................................................................................................................................................ $ __________________ 3480

2. Deduct ownership equity not allowable for net capital..................................................................................................................................................... $(__________________) 3490

3. Total ownership equity qualified for net capital................................................................................................................................................................ $ __________________ 3500

4. Add:

A. Liabilities subordinated to claims of creditors allowable in computation of net capital............................................................................................... $ __________________ 3520

B. Other (deductions) or allowable credits (list)............................................................................................................................................................... $ __________________ 3525

5. Total capital and allowable subordinated liabilities .......................................................................................................................................................... $ __________________ 3530

6. Deductions and/or charges

A. Total nonallowable assets from Statement of Financial Condition..................................................................... $ __________________ 3540

1. Additional charges for customers’ and non-customers’ security accounts .................................................... $ __________________ 3550

2. Additional charges for customers’ and non-customers’ commodity accounts............................................... $ __________________ 3560

3. Additional charges for customers’ and non-customers’ security-based swap accounts ............................... $ __________________ 12047

4. Additional charges for customers’ and non-customers’ swap accounts........................................................ $ __________________ 12048

B. Aged fail-to-deliver.............................................................................................................................................. $ __________________ 3570

1. Number of items .......................................................................................... __________________ 3450

C. Aged short security differences – less

reserve of......................................................................................................... __________________ 3460 $ __________________ 3580

number of items ............................................................................................... __________________ 3470

D. Secured demand note deficiency ....................................................................................................................... $ __________________ 3590

E. Commodity futures contracts and spot commodities – proprietary capital charges........................................... $ __________________ 3600

F. Other deductions and/or charges....................................................................................................................... $ __________________ 3610

G. Deductions for accounts carried under Rules 15c3-1(a)(6) and (c)(2)(x) .......................................................... $ __________________ 3615

H. Total deductions and/or charges (sum of Lines 6A-6G)............................................................................................................................................. $(__________________) 3620

7. Other additions and/or allowable credits (list) .................................................................................................................................................................. $ __________________ 3630

8. Tentative net capital.......................................................................................................................................................................................................... $ __________________ 3640

9. Market risk exposure – for VaR firms (sum of Lines 9E, 9F, 9G, and 9H) $ __________________ 3677

A. Total value at risk (sum of Lines 9A1-9A5)......................................................................................................... $ __________________ 3634

Value at risk components

1. Fixed income VaR...................................................................................... $ __________________ 3636

2. Currency VaR............................................................................................. $ __________________ 3637

3. Commodities VaR...................................................................................... $ __________________ 3638

4. Equities VaR .............................................................................................. $ __________________ 3639

5. Credit derivatives VaR............................................................................... $ __________________ 3641

B. Diversification benefit.......................................................................................................................................... $ (_________________) 3642

C. Total diversified VaR (sum of Lines 9A and 9B)................................................................................................. $ __________________ 3643

D. Multiplication factor............................................................................................................................................. $ __________________ 3645

E. Subtotal (Line 9C multiplied by Line 9D) ............................................................................................................ $ __________________ 3655

F. Deduction for specific risk, unless included in Lines 9A-9E above ..................................................................... $ __________________ 3646
FOCUS 

Report 

Part II

COMPUTATION OF NET CAPITAL (FILER AUTHORIZED TO USE MODELS)

Items on this page to be reported by a: Stand-Alone Broker-Dealer (Authorized to use models)

Stand-Alone SBSD (Authorized to use models)

Broker-Dealer SBSD (Authorized to use models) 

Broker-Dealer MSBSP (Authorized to use models) 

Name of Firm: _____________________________________

As of: ____________________________________________

7

G. Risk deduction using scenario analysis (sum of Lines 9G1-9G5) ...................................................................... $ __________________ 3647

1. Fixed income............................................................................................... $ __________________ 3648

2. Currency ..................................................................................................... $ __________________ 3649

3. Commodities............................................................................................... $ __________________ 3651

4. Equities ....................................................................................................... $ __________________ 3652

5. Credit derivatives........................................................................................ $ __________________ 3653

H. Residual marketable securities (see Rule 15c3-1(c)(2)(vi) or 18a-1(c)(1)(vii), as applicable)............................ $ __________________ 3665

10. Market risk exposure – for Basel 2.5 firms (sum of Lines 10E, 10H, 10I, 10J, 10K, 10L, 10M, 10N, and 10O) $ __________________ 12776

A. Total value at risk (sum of Lines 10A1-10A5)..................................................................................................... $ __________________ 12762

Value at risk components

1. Fixed income VaR...................................................................................... $ __________________ 12758

2. Currency VaR............................................................................................. $ __________________ 12759

3. Commodities VaR...................................................................................... $ __________________ 12760

4. Equities VaR .............................................................................................. $ __________________ 12761

5. Credit derivatives VaR............................................................................... $ __________________ 12029

B. Diversification benefit.......................................................................................................................................... $ (_________________) 12763

C. Total diversified VaR (sum of Line 10A and 10B) .............................................................................................. $ __________________ 12030

D. Multiplication factor............................................................................................................................................. $ __________________ 12764

E. Subtotal (Line 10C is multiplied by Line 10D)..................................................................................................... $ __________________ 12765

F. Total stressed VaR (SVaR).................................................................................................................................. $ __________________ 12766

G. Multiplication factor.............................................................................................................................................. $ __________________ 12767

H. Subtotal (Line 10F multiplied by Line 10G) ......................................................................................................... $ __________________ 12768

I. Incremental risk charge (IRC) .............................................................................................................................. $ (_________________) 12769

J. Comprehensive risk measure (CRM).................................................................................................................. $ __________________ 12770

K. Specific risk – standard specific market risk (SSMR)......................................................................................... $ __________________ 12771

L. Specific risk – securitization (SFA / SSFA).......................................................................................................... $ __________________ 12772

M. Alternative method for equities under Appendix A to Rule 15c3-1 or Rule 18a-1a, as applicable...................... $ __________________ 12773

N. Residual positions................................................................................................................................................ $ __________________ 12774

O. Other.................................................................................................................................................................... $ __________________ 12775

11. Credit risk exposure for certain counterparties (see Appendix E to Rule 15c3-1 or Rule 18a-1(e)(2), as applicable)

A. Counterparty exposure charge (add Lines 11A1 and 11A2)...................................................................................................................................... $ __________________ 3676

1. Net replacement value default, bankruptcy ................................................................................................. $ __________________ 12049

2. Credit equivalent amount exposure to the counterparty multiplied by the credit-risk weight of the 

counterparty multiplied by 8%..................................................................................................................... $ __________________ 12050

B. Concentration charge.................................................................................................................................................................................................. $ __________________ 3659

1. Credit risk weight ≤20% .......................................................................................................... $ __________________ 3656

2. Credit risk weight >20% and ≤50% ........................................................................................... $ __________________ 3657

3. Credit risk weight >50%............................................................................................................................... $ __________________ 3658

C. Portfolio concentration charge.................................................................................................................................................................................... $ __________________ 3678

12. Total credit risk exposure (add Lines11A, 11B and 11C) ............................................................................................................................................... $ __________________ 3688

13. Net capital(for VaR firms, subtract Lines 9 and 12 from Line 8) (for Basel 2.5 firms, subtract Lines 10 and 12 from Line 8)...................................... $ __________________ 3750
FOCUS 

Report 

Part II

COMPUTATION OF NET CAPITAL (FILER NOT AUTHORIZED TO USE MODELS)

Items on this page to be reported by a: Stand-Alone Broker-Dealer (Not Authorized to use models)

Stand-Alone SBSD (Not Authorized to use models)

Broker-Dealer SBSD (Not Authorized to use models) 

Broker-Dealer MSBSP (Not Authorized to use models) 

Name of Firm: _____________________________________

As of: ____________________________________________

8

Computation of Net Capital

1. Total ownership equity from Item 1800 ............................................................................................................................................................................ $ __________________ 3480

2. Deduct ownership equity not allowable for net capital..................................................................................................................................................... $ (__________________) 3490

3. Total ownership equity qualified for net capital................................................................................................................................................................ $ __________________ 3500

4. Add:

A. Liabilities subordinated to claims of creditors allowable in computation of net capital............................................................................................... $ __________________ 3520

B. Other (deductions) or allowable credits (list)............................................................................................................................................................... $ __________________ 3525

5. Total capital and allowable subordinated liabilities .......................................................................................................................................................... $ __________________ 3530

6. Deductions and/or charges

A. Total nonallowable assets from Statement of Financial Condition..................................................................... $ __________________ 3540

1. Additional charges for customers’ and non-customers’ security accounts.................................................... $ __________________ 3550

2. Additional charges for customers’ and non-customers’ commodity accounts............................................... $ __________________ 3560

3. Additional charges for customers’ and non-customers’ security-based swap accounts ............................... $ __________________ 12051

4. Additional charges for customers’ and non-customers’ swap accounts........................................................ $ __________________ 12052

B. Aged fail-to-deliver.............................................................................................................................................. $ __________________ 3570

1. Number of items .............................................................................................. __________________ 3450

C. Aged short security differences-less reserve of .................................................. $__________________ 3460 $ __________________ 3580

1. Number of items .............................................................................................. __________________ 3470

D. Secured demand note deficiency ....................................................................................................................... $ __________________ 3590

E. Commodity futures contracts and spot commodities – proprietary capital charges........................................... $ __________________ 3600

F. Other deductions and/or charges........................................................................................................................ $ __________________ 3610

G. Deductions for accounts carried under Rule 15c3-1(a)(6) and (c)(2)(x)............................................................ $ __________________ 3615

H. Total deductions and/or charges $ (__________________) 3620

7. Other additions and/or allowable credits .......................................................................................................................................................................... $ __________________ 3630

8. Tentative net capital (net capital before haircuts) ............................................................................................................................................................ $ __________________ 3640

9. Haircuts on securities other than security-based swaps

A. Contractual securities commitments................................................................................................................... $ __________________ 3660

B. Subordinated securities borrowings.................................................................................................................... $ __________________ 3670

C. Trading and investment securities 

1. Bankers’ acceptances, certificates of deposit, commercial paper, and money market instruments............. $ __________________ 3680

2. U.S. and Canadian government obligations................................................................................................... $ __________________ 3690

3. State and municipal government obligations ................................................................................................. $ __________________ 3700

4. Corporate obligations...................................................................................................................................... $ __________________ 3710

5. Stocks and warrants ....................................................................................................................................... $ __________________ 3720

6. Options............................................................................................................................................................ $ __________________ 3730

7. Arbitrage ......................................................................................................................................................... $ __________________ 3732

8. Risk-based haircuts computed under 17 CFR 240.15c3-1a or 17 CFR 240.18a-1a..................................... $ __________________ 12028

9. Other securities............................................................................................................................................... $ __________________ 3734

D. Undue concentration........................................................................................................................................... $ __________________ 3650

E. Other (List: _______________________________________________________)......................................... $ __________________ 3736

10. Haircuts on security-based swaps........................................................................................................................... $ __________________ 12053

11. Haircuts on swaps ................................................................................................................................................... $ __________________ 12054

12. Total haircuts (sum of Lines 9A-9E, 10, and 11)............................................................................................................................................................. $ __________________ 3740

13. Net capital (Line 8 minus Line 12)................................................................................................................................................................................... $ __________________ 3750
FOCUS 

Report 

Part II

COMPUTATION OF MINIMUM REGULATORY CAPITAL REQUIREMENTS 

Items on this page to be reported by a: Stand-Alone Broker-Dealer

Broker-Dealer SBSD (other than OTC Derivatives Dealer)

Broker-Dealer MSBSP

Name of Firm: _____________________________________

As of: ____________________________________________

9

Calculation of Excess Tentative Net Capital (If Applicable)

1. Tentative net capital ............................................................................................................................................................................................. $ __________________________ 3640

2. Minimum tentative net capital requirement .......................................................................................................................................................... $ __________________________ 12055

3. Excess tentative net capital (difference between Lines 1 and 2)......................................................................................................................... $ __________________________ 12056

4. Tentative net capital in excess of 120% of minimum tentative net capital requirement reported on Line 2 ........................................................ $ __________________________ 12057

Calculation of Minimum Net Capital Requirement

5. Ratio minimum net capital requirement

A. 62/3% of total aggregate indebtedness (Line Item 3840)................................................................................................................................ $ __________________________ 3756

B. 2% of aggregate debit items as shown in the Formula for Reserve Requirements pursuant to Rule 15c3-3............................................... $ __________________________ 3870

i. Minimum CFTC net capital requirement (if applicable)................................................................ $ __________________________ 7490

C. Percentage of risk margin amount computed under 17 CFR 240.15c3-1(a)(7)(i) or (a)(10)...................................................................... $ __________________________ 12058

D. For broker-dealers engaged in reverse repurchase agreements, 10% of the amounts in 17 CFR 240.15c3-1(a)(9)(i)-(iii) ......................... $ __________________________ 12059

E. Minimum ratio requirement (sum of Lines 5A, 5B, 5C, and/or 5D, as applicable)......................................................................................... $ __________________________ 12060

6. Fixed-dollar minimum net capital requirement..................................................................................................................................................... $ __________________________ 3880

7. Minimum net capital requirement (greater of Lines 5E and 6)............................................................................................................................. $ __________________________ 3760

8. Excess net capital (Item 3750 minus Item 3760)................................................................................................................................................. $ __________________________ 3910

9. Net capital and tentative net capital in relation to early warning thresholds

A. Net capital in excess of 120% of minimum net capital requirement reported on Line 7 ................................................................................. $ __________________________ 12061

B. Net capital in excess of 5% of combined aggregate debit items as shown in the Formula for Reserve Requirements 

pursuant to Rule 15c3-3 .................................................................................................................................................................................. $ __________________________ 3920

Computation of Aggregate Indebtedness (If Applicable)

10. Total aggregate indebtedness liabilities from Statement of Financial Condition (Item 1230) ........................................................................... $ __________________________ 3790

11. Add:

A. Drafts for immediate credit.......................................................................................................... $ __________________________ 3800

B. Market value of securities borrowed for which no equivalent value is paid or credited ............. $ __________________________ 3810

C. Other unrecorded amounts (list)................................................................................................. $ __________________________ 3820

D. Total additions (sum of Line Items 3800, 3810, and 3820)............................................................................................................................ $ __________________________ 3830

12. Deduct: Adjustment based on deposits in Special Reserve Bank Accounts (see Rule 15c3-1(c)(1)(vii)) ......................................................... $ __________________________ 3838

13. Total aggregate indebtedness (sum of Line Items 3790 and 3830)................................................................................................................... $ __________________________ 3840

14. Percentage of aggregate indebtedness to net capital (Item 3840 divided by Item 3750).................................................................................. %__________________________ 3850

15. Percentage of aggregate indebtedness to net capital after anticipated capital withdrawals (Item 3840 divided by Item 3750

less Item 4880).................................................................................................................................................................................................... %__________________________ 3853

Calculation of Other Ratios

16. Percentage of net capital to aggregate debits (Item 3750 divided by Item 4470)..............................................................................................% __________________________ 3851

17. Percentage of net capital, after anticipated capital withdrawals, to aggregate debits (Item 3750 less Item 4880, 

divided by Item 4470).......................................................................................................................................................................................... $ __________________________ 3854

18. Percentage of debt to debt-to-equity total, computed in accordance with Rule 15c3-1(d)................................................................................. %__________________________ 3860

19. Options deductions/net capital ratio (1000% test) total deductions exclusive of liquidating equity under Rule 15c3-1(a)(6) 

and (c)(2)(x) divided by net capital...................................................................................................................................................................... $ __________________________ 3852
FOCUS 

Report 

Part II

COMPUTATION OF MINIMUM REGULATORY CAPITAL REQUIREMENTS 

Items on this page to be reported by a: Stand-Alone SBSD

SBSD registered as an OTC Derivatives Dealer

Name of Firm: _____________________________________

As of: ____________________________________________

10

Calculation of Excess Tentative Net Capital (If Applicable)

1. Tentative net capital ............................................................................................................................................................................................. $ __________________________ 3640

2. Fixed-dollar minimum tentative net capital requirement ...................................................................................................................................... $ __________________________ 12062

3. Excess tentative net capital (difference between Lines 1 and 2)......................................................................................................................... $ __________________________ 12063

4. Tentative net capital in excess of 120% of minimum tentative net capital requirements reported on Line 2....................................................... $ __________________________ 12064

Calculation of Minimum Net Capital Requirement

5. Ratio minimum net capital requirement – Percentage of risk margin amount computed under 17 CFR 240.18a-1(a)(1)................................. $ __________________________ 12065

6. Fixed-dollar minimum net capital requirement..................................................................................................................................................... $ __________________________ 3880

7. Minimum net capital requirement (greater of Lines 5 and 6)............................................................................................................................... $ __________________________ 3760

8. Excess net capital (Item 3750 minus Item 3760)................................................................................................................................................. $ __________________________ 3910

9. Net capital in excess of 120% of minimum net capital requirement reported on Line 7 (Line Item 3750 – [Line Item 3760 x 120%])............... $ __________________________ 12066
FOCUS 

Report 

Part II

COMPUTATION OF TANGIBLE NET WORTH

Items on this page to be reported by a: Stand-Alone MSBSP 

Name of Firm: _____________________________________

As of: ____________________________________________

11

1. Total ownership equity (from Item 1800).............................................................................................................................................................. $ __________________________ 1800

2. Goodwill and other intangible assets ................................................................................................................................................................... $ __________________________ 12067

3. Tangible net worth (Line 1 minus Line 2)............................................................................................................................................................. $ __________________________ 12068
FOCUS 

Report

Part II

STATEMENT OF INCOME (LOSS) OR STATEMENT OF COMPREHENSIVE INCOME, AS APPLICABLE

Items on this page to be reported by a: Stand-Alone Broker-Dealer

Stand-Alone SBSD

Broker-Dealer SBSD 

Stand-Alone MSBSP 

Broker-Dealer MSBSP 

Name of Firm: _____________________________________

As of: ____________________________________________

12

For the period (MMDDYY from _______ 3932 to _______ 3933 Number of months included in this statement _______ 3931

REVENUE

1. Commissions

A. Commissions on transactions in listed equity securities executed on an exchange ................................................................................................ $ _________________ 3935

B. Commissions on transactions in exchange listed equity securities executed over-the-counter .............................................................................. $ _________________ 3937

C. Commissions on listed option transactions............................................................................................................................................................... $ _________________ 3938

D. All other securities commissions ............................................................................................................................................................................... $ _________________ 3939

E. Total securities commissions .................................................................................................................................................................................... $ _________________ 3940

2. Gains or losses on firm securities trading accounts

A. From market making in over-the-counter equity securities....................................................................................................................................... $ _________________ 3941

1. Includes gains or losses on OTC market making in exchange-listed equity securities........................................... $ _____________ 3943

B. From trading in debt securities.................................................................................................................................................................................. $ _________________ 3944

C. From market making in options on a national securities exchange.......................................................................................................................... $ _________________ 3945

D. From all other trading ................................................................................................................................................................................................ $ _________________ 3949

E. Total gains or losses.................................................................................................................................................................................................. $ _________________ 3950

3. Gains or losses from derivatives trading........................................................................................................................................................................ $ _________________ 3926

4. Gains or losses on firm securities investment accounts

A. Includes realized gains or losses .................................................................................................................................. $ _____________ 4235

B. Includes unrealized gains or losses .............................................................................................................................. $ _____________ 4236

C. Total realized and unrealized gains or losses........................................................................................................................................................... $ _________________ 3952

5. Gains or losses from underwriting and selling groups ................................................................................................................................................... $ _________________ 3955

A. Includes underwriting income from corporate equity securities.................................................................................... $ _____________ 4237

6. Margin interest................................................................................................................................................................................................................ $ _________________ 3960

7. Revenue from sale of investment company shares....................................................................................................................................................... $ _________________ 3970

8. Fees for account supervision, investment advisory and administrative services .......................................................................................................... $ _________________ 3975

9. Revenue from research services.................................................................................................................................................................................... $ _________________ 3980

10. Gains or losses on commodities .................................................................................................................................................................................... $ _________________ 3990

11. Other revenue related to securities business................................................................................................................................................................. $ _________________ 3985

12. Other revenue................................................................................................................................................................................................................. $ _________________ 3995

13. Total revenue.................................................................................................................................................................................................................. $ _________________ 4030

EXPENSES

14. Registered representatives’ compensation.................................................................................................................................................................... $ _________________ 4110

15. Clerical and administrative employees’ expenses ......................................................................................................................................................... $ _________________ 4040

16. Salaries and other employment costs for general partners, and voting stockholder officers........................................................................................ $ _________________ 4120

A. Includes interest credited to general and limited partners’ capital accounts ................................................................ $ _____________ 4130

17. Floor brokerage paid to certain brokers (see definition) ................................................................................................................................................ $ _________________ 4055

18. Commissions and clearance paid to all other brokers (see definition).......................................................................................................................... $ _________________ 4145

19. Clearance paid to non-brokers (see definition).............................................................................................................................................................. $ _________________ 4135

20. Communications............................................................................................................................................................................................................. $ _________________ 4060

21. Occupancy and equipment costs ................................................................................................................................................................................... $ _________________ 4080

22. Promotional costs........................................................................................................................................................................................................... $ _________________ 4150

23. Interest expense............................................................................................................................................................................................................. $ _________________ 4075

A. Includes interest on accounts subject to subordination agreements............................................................................ $ _____________ 4070

24. Losses in error account and bad debts.......................................................................................................................................................................... $ _________________ 4170

25. Data processing costs (including service bureau service charges)............................................................................................................................... $ _________________ 4186

26. Non-recurring charges.................................................................................................................................................................................................... $ _________________ 4190
FOCUS 

Report

Part II

STATEMENT OF INCOME (LOSS) OR STATEMENT OF COMPREHENSIVE INCOME, AS APPLICABLE

Items on this page to be reported by a: Stand-Alone Broker-Dealer

Stand-Alone SBSD

Broker-Dealer SBSD 

Stand-Alone MSBSP 

Broker-Dealer MSBSP 

Name of Firm: _____________________________________

As of: ____________________________________________

13

27. Regulatory fees and expenses....................................................................................................................................................................................... $ _________________ 4195

28. Other expenses .............................................................................................................................................................................................................. $ _________________ 4100

29. Total expenses ............................................................................................................................................................................................................... $ _________________ 4200

NET INCOME/COMPREHENSIVE INCOME

30. Income or loss before federal income taxes and items below (Line 13 less Line 29)................................................................................................... $ _________________ 4210

31. Provision for federal income taxes (for parent only) ...................................................................................................................................................... $ _________________ 4220

32. Equity in earnings or losses of unconsolidated subsidiaries not included above.......................................................................................................... $ _________________ 4222

A. After federal income taxes of......................................................................................................................................... $ _____________ 4238

33. Net income or loss after federal income taxes............................................................................................................................................................... $ _________________ 4230

34. Other comprehensive income (loss) .............................................................................................................................................................................. $ _________________ 4226

A. After federal income taxes of......................................................................................................................................... $ _____________ 4227

35. Comprehensive income (loss)........................................................................................................................................................................................ $ _________________ 4228

MONTHLY INCOME

36. Net income (current month only) before comprehensive income and provision for federal income taxes ................................................................... $ _________________ 4211
FOCUS 

Report 

Part II

CAPITAL WITHDRAWALS

Items on this page to be reported by a: Stand-Alone Broker-Dealer

Stand-Alone SBSD

Broker-Dealer SBSD 

Broker-Dealer MSBSP 

Name of Firm: _____________________________________

As of: ____________________________________________

14

OWNERSHIP EQUITY AND SUBORDINATED LIABILITIES MATURING OR PROPOSED TO BE WITHDRAWN WITHIN THE NEXT SIX MONTHS AND 

ACCRUALS, WHICH HAVE NOT BEEN DEDUCTED IN THE COMPUTATION OF NET CAPITAL

Type of Proposed Amount to be 

Withdrawal or Withdrawn (cash (MM/DD/YY) Expect 

Accrual Insider or amount and/or Net Withdrawal or to 

(See below for Outsider? Capital Value of Maturity Renew 

code to enter) Name of Lender or Contributor (In or Out) Securities) Date (Yes or No) 

_________________ 4600 __________________________ 4601 _________ 4602 $ _____________________ 4603 ___________ 4604 _______ 4605

_________________ 4610 __________________________ 4611 _________ 4612 $ _____________________ 4613 ___________ 4614 _______ 4615

_________________ 4620 __________________________ 4621 _________ 4622 $ _____________________ 4623 ___________ 4624 _______ 4625

_________________ 4630 __________________________ 4631 _________ 4632 $ _____________________ 4633 ___________ 4634 _______ 4635

_________________ 4640 __________________________ 4641 _________ 4642 $ _____________________ 4643 ___________ 4644 _______ 4645

_________________ 4650 __________________________ 4651 _________ 4652 $ _____________________ 4653 ___________ 4654 _______ 4655

_________________ 4660 __________________________ 4661 _________ 4662 $ _____________________ 4663 ___________ 4664 _______ 4665

_________________ 4670 __________________________ 4671 _________ 4672 $ _____________________ 4673 ___________ 4674 _______ 4675

_________________ 4680 __________________________ 4681 _________ 4682 $ _____________________ 4683 ___________ 4684 _______ 4685

_________________ 4690 __________________________ 4691 _________ 4692 $ _____________________ 4693 ___________ 4694 _______ 4695

Total: $ _____________________ 4699*

* To agree with the total on Recap (Line Item 4880) 

Instructions: Detailed listing must include the total of items maturing during the six month period following the report date, regardless of whether or not the capital contribution is 

expected to be renewed. This section must also include proposed capital withdrawals scheduled within the six month period following the report date including the 

proposed redemption of stock and payments of liabilities secured by fixed assets (which are considered allowable assets in the capital computation, which could be 

required by the lender on demand or in less than six months. 

CODE: DESCRIPTIONS:

1. Equity capital

2. Subordinated liabilities

3. Accruals

4. Assets not readily convertible into cash
FOCUS 

Report 

Part II

CAPITAL WITHDRAWALS

RECAP

Items on this page to be reported by a: Stand-Alone Broker-Dealer

Stand-Alone SBSD

Broker-Dealer SBSD 

Broker-Dealer MSBSP 

Name of Firm: _____________________________________

As of: ____________________________________________

15

OWNERSHIP EQUITY AND SUBORDINATED LIABILITIES MATURING OR PROPOSED TO BE WITHDRAWN WITHIN THE NEXT SIX MONTHS

AND ACCRUALS, WHICH HAVE NOT BEEN DEDUCTED IN THE COMPUTATION OF NET CAPITAL

1. Equity capital

A. Partnership and limited liability company capital

1. General partners .............................................................................................................................................. $ _______________ 4700

2. Limited partners and limited liability company members................................................................................. $ _______________ 4710

3. Undistributed profits ......................................................................................................................................... $ _______________ 4720

4. Other (describe below)..................................................................................................................................... $ _______________ 4730

5. Sole proprietorship........................................................................................................................................... $ _______________ 4735

B. Corporation capital

1. Common stock ................................................................................................................................................. $ _______________ 4740

2. Preferred stock................................................................................................................................................. $ _______________ 4750

3. Retained earnings (dividends and other)......................................................................................................... $ _______________ 4760

4. Other (describe below)..................................................................................................................................... $ _______________ 4770

2. Subordinated liabilities

A. Secured demand notes ........................................................................................................................................... $ _______________ 4780

B. Cash subordinates................................................................................................................................................... $ _______________ 4790

C. Debentures .............................................................................................................................................................. $ _______________ 4800

D. Other (describe below)............................................................................................................................................ $ _______________ 4810

3. Other anticipated withdrawals 

A. Bonuses................................................................................................................................................................... $ _______________ 4820

B. Voluntary contributions to pension or profit sharing plans...................................................................................... $ _______________ 4860

C. Other (describe below)............................................................................................................................................ $ _______________ 4870

Total (sum of Lines 1-3): $ __________________ 4880

4. Description of Other

___________________________________________________________________________________________________________________________________________________

___________________________________________________________________________________________________________________________________________________

___________________________________________________________________________________________________________________________________________________

STATEMENT OF CHANGES IN OWNERSHIP EQUITY

(SOLE PROPRIETORSHIP, PARTNERSHIP, LLC OR CORPORATION)

1. Balance, beginning of period.......................................................................................................................................................................................... $ ___________________ 4240

A. Net income (loss) or comprehensive income (loss), as applicable........................................................................................................................... $ ___________________ 4250

B. Additions (includes non-conforming capital of ........................................................................................................ $ _______________ 4262) $ ___________________ 4260

C. Deductions (includes non-conforming capital of ..................................................................................................... $ _______________ 4272) $ ___________________ 4270

2. Balance, end of period (from Line Item 1800)................................................................................................................................................................ $ ___________________ 4290

STATEMENT OF CHANGES IN LIABILITIES 

SUBORDINATED TO CLAIMS OF CREDITORS

3. Balance, beginning of period.......................................................................................................................................................................................... $ ___________________ 4300

A. Increases ................................................................................................................................................................................................................... $ ___________________ 4310

B. Decreases.................................................................................................................................................................................................................. $ (___________________ )4320

4. Balance, end of period (from Item 3520)........................................................................................................................................................................ $ ___________________ 4330
FOCUS 

Report 

Part II

FINANCIAL AND OPERATIONAL DATA

Items on this page to be reported by a: Stand-Alone Broker-Dealer

Stand-Alone SBSD

Broker-Dealer SBSD 

Broker-Dealer MSBSP 

Name of Firm: _____________________________________

As of: ____________________________________________

16

Valuation Number

1. Month end total number of stock record breaks

A. Breaks long unresolved for more than three business days.............................................................................. $ __________________ 4890 __________________ 4900

B. Breaks short unresolved for more than seven business days after discovery .................................................. $ __________________ 4910 __________________ 4920

2. Is the firm in compliance with Rule 17a-13 or 18a-9, as applicable, regarding periodic count and verification of 

securities positions and locations at least once in each calendar quarter? (Check one)....................................... Yes □ 4930 No □ 4940

3. Personnel employed at end of reporting period

A. Income producing personnel....................................................................................................................................................................................... __________________ 4950

B. Non-income producing personnel (all other)............................................................................................................................................................... __________________ 4960

C. Total (sum of Lines 3A-3B).......................................................................................................................................................................................... __________________ 4970

4. Actual number of tickets executed during the reporting period ....................................................................................................................................... __________________ 4980

5. Number of corrected customer confirmations sent after settlement date........................................................................................................................ __________________ 4990

 No. of Items Ledger Amount Market Value

6. Failed to deliver 5 business days or longer (21 business days or longer 

in the case of municipal securities).................................................................... __________________ 5360 $ __________________ 5361 $ __________________ 5362

7. Failed to receive 5 business days or longer (21 business days or longer 

in the case of municipal securities).................................................................... __________________ 5363 $ __________________ 5364 $ __________________ 5365

8. Security (including security-based swap) concentrations

A. Proprietary positions for which there is an undue concentration............................................................................................................................... $ __________________ 5370

B. Customers’ and security-based swap customers’ accounts under Rules 15c3-3 or 18a-4, as applicable ............................................................... $ __________________ 5374

9. Total of personal capital borrowings due within six months ............................................................................................................................................. $ __________________ 5378

10. Maximum haircuts on underwriting commitments during the reporting period............................................................................................................... $ __________________ 5380

11. Planned capital expenditures for business expansion during next six months.............................................................................................................. $ __________________ 5382

12. Liabilities of other individuals or organizations guaranteed by respondent.................................................................................................................... $ __________________ 5384

13. Lease and rentals payable within one year .................................................................................................................................................................... $ __________________ 5386

14. Aggregate lease and rental commitments payable for entire term of the lease

A. Gross .......................................................................................................................................................................................................................... $ __________________ 5388

B. Net .............................................................................................................................................................................................................................. $ __________________ 5390
FOCUS 

Report 

Part II

FINANCIAL AND OPERATIONAL DATA

Items on this page to be reported by a: Stand-Alone Broker-Dealer

Stand-Alone SBSD

Broker-Dealer SBSD 

Broker-Dealer MSBSP 

Name of Firm: _____________________________________

As of: ____________________________________________

17

Operational Deductions from Capital – Note A

 I II III IV

 No. of Items Debits (Short Value) Credits (Long Value) Deductions in Computing

 (Omit 000’s) (Omit 000’s) Net Capital (Omit Pennies)

1. Money suspense and balancing differences ...................................................... ______________ 5610 $______________ 5810 $______________ 6010 $______________ 6012

2. Security suspense and differences with related money balances...................... L______________ 5620 $______________ 5820 $______________ 6020 $______________ 6022

S______________ 5625 $______________ 5825 $______________ 6025 $______________ 6027

3. Market value of short and long security suspense and differences 

without related money balances (other than reported in Line 4, below) ............ ______________ 5630 $______________ 5830 $______________ 6030 $______________ 6032

4. Market value of security record breaks............................................................... ______________ 5640 $______________ 5840 $______________ 6040 $______________ 6042

5. Unresolved reconciling differences with others

A. Correspondents, broker-dealers, SBSDs, and MSBSPs............................. L______________ 5650 $______________ 5850 $______________ 6050 $______________ 6052

S______________ 5655 $______________ 5855 $______________ 6055 $______________ 6057

B. Depositories ................................................................................................. ______________ 5660 $______________ 5860 $______________ 6060 $______________ 6062

C. Clearing organizations ................................................................................. L______________ 5670 $______________ 5870 $______________ 6070 $______________ 6072

S______________ 5675 $______________ 5875 $______________ 6075 $______________ 6077

D. Inter-company accounts............................................................................... ______________ 5680 $______________ 5880 $______________ 6080 $______________ 6082

E. Bank accounts and loans............................................................................. ______________ 5690 $______________ 5890 $______________ 6090 $______________ 6092

F. Other............................................................................................................. ______________ 5700 $______________ 5900 $______________ 6100 $______________ 6102

G. (Offsetting) Lines 5A through 5F ................................................................. ______________ 5720 $(______________)5920$(_____________) 6120

TOTAL (Lines 5A-5G)........................................................................................ ______________ 5730 $______________ 5930 $______________ 6130 $______________ 6132

6. Commodity differences ....................................................................................... ______________ 5740 $______________ 5940 $______________ 6140 $______________ 6142

7. Open transfers and reorganization account items over 40 days not

confirmed or verified........................................................................................... ______________ 5760 $______________ 5960 $______________ 6160 $______________ 6162

8. TOTAL (Lines 1-7) .............................................................................................. ______________ 5770 $______________ 5970 $______________ 6170 $______________ 6172

9. Lines 1-6 resolved subsequent to report date .................................................... ______________ 5775 $______________ 5975 $______________ 6175 $______________ 6177

10. Aged fails – to deliver......................................................................................... ______________ 5780 $______________ 5980 $______________ 6180 $______________ 6182

– to receive....................................................................................... ______________ 5785 $______________ 5985 $______________ 6185 $______________ 6187

NOTE A - This section must be completed as follows: 

1. The filers must complete Column IV, Lines 1 through 8 and 10, reporting deductions from capital as of the report date whether resolved subsequently or not (see instructions relative to 

each line item). 

2. Columns I, II and III of Lines 1 through 8 must be completed only if the total deduction on Column IV of Line 8 equals or exceeds 25% of excess net capital as of the prior month end 

reporting date. All columns of Line 10 require completion. 

3. A response to Columns I through IV of Line 9 and the "Potential Operational Charges Not Deducted From Capital-Note B" are required only if: 

A. The parameters cited in Note A-2 exist, and 

B. The total deduction, Line 8, Column IV, for the current month exceeds the total deductions for the prior month by 50% or more. 

4. All columns and Lines 1 through 10 must be answered if required. If respondent has nothing to report, enter “0.” 

Other Operational Data (Items 1, 2 and 3 below require an answer) 

Item 1. Have the accounts enumerated on Lines 5A through 5F above been reconciled with statements received from others within 35 days for Lines 

5A through 5D and 65 days for Lines 5E and 5F prior to the report date and have all reconciling differences been appropriately comprehended in the 

computation of net capital at the report date? If this has not been done in all respects, answer No.

 Yes __________ 5600

 No __________ 5601

Item 2. Do the respondent's books reflect a concentrated position in commodities? If yes, report the totals ($000 omitted) in accordance with the 

specific instructions. If No, answer “0” for:

A. Firm trading and investment accounts ........................................................................................................................................................................ $ __________ 5602

B. Customers' and non-customers' and other accounts.................................................................................................................................................. $ __________ 5603

Item 3. Does respondent have any planned operational changes? (Answer Yes or No based on specific instructions.).................................................. Yes __________ 5604

 No __________ 5605
FOCUS 

Report 

Part II

FINANCIAL AND OPERATIONAL DATA

Items on this page to be reported by a: Stand-Alone Broker-Dealer

Stand-Alone SBSD

Broker-Dealer SBSD 

Broker-Dealer MSBSP 

Name of Firm: _____________________________________

As of: ____________________________________________

18

Potential Operational Charges Not Deducted from Capital – Note B

 I II III IV

 No. of Items Debits (Short Value) Credits (Long Value) Deductions in Computing

 (Report in Thousands) (Report in Thousands) Net Capital

(Omit Pennies)

1. Money suspense and balancing differences....................................... ______________ 6210 $______________ 6410 $______________ 6610 $______________ 6612

2. Security suspense and differences with related money balances...... L______________ 6220 $______________ 6420 $______________ 6620 $______________ 6622

S______________ 6225 $______________ 6425 $______________ 6625 $______________ 6627

3. Market value of short and long security suspense and differences 

without related money (other than reported in Line 4, below)............ ______________ 6230 $______________ 6430 $______________ 6630 $______________ 6632

4. Market value of security record breaks ............................................... ______________ 6240 $______________ 6440 $______________ 6640 $______________ 6642

5. Unresolved reconciling differences with others

A. Correspondents, broker-dealers, SBSDs, and MSBSPs .............. L______________ 6250 $______________ 6450 $______________ 6650 $______________ 6652

S______________ 6255 $______________ 6455 $______________ 6655 $______________ 6657

B. Depositories................................................................................... ______________ 6260 $______________ 6460 $______________ 6660 $______________ 6662

C. Clearing organizations................................................................... L______________ 6270 $______________ 6470 $______________ 6670 $______________ 6672

S______________ 6275 $______________ 6475 $______________ 6675 $______________ 6677

D. Inter-company accounts ................................................................ ______________ 6280 $______________ 6480 $______________ 6680 $______________ 6682

E. Bank accounts and loans............................................................... ______________ 6290 $______________ 6490 $______________ 6690 $______________ 6692

F. Other .............................................................................................. ______________ 6300 $______________ 6500 $______________ 6700 $______________ 6702

G. (Offsetting) Lines 5A through 5F................................................... ______________ 6310 $(______________) 6510$(______________)6710

TOTAL (Lines 5A-5G) ......................................................................... ______________ 6330 $______________ 6530 $______________ 6730 $______________ 6732

6. Commodity differences........................................................................ ______________ 6340 $______________ 6540 $______________ 6740 $______________ 6742

7. TOTAL (Lines 1-6)............................................................................... ______________ 6370 $______________ 6570 $______________ 6770 $______________ 6772

NOTE B - This section must be completed as follows: 

1. Lines 1 through 6 and Columns I through IV must be completed only if: 

A. The total deductions on Line 8, Column IV, of the "Operational Deductions From Capital-Note A" equal or exceed 25% of excess net capital as of the prior month end 

reporting date; and 

B. The total deduction on Line 8, Column IV, , of the "Operational Deductions From Capital-Note A" for the current month exceeds the total deductions for the prior month by 

50% or more. If respondent has nothing to report, enter “0.” 

2. Include only suspense and difference items open at the report date which were NOT required to be deducted in the computation of net capital AND which were not resolved 

seven (7) business days subsequent to the report date. 

3. Include in Column IV only additional deductions not comprehended in the computation of net capital at the report date. 

4. Include on Lines 5A through 5F unfavorable differences offset by favorable differences at the report date if resolution of the favorable items resulted in additional deductions 

in the computation of net capital subsequent to the report date. 

5. Exclude from Lines 5A through 5F new reconciling differences disclosed as a result of reconciling with the books of account statements received subsequent to the report 

date. 

6. Lines 1 through 5 above correspond to similar lines in the “Operational Deductions From Capita-Note A” and the same instructions should be followed except as stated in 

Notes B-1 through B-5 above. 
FOCUS 

Report 

Part II

COMPUTATION FOR DETERMINATION OF CUSTOMER RESERVE REQUIREMENTS

Items on this page to be reported by a: Stand-Alone Broker-Dealer

Broker-Dealer SBSD 

Broker-Dealer MSBSP

Name of Firm: _____________________________________

As of: ____________________________________________

19

CREDIT BALANCES

1. Free credit balances and other credit balances in customers' security accounts (see 

Note A)...................................................................................................................................................... $ _____________________ 4340

2. Monies borrowed collateralized by securities carried for the accounts of customers (see Note B) ........ $ _____________________ 4350

3. Monies payable against customers' securities loaned (see Note C)........................................................ $ _____________________ 4360

4. Customers' securities failed to receive (see Note D)................................................................................ $ _____________________ 4370

5. Credit balances in firm accounts which are attributable to principal sales to customers......................... $ _____________________ 4380

6. Market value of stock dividends, stock splits and similar distributions receivable outstanding 

over 30 calendar days .............................................................................................................................. $ _____________________ 4390

7. **Market value of short security count differences over 30 calendar days old ........................................ $ _____________________ 4400

8. **Market value of short securities and credits (not to be offset by longs or by 

debits) in all suspense accounts over 30 calendar days.......................................................................... $ _____________________ 4410

9. Market value of securities which are in transfer in excess of 40 calendar days and have not been 

confirmed to be in transfer by the transfer agent or the issuer during the 40 days ................................. $ _____________________ 4420

10. Other (List: __________________________________________________________)........................ $ _____________________ 4425

11. TOTAL CREDITS (sum of Lines 1-10) ......................................................................................................................................................................... $ _____________________ 4430

DEBIT BALANCES

12. **Debit balances in customers’ cash and margin accounts, excluding unsecured accounts and 

accounts doubtful of collection (see Note E) ........................................................................................... $ _____________________ 4440

13. Securities borrowed to effectuate short sales by customers and securities borrowed to make 

delivery on customers' securities failed to deliver ................................................................................... $ _____________________ 4450

14. Failed to deliver of customers' securities not older than 30 calendar days............................................. $ _____________________ 4460

15. Margin required and on deposit with the Options Clearing Corporation for all option contracts 

written or purchased in customer accounts (see Note F)........................................................................ $ _____________________ 4465

16. Margin required and on deposit with a clearing agency registered with the Commission under 

section 17A of the Exchange Act (15 U.S.C. 78q-1) or a derivatives clearing organization registered 

with the Commodity Futures Trading Commission under section 5b of the Commodity Exchange 

Act (7 U.S.C. 7a-1) related to the following types of positions written, purchased or sold in customer 

accounts: (1) security futures products and (2) futures contracts (and options thereon) carried in a 

securities account pursuant to an SRO portfolio margining rule (see Note G)....................................... $ _____________________ 4467

17. Other (List: __________________________________________________________)........................ $ _____________________ 4469

18. **Aggregate debit items (sum of Lines 12-17).............................................................................................................................................................. $ _____________________ 4470

19. **Less 3% (for alternative method only – see Rule 15c3-1(a)(1)(ii)) (3% x Line Item 4470)....................................................................................... $ _____________________ 4471

20. **TOTAL DEBITS (Line 18 less Line 19)...................................................................................................................................................................... $ _____________________ 4472

RESERVE COMPUTATION

21. Excess of total debits over total credits (Line 20 less Line 11) .................................................................................................................................... $ _____________________ 4480

22. Excess of total credits over total debits (Line 11 less Line 20) .................................................................................................................................... $ _____________________ 4490

23. If computation is made monthly as permitted, enter 105% of excess of total credits over total debits ....................................................................... $ _____________________ 4500

24. Amount held on deposit in “Reserve Bank Account(s),” including $ _____________________ 4505 value of qualified securities, 

at end of reporting period............................................................................................................................................................................................... $ _____________________ 4510

25. Amount of deposit (or withdrawal) including $ _____________________ 4515 value of qualified securities........................................................... $ _____________________ 4520

26. New amount in Reserve Bank Account(s) after adding deposit or subtracting withdrawal including

$ _____________________ 4525 value of qualified securities .................................................................................................................................. $ _____________________ 4530

27. Date of deposit (MM/DD/YY) ........................................................................................................................................................................................ $ _____________________ 4540

FREQUENCY OF COMPUTATION

28. Daily ____________________ 4332 Weekly ____________________ 4333 Monthly ____________________ 4334

** In the event the net capital requirement is computed under the alternative method, this reserve formula must be prepared in accordance with the 

requirements of paragraph (a)(1)(ii) of Rule 15c3-1.

References to notes in this section refer to the notes to 17 CFR 240.15c3-1a.
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Report

Part II

POSSESSION OR CONTROL FOR CUSTOMERS

Items on this page to be reported by a: Stand-Alone Broker-Dealer

Broker-Dealer SBSD 

Broker-Dealer MSBSP

Name of Firm: _____________________________________

As of: ____________________________________________

20

State the market valuation and number of items of:

1. Customers' fully paid securities and excess margin securities not in the respondent’s possession or control as of the report date

(for which instructions to reduce to possession or control had been issued as of the report date) but for which the required action

was not taken by respondent within the time frames specified under Rule 15c3-3. Notes A and B.............................................................. $ ___________________ 4586

A. Number of items........................................................................................................................................................................................... ___________________ 4587

2. Customers' fully paid securities and excess margin securities for which instructions to reduce to possession or control had not 

been issued as of the report date, excluding items arising from "temporary lags which result from normal business operations"

as permitted under Rule 15c3-3. Notes B, C and D........................................................................................................................................ $ ___________________ 4588

A. Number of items.......................................................................................................................................................................................... ___________________ 4589

3. The system and procedures utilized in complying with the requirement to maintain physical possession or control of

customers' fully paid and excess margin securities have been tested and are functioning in a manner adequate to fulfill the

requirements of Rule 15c3-3.................................................................................................................... Yes __________________ 4584 No ___________________ 4585

Notes:

A – Do not include in Line 1 customers' fully paid and excess margin securities required by Rule 15c3-3 to be in possession or control but for which no action was required by the 

respondent as of the report date or required action was taken by respondent within the time frames specified under Rule 15c3-3. 

B – State separately in response to Lines 1 and 2 whether the securities reported in response thereto were subsequently reduced to possession or control by the respondent. 

C – Be sure to include in Line 2 only items not arising from "temporary lags which result from normal business operations" as permitted under Rule 15c3-3.

D – Line 2 must be responded to only with a report which is filed as of the date selected for the broker's or dealer's annual audit of financial statements, whether or not such date is 

the end of a calendar quarter. The response to Line 2 should be filed within 60 calendar days after such date, rather than with the remainder of this report. This information may 

be required on a more frequent basis by the Commission or the designated examining authority in accordance with Rule 17a-5(a)(2)(iv). 
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Part II

COMPUTATION FOR DETERMINATION OF PAB REQUIREMENTS

Items on this page to be reported by a: Stand-Alone Broker-Dealer

Broker-Dealer SBSD 

Broker-Dealer MSBSP 

Name of Firm: _____________________________________

As of: ____________________________________________

21

CREDIT BALANCES

1. Free credit balances and other credit balances in PAB security accounts (see Note A).......................... $ ____________________ 2110

2. Monies borrowed collateralized by securities carried for the accounts of PAB (see Note B).................... $ ____________________ 2120

3. Monies payable against PAB securities loaned (see Note C) ................................................................... $ ____________________ 2130

4. PAB securities failed to receive (see Note D)............................................................................................ $ ____________________ 2140

5. Credit balances in firm accounts which are attributable to principal sales to PAB.................................... $ ____________________ 2150

6. Market value of stock dividends, stock splits and similar distributions receivable 

outstanding over 30 calendar days............................................................................................................ $ ____________________ 2152

7. **Market value of short security count differences over 30 calendar days old.......................................... $ ____________________ 2154

8. **Market value of short securities and credits (not to be offset by longs or by debits) in all 

suspense accounts over 30 calendar days ............................................................................................... $ ____________________ 2156

9. Market value of securities which are in transfer in excess of 40 calendar days and have not been

confirmed to be in transfer by the transfer agent or the issuer during the 40 days ................................... $ ____________________ 2158

10. Other (List: __________________________________________________________)......................... $ ____________________ 2160

11. TOTAL PAB CREDITS (sum of Lines 1-10) ......................................................................................................................................................... $ ______________________ 2170

DEBIT BALANCES

12. Debit balances in PAB cash and margin accounts, excluding unsecured accounts and accounts 

doubtful of collection (see Note E)............................................................................................................. $ ____________________ 2180

13. Securities borrowed to effectuate short sales by PAB and securities borrowed to make delivery on 

PAB securities failed to deliver .................................................................................................................. $ ____________________ 2190

14. Failed to deliver of PAB securities not older than 30 calendar days ........................................................ $ ____________________ 2200

15. Margin required and on deposit with Options Clearing Corporation for all option contracts 

written or purchased in PAB accounts (see Note F)................................................................................. $ ____________________ 2210

16. Margin required and on deposit with a clearing agency registered with the Commission under 

section 17A of the Exchange Act (15 U.S.C. 78q-1) or a derivatives clearing organization registered 

with the Commodity Futures Trading Commission under section 5b of the Commodity Exchange 

Act (7 U.S.C. 7a-1) related to the following types of positions written, purchased or sold in PAB 

accounts: (1) security futures products and (2) futures contracts (and options thereon) carried in a 

securities account pursuant to an SRO portfolio margining rule (see Note G) ........................................ $ ____________________ 2215

17. Other (List: __________________________________________________________)......................... $ ____________________ 2220

18. TOTAL PAB DEBITS (sum of Lines 12-17).......................................................................................................................................................... $ ______________________ 2230

RESERVE COMPUTATION 

19. Excess of total PAB debits over total PAB credits (Line 18 less Line 11) ............................................................................................................ $ ______________________ 2240

20. Excess of total PAB credits over total PAB debits (Line 11 less Line 18) ............................................................................................................ $ ______________________ 2250

21. Excess debits in customer reserve formula computation ..................................................................................................................................... $ ______________________ 2260

22. PAB reserve requirement (Line 20 less Line 21).................................................................................................................................................. $ ______________________ 2270

23. Amount held on deposit in Reserve Bank Account(s) including $ _____________ 2275 value of qualified securities, 

at end of reporting period ...................................................................................................................................................................................... $ ______________________ 2280

24. Amount of deposit (or withdrawal) including $ _____________ 2285 value of qualified securities ................................................................... $ ______________________ 2290

25. New amount in Reserve Bank Account(s) after adding deposit or subtracting withdrawal 

including $ _____________ 2295 value of qualified securities........................................................................................................................... $ ______________________ 2300

26. Date of deposit (MM/DD/YY)................................................................................................................................................................................. ______________________ 2310

FREQUENCY OF COMPUTATION

27. Daily ____________________ 2315 Weekly ____________________ 2320 Monthly ____________________ 2330

* See notes regarding PAB Reserve Bank Account Computation (Notes 1-10).

** In the event the net capital requirement is computed under the alternative method, this reserve formula must be prepared in accordance with the requirements of paragraph 

(a)(1)(ii) of Rule 15c3-1.

References to notes in this section refer to the notes to 17 CFR 240.15c3-1a.
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Report 

Part II

CLAIMING AN EXEMPTION FROM RULE 15c3-3

Items on this page to be reported by a: Stand-Alone Broker-Dealer (if claiming an exemption from Rule 15c3-3)

Broker-Dealer SBSD (if claiming an exemption from Rule 15c3-3) 

Broker-Dealer MSBSP (if claiming an exemption from Rule 15c3-3)

Name of Firm: _____________________________________

As of: ____________________________________________

22

EXEMPTIVE PROVISION UNDER RULE 15c3-3

If an exemption from Rule 15c3-3 is claimed, identify below the section upon which such exemption is based (check all that apply):

A. (k)(1) – Limited business (mutual funds and/or variable annuities only) ......................................................................................... ___________________ 4550

B. (k)(2)(i) – “Special Account for the Exclusive Benefit of Customers” maintained............................................................................ ___________________ 4560

C. (k)(2)(ii) – All customer transactions cleared through another broker-dealer on a fully disclosed basis

Name of clearing firm: ___________________________________________________________________________4335 ___________________ 4570

D. (k)(3) – Exempted by order of the Commission (include copy of letter) .......................................................................................... ___________________ 4580
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Report 

Part II

COMPUTATION FOR DETERMINATION OF SECURITY-BASED SWAP CUSTOMER RESERVE REQUIREMENTS

Items on this page to be reported by a: Stand-Alone Broker-Dealer

Stand-Alone SBSD 

Broker-Dealer SBSD

Name of Firm: _____________________________________

As of: ____________________________________________

23

CREDIT BALANCES

1. Free credit balances and other credit balances in the accounts carried for security-based 

swap customers (see Note A).................................................................................................................. $ ____________________ 12069

2. Monies borrowed collateralized by securities in accounts carried for security-based

swap customers (see Note B) ................................................................................................................. $ ____________________ 12070

3. Monies payable against security-based swap customers' securities loaned (see Note C) .................... $ ____________________ 12071

4. Security-based swap customers' securities failed to receive (see Note D)............................................. $ ____________________ 12072

5. Credit balances in firm accounts attributable to principal sales to security-based swap customers ...... $ ____________________ 12073

6. Market value of stock dividends, stock splits and similar distributions receivable outstanding 

over 30 calendar days ............................................................................................................................. $ ____________________ 12074

7. **Market value of short security count differences over 30 calendar days old........................................ $ ____________________ 12075

8. **Market value of short securities and credits (not to be offset by longs or by debits) in all suspense 

accounts over 30 calendar days.............................................................................................................. $ ____________________ 12076

9. Market value of securities which are in transfer in excess of 40 calendar days and have not been 

confirmed to be in transfer by the transfer agent or the issuer during the 40 days................................ $ ____________________ 12077

10. Other (List: __________________________________________________________)...................... $ ____________________ 12078

11. TOTAL CREDITS (sum of Lines 1-10) .................................................................................................................................................................... $ ______________________ 12089

DEBIT BALANCES

12. Debit balances in accounts carried for security-based swap customers, excluding unsecured

accounts and accounts doubtful of collection (see Note E)................................................................... $ ____________________ 12079

13. Securities borrowed to effectuate short sales by security-based swap customers and securities

borrowed to make delivery on security-based swap customers' securities failed to deliver................. $ ____________________ 12080

14. Failed to deliver of security-based swap customers' securities not older than 30 calendar days......... $ ____________________ 12081

15. Margin required and on deposit with Options Clearing Corporation for all option contracts 

written or purchased in accounts carried for security-based swap customers (see Note F) ................ $ ____________________ 12082

16. Margin related to security future products written, purchased or sold in accounts carried for securitybased swap customers required and on deposit in a qualified clearing agency account at a clearing 

agency registered with the Commission under section 17A of the Exchange Act (15 U.S.C. 78q-1) 

or a derivative clearing organization registered with the Commodity Futures Trading Commission 

under section 5b of the Commodity Exchange Act (7 U.S.C. 7a-1) (see Note G) ................................ $ ____________________ 12083

17. Margin related to cleared security-based swap transactions in accounts carried for security-based

swap customers required and on deposit in a qualified clearing agency account at a clearing agency 

registered with the Commission pursuant to section 17A of the Exchange Act (15 U.S.C. 78q-1) ...... $ ____________________ 12084

18. Margin related to non-cleared security-based swap transactions in accounts carried for securitybased swap customers required and held in a qualified registered security-based swap dealer

account at another security-based swap dealer.................................................................................... $ ____________________ 12085

19. Other (List: __________________________________________________________)...................... $ ____________________ 12086

20. **Aggregate debit items ........................................................................................................................................................................................... $ ______________________ 12090

21. **TOTAL DEBITS (sum of Lines 12-19) .................................................................................................................................................................. $ ______________________ 12091

RESERVE COMPUTATION

22. Excess of total debits over total credits (Line 21 less Line 11)................................................................................................................................ $ ______________________ 12092

23. Excess of total credits over total debits (Line 11 less Line 21)................................................................................................................................ $ ______________________ 12093

24. Amount held on deposit in "Reserve Account(s)," including value of qualified securities, at end of reporting period ............................................ $ ______________________ 12094

25. Amount of deposit (or withdrawal) including $ ______________ 12087 value of qualified securities ................................................................... $ ______________________ 12095

26. New amount in Reserve Account(s) after adding deposit or subtracting withdrawal including 

$ ______________ 12088 value of qualified securities ............................................................................................................................................... $ ______________________ 12096

27. Date of deposit (MM/DD/YY).................................................................................................................................................................................... $ ______________________ 12097

** In the event the net capital requirement is computed under the alternative method, this reserve formula must be prepared in accordance with the requirements of paragraph (a)(1)(ii) 

of Rule 15c3-1.

References to notes in this section refer to the notes to 17 CFR 240.15c3-3b or 17 CFR 240.18a-4a, as applicable.
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Report 

Part II

POSSESSION OR CONTROL FOR SECURITY-BASED SWAP CUSTOMERS

Items on this page to be reported by a: Stand-Alone Broker-Dealer

Stand-Alone SBSD

Broker-Dealer SBSD

Name of Firm: _____________________________________

As of: ____________________________________________

24

State the market valuation and number of items of: 

1. Security-based swap customers' excess securities collateral not in the respondent's possession or control as of the report date (for which 

instructions to reduce to possession or control had been issued as of the report date) but for which the required action was not taken by 

respondent within the time frame specified under Rule 15c3-3(p) or Rule 18a-4, as applicable. Notes A and B........................................... $ ___________________ 12098

A. Number of items........................................................................................................................................................................................... ___________________ 12099

2. Security-based swap customers' excess securities collateral for which instructions to reduce possession or control had not been issued

as of the report date under Rule 15c3-3(p) or Rule 18a-4, as applicable........................................................................................................ $ ___________________ 12100

A. Number of items........................................................................................................................................................................................... ___________________ 12101

3. The system and procedures utilized in complying with the requirement to maintain physical possession or control of security-based

swap customers' excess securities collateral have been tested and are functioning in a manner adequate to fulfill the

requirements of Rule 15c3-3(p) or Rule 18a-4, as applicable .............................................................. Yes __________________ 12102 No ___________________ 12103

Notes:

A – Do not include in Line 1 security-based swap customers' excess securities collateral required to be in possession or control but for which no action was required by the respondent 

as of the report date or required action was taken by respondent within the required time frames.

B – State separately in response to Line 1 whether the securities reported in response thereto were subsequently reduced to possession or control by the respondent. 
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Part II

CLAIMING AN EXEMPTION FROM RULE 18a-4

Items on this page to be reported by a: Stand-Alone SBSD (if claiming an exemption from Rule 18a-4)

 SBSD registered as an OTC Derivatives Dealer (if claiming an exemption from Rule 18a-4)

Name of Firm: _____________________________________

As of: ____________________________________________

25

EXEMPTION FROM RULE 18a-4

If an exemption from Rule 18a-4 is claimed, check the box..................................................................... ..... ..................................... 12104
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Part II

COMPUTATION OF CFTC MINIMUM CAPITAL REQUIREMENTS

Items on this page to be reported by: Futures Commission Merchant

Name of Firm: _____________________________________

As of: ____________________________________________

26

NET CAPITAL REQUIRED

A. Risk-based requirement

i. Amount of customer risk

Maintenance margin.................................................................. $ ________________________ 7415

ii. Enter 8% of Line A.i.................................................................................................................................. $ ________________________ 7425

iii. Amount of non-customer risk

Maintenance margin.................................................................. $ ________________________ 7435

iv. Enter 8% of Line A.iii............................................................................................................................... $ ________________________ 7445

v. Amount of uncleared swap margin .......................................................................................................... $ ________________________ 7446

vi. If the FCM is also registered as a swap dealer, enter 2% of Line A.v.................................................... $ ________________________ 7447

vii. Enter the sum of Lines A.ii, A.iv, and A.vi .............................................................................................. $ ________________________ 7455

B. Minimum dollar amount requirement ............................................................................................................ $ ________________________ 7465

C. Other NFA requirement................................................................................................................................. $ ________________________ 7475

D. Minimum CFTC net capital requirement

Enter the greatest of Lines A.vii, B, or C...................................................................................................................................................................... $ ________________________ 7490

Note: If amount on Line D is greater than the minimum net capital requirement computed on Item 3760, then enter this greater amount on Item 3760. The greater of the amount 

required by the SEC or CFTC is the minimum net capital requirement. 

CFTC early warning level – enter the greatest of 110% of Line A.vii. or 150% of Line B or 150% of Line C ................................................................ $ ________________________ 7495
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Part II

STATEMENT OF SEGREGATION REQUIREMENTS AND FUNDS IN SEGREGATION 

FOR CUSTOMERS TRADING ON U.S. COMMODITY EXCHANGES

Items on this page to be reported by a: Futures Commission Merchant

Name of Firm: _____________________________________

As of: ____________________________________________

27

SEGREGATION REQUIREMENTS

1. Net ledger balance

A. Cash......................................................................................................................................................................................................... $ ______________________ 7010

B. Securities (at market)............................................................................................................................................................................... $ ______________________ 7020

2. Net unrealized profit (loss) in open futures contracts traded on a contract market ........................................................................................ $ ______________________ 7030

3. Exchange traded options

A. Add: Market value of open option contracts purchased on a contract market........................................................................................ $ ______________________ 7032

B. Deduct: Market value of open option contracts granted (sold) on a contract market ............................................................................. $ ( ______________________ ) 7033

4. Net equity (deficit) (total of Lines 1, 2 and 3)................................................................................................................................................... $ ______________________ 7040

5. Accounts liquidating to a deficit and accounts with debit balances – gross amount ...................... $ ________________________ 7045

Less: amount offset by customer owned securities ......................................................................... $(________________________) 7047 $ ______________________ 7050

6. Amount required to be segregated (add Lines 4 and 5).................................................................................................................................. $ ______________________ 7060

FUNDS IN SEGREGATED ACCOUNTS

7. Deposited in segregated funds bank accounts

A. Cash......................................................................................................................................................................................................... $ ______________________ 7070

B. Securities representing investments of customers' funds (at market)..................................................................................................... $ ______________________ 7080

C. Securities held for particular customers or option customers in lieu of cash (at market) ....................................................................... $ ______________________ 7090

8. Margin on deposit with derivative clearing organizations of contract markets

A. Cash......................................................................................................................................................................................................... $ ______________________ 7100

B. Securities representing investments of customers' funds (at market)..................................................................................................... $ ______________________ 7110

C. Securities held for particular customers or option customers in lieu of cash (at market) ....................................................................... $ ______________________ 7120

9. Net settlement from (to) derivative clearing organizations of contract markets .............................................................................................. $ ______________________ 7130

10. Exchange traded options

A. Value of open long option contracts ........................................................................................................................................................ $ ______________________ 7132

B. Value of open short option contracts ....................................................................................................................................................... $ ( ______________________ ) 7133

11. Net equities with other FCMs

A. Net liquidating equity................................................................................................................................................................................ $ ______________________ 7140

B. Securities representing investments of customers’ funds (at market)..................................................................................................... $ ______________________ 7160

C. Securities held for particular customers or option customers in lieu of cash (at market) ....................................................................... $ ______________________ 7170

12. Segregated funds on hand (describe: ______________________________________________________________________)............. $ ______________________ 7150

13. Total amount in segregation (add Lines 7 through 12)................................................................................................................................... $ ______________________ 7180

14. Excess (deficiency) funds in segregation (subtract Line 6 from Line 13)....................................................................................................... $ ______________________ 7190

15. Management target amount for excess funds in segregation......................................................................................................................... $ ______________________ 7194

16. Excess (deficiency) funds in segregation over (under) management target amount excess......................................................................... $ ______________________ 7198
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Part II

STATEMENT OF CLEARED SWAPS CUSTOMER SEGREGATION REQUIREMENTS AND FUNDS IN CLEARED SWAPS CUSTOMER 

ACCOUNTS UNDER SECTION 4D(F) OF THE COMMODITY EXCHANGE ACT

Items on this page to be reported by: Futures Commission Merchant

Name of Firm: _____________________________________

As of: ____________________________________________

28

CLEARED SWAPS CUSTOMER REQUIREMENTS

1. Net ledger balance

A. Cash................................................................................................................................................................................................................. $ ____________________ 8500

B. Securities (at market)....................................................................................................................................................................................... $ ____________________ 8510

2. Net unrealized profit (loss) in open cleared swaps.................................................................................................................................................. $ ____________________ 8520

3. Cleared swaps options

A. Market value of open cleared swaps option contracts purchased .................................................................................................................. $ ____________________ 8530

B. Market value of open cleared swaps option contracts granted (sold)............................................................................................................. $ ( ___________________ ) 8540

4. Net equity (deficit) (add Lines 1, 2, and 3)............................................................................................................................................................... $ ____________________ 8550

5. Accounts liquidating to a deficit and accounts with debit balances – gross amount...............................$________________________ 8560

Less: amount offset by customer owned securities.................................................................................$(_______________________) 8570 $ ____________________ 8580

6. Amount required to be segregated for cleared swaps customers (add Lines 4 and 5) .......................................................................................... $ ____________________ 8590

FUNDS IN CLEARED SWAPS CUSTOMER SEGREGATED ACCOUNTS

7. Deposited in cleared swaps customer segregated accounts at banks

A. Cash................................................................................................................................................................................................................. $ ____________________ 8600

B. Securities representing investments of cleared swaps customers’ funds (at market).................................................................................... $ ____________________ 8610

C. Securities held for particular cleared swaps customers in lieu of cash (at market)........................................................................................ $ ____________________ 8620

8. Margins on deposit with derivatives clearing organizations in cleared swaps customer segregated accounts

A. Cash................................................................................................................................................................................................................. $ ____________________ 8630

B. Securities representing investments of cleared swaps customers' funds (at market) .................................................................................... $ ____________________ 8640

C. Securities held for particular cleared swaps customers in lieu of cash (at market)........................................................................................ $ ____________________ 8650

9. Net settlement from (to) derivatives clearing organizations .................................................................................................................................... $ ____________________ 8660

10. Cleared swaps options

A. Value of open cleared swaps long option contracts ........................................................................................................................................ $ ____________________ 8670

B. Value of open cleared swaps short option contracts....................................................................................................................................... $ ( ___________________ ) 8680

11. Net equities with other FCMs

A. Net liquidating equity ........................................................................................................................................................................................ $ ____________________ 8690

B. Securities representing investments of cleared swaps customers’ funds (at market)..................................................................................... $ ____________________ 8700

C. Securities held for particular cleared swaps customers in lieu of cash (at market)......................................................................................... $ ____________________ 8710

12. Cleared swaps customer funds on hand (describe: _____________________________________________________________________).. $ ____________________ 8715

13. Total amount in cleared swaps customer segregation (add Lines 7 through 12)................................................................................................... $ ____________________ 8720

14. Excess (deficiency) funds in cleared swaps customer segregation (subtract Line 6 from Line 13)...................................................................... $ ____________________ 8730

15. Management target amount for excess funds in cleared swaps segregated accounts.......................................................................................... $ ____________________ 8760

16. Excess (deficiency) funds in cleared swaps customer segregated accounts over (under) management target excess....................................... $ ____________________ 8770
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Part II

STATEMENT OF SEGREGATION REQUIREMENTS AND FUNDS IN SEGREGATION

FOR CUSTOMERS’ DEALER OPTIONS ACCOUNTS

Items on this page to be reported by a: Futures Commission Merchant

Name of Firm: _____________________________________

As of: ____________________________________________

29

1. Amount required to be segregated in accordance with 17 CFR 32.6.................................................................................................................... $ ___________________ 7200

2. Funds/property in segregated accounts

A Cash............................................................................................................................................. $ ______________________ 7210

B. Securities (at market value)........................................................................................................ $ ______________________ 7220

C. Total funds/property in segregated accounts ................................................................................................................................................... $ ___________________ 7230

3. Excess (deficiency) funds in segregation (subtract Line 2C from Line 1)............................................................................................................... $ ___________________ 7240
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Part II

STATEMENT OF SECURED AMOUNTS AND FUNDS HELD IN SEPARATE ACCOUNTS 

FOR FOREIGN FUTURES AND FOREIGN OPTIONS CUSTOMERS PURSUANT TO CFTC REGULATION 30.7

Items on this page to be reported by a: Futures Commission Merchant

Name of Firm: _____________________________________

As of: ____________________________________________

30

FOREIGN FUTURES AND FOREIGN OPTIONS SECURED AMOUNTS

Amount required to be set aside pursuant to law, rule, or regulation of a foreign government or a rule 

of a self-regulatory organization authorized thereunder ........................................................................................................................................... $ _____________________ 7305

1. Net ledger balance – Foreign futures and foreign options trading – All customers

A. Cash................................................................................................................................................................................................................. $ _____________________ 7315

B. Securities (at market)....................................................................................................................................................................................... $ _____________________ 7317

2. Net unrealized profit (loss) in open futures contracts traded on a foreign board of trade .................................................................................... $ _____________________ 7325

3. Exchange traded options

A. Market value of open option contracts purchased on a foreign board of trade............................................................................................... $ _____________________ 7335

B. Market value of open option contracts granted (sold) on a foreign board of trade ......................................................................................... $ _____________________ 7337

4. Net equity (deficit) (add Lines 1, 2, and 3)............................................................................................................................................................ $ _____________________ 7345

5. Accounts liquidating to a deficit and accounts with debit balances – gross amount................................ $ ___________________ 7351

Less: Amount offset by customer owned securities................................................................................. $ ___________________ 7352 $ _____________________ 7354

6. Amount required to be set aside as the secured amount – Net liquidating equity method (add Lines 4 and 5).................................................. $ _____________________ 7355

7. Greater of amount required to be set aside pursuant to foreign jurisdiction (above) or Line 6 ............................................................................ $ _____________________ 7360
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Part II

STATEMENT OF SECURED AMOUNTS AND FUNDS HELD IN SEPARATE ACCOUNTS 

FOR FOREIGN FUTURES AND FOREIGN OPTIONS CUSTOMERS PURSUANT TO CFTC REGULATION 30.7

Items on this page to be reported by: Futures Commission Merchant

Name of Firm: _____________________________________

As of: ____________________________________________

31

FUNDS DEPOSITED IN SEPARATE 17 CFR 30.7 ACCOUNTS 

1. Cash in banks

A. Banks located in the United States ................................................... $ ________________________ 7500

B. Other banks qualified under 17 CFR. 30.7

Name(s): ____________________________________ 7510 $ ________________________ 7520 $ _______________________ 7530

2. Securities

A. In safekeeping with banks located in the United States.................... $ ________________________ 7540

B. In safekeeping with other banks designated by 17 CFR. 30.7 

Name(s): ____________________________________ 7550 $ ________________________ 7560 $ _______________________ 7570

3. Equities with registered futures commission merchants

A. Cash................................................................................................... $ ________________________ 7580

B. Securities ........................................................................................... $ ________________________ 7590

C. Unrealized gain (loss) on open futures contracts.............................. $ ________________________ 7600

D. Value of long option contracts........................................................... $ ________________________ 7610

E. Value of short option contracts.......................................................... $ (_______________________) 7615 $ _______________________ 7620

4. Amounts held by clearing organizations of foreign boards of trade

Name(s): ____________________________________ 7630

A. Cash................................................................................................... $ ________________________ 7640

B. Securities ........................................................................................... $ ________________________ 7650

C. Amount due to (from) clearing organizations - daily variation........... $ ________________________ 7660

D. Value of long option contracts........................................................... $ ________________________ 7670

E. Value of short option contracts.......................................................... $ (_______________________) 7675 $ _______________________ 7680

5. Amounts held by members of foreign boards of trade

Name(s): ____________________________________ 7690

A. Cash................................................................................................... $ ________________________ 7700

B. Securities ........................................................................................... $ ________________________ 7710

C. Unrealized gain (loss) on open futures contracts.............................. $ ________________________ 7720

D. Value of long option contracts........................................................... $ ________________________ 7730

E. Value of short option contracts.......................................................... $ (_______________________) 7735 $ _______________________ 7740

6. Amounts with other depositories designated by a foreign board of trade

Name(s): ____________________________________ 7750 $ _______________________ 7760

7. Segregated funds on hand (describe: ________________________)... $ _______________________ 7765

8. Total funds in separate 17 CFR 30.7 accounts ....................................... $ _______________________ 7770

9. Excess (deficiency) set aside funds for secured amount 

(Line Item 7770 minus Line Item 7360).................................................... $ _______________________ 7380

10.Management target amount for excess funds in separate 

17 CFR 30.7 accounts.............................................................................. $ _______________________ 7780

11.Excess (deficiency) funds in separate 17 CFR 30.7 accounts

over (under) management target excess ................................................. $ _______________________ 7785
FOCUS 

Report 

Part II

Schedule 1

SCHEDULE 1 – AGGREGATE SECURITIES, COMMODITIES, AND SWAPS POSITIONS

Items on this page to be reported by: Stand-Alone Broker-Dealer

Stand-Alone SBSD 

Broker-Dealer SBSD 

Stand-Alone MSBSP 

Broker-Dealer MSBSP 

Name of Firm: _____________________________________

As of: ____________________________________________

32

Aggregate Securities, Commodities, and Swaps Positions LONG/BOUGHT SHORT/SOLD

1. U.S. treasury securities............................................................................................ $ ________________________ 8200 $ _______________________ 8201

2. U.S. government agency and U.S. government-sponsored enterprises................. $ ________________________ 8210 $ ________________________ 8211

 A. Mortgage-backed securities issued by U.S. government agency and 

U.S. government-sponsored enterprises ......................................................... $ ________________________ 18001 $ ________________________ 18002

 B. Debt securities issued by U.S. government agency and U.S.

government-sponsored enterprises ................................................................. $ ________________________ 18003 $ ________________________ 18004

3. Securities issued by states and political subdivisions in the U.S............................ $ ________________________ 8220 $ ________________________ 8221

4. Foreign securities

 A. Debt securities................................................................................................... $ ________________________ 8230 $ ________________________ 8231

 B. Equity securities ................................................................................................ $ ________________________ 8235 $ ________________________ 8236

5. Money market instruments....................................................................................... $ ________________________ 8240 $ ________________________ 8241

6. Private label mortgage backed securities................................................................ $ ________________________ 8250 $ ________________________ 8251

7. Other asset-backed securities ................................................................................. $ ________________________ 8260 $ ________________________ 8261

8. Corporate obligations................................................................................................ $ ________________________ 8270 $ ________________________ 8271

9. Stocks and warrants (other than arbitrage positions)............................................... $ ________________________ 8280 $ ________________________ 8281

10. Arbitrage.................................................................................................................. $ ________________________ 8290 $ ________________________ 8291

11. Spot commodities ................................................................................................... $ ________________________ 8330 $ ________________________ 8331

12. Other securities and commodities .......................................................................... $ ________________________ 8360 $ ________________________ 8361

13. Securities with no ready market

 A. Equity................................................................................................................. $ ________________________ 8340 $ ________________________ 8341

 B. Debt ................................................................................................................... $ ________________________ 8345 $ ________________________ 8346

 C. Other.................................................................................................................. $ ________________________ 8350 $ ________________________ 8351

 D. Total securities with no ready market ............................................................... $ ________________________ 12777 $ ________________________ 12782

14. Total net securities and spot commodities (sum of Lines 1-12 and 13D).............. $ ________________________ 12778 $ ________________________ 12783

15. Security-based swaps

 A. Cleared .............................................................................................................. $ ________________________ 12106 $ ________________________ 12114

 B. Non-cleared ....................................................................................................... $ ________________________ 12107 $ ________________________ 12115

16. Mixed swaps

 A. Cleared .............................................................................................................. $ ________________________ 12108 $ ________________________ 12116

 B. Non-cleared ....................................................................................................... $ ________________________ 12109 $ ________________________ 12117

17. Swaps

 A. Cleared .............................................................................................................. $ ________________________ 12110 $ ________________________ 12118

 B. Non-cleared ....................................................................................................... $ ________________________ 12111 $ ________________________ 12119

18. Other derivatives and options................................................................................. $ ________________________ 8295 $ ________________________ 8296

19. Counterparty netting ............................................................................................... $ ________________________ 12779 $ ________________________ 12784

20. Cash collateral netting ............................................................................................ $ ________________________ 12780 $ ________________________ 12785

21. Total derivative receivables and payables (sum of Lines 15-20)........................... $ ________________________ 12781 $ ________________________ 12786

22. Total net securities, commodities, and swaps positions

(sum of Lines 14 and 21).............................................................................................. $ ________________________ 8370 $ ________________________ 8371
FOCUS 

Report 

Part II

Schedule 2

SCHEDULE 2 – CREDIT CONCENTRATION REPORT FOR FIFTEEN LARGEST EXPOSURES IN DERIVATIVES

Items on this page to be reported by: Stand-Alone Broker-Dealer (Authorized to use models)

Stand-Alone SBSD 

Broker-Dealer SBSD 

Stand-Alone MSBSP 

Broker-Dealer MSBSP 

Name of Firm: _____________________________________

As of: ____________________________________________

33

I. By Current Net Exposure

Counterparty Identifier

Gross Replacement Value

Receivable Payable 

(Gross Gain) (Gross Loss)

Net Replacement 

Value Current Net Exposure

Current Net and 

Potential Exposure Margin Collected

1. 12120 $ 12135 $ 12151 $ 12167 $ 12183 $ 12199 $ 12215

2. 12121 $ 12136 $ 12152 $ 12168 $ 12184 $ 12200 $ 12216

3. 12122 $ 12137 $ 12153 $ 12169 $ 12185 $ 12201 $ 12217

4. 12123 $ 12138 $ 12154 $ 12170 $ 12186 $ 12202 $ 12218

5. 12124 $ 12139 $ 12155 $ 12171 $ 12187 $ 12203 $ 12219

6. 12125 $ 12140 $ 12156 $ 12172 $ 12188 $ 12204 $ 12220

7. 12126 $ 12141 $ 12157 $ 12173 $ 12189 $ 12205 $ 12221

8. 12127 $ 12142 $ 12158 $ 12174 $ 12190 $ 12206 $ 12222

9. 12128 $ 12143 $ 12159 $ 12175 $ 12191 $ 12207 $ 12223

10. 12129 $ 12144 $ 12160 $ 12176 $ 12192 $ 12208 $ 12224

11. 12130 $ 12145 $ 12161 $ 12177 $ 12193 $ 12209 $ 12225

12. 12131 $ 12146 $ 12162 $ 12178 $ 12194 $ 12210 $ 12226

13. 12132 $ 12147 $ 12163 $ 12179 $ 12195 $ 12211 $ 12227

14. 12133 $ 12148 $ 12164 $ 12180 $ 12196 $ 12212 $ 12228

15. 12134 $ 12149 $ 12165 $ 12181 $ 12197 $ 12213 $ 12229

All other counterparties $ 12150 $ 12166 $ 12182 $ 12198 $ 12214 $ 12230

Totals: $ 7810 $ 7811 $ 7812 $ 7813 $ 7814 $ 12231

II. By Current Net and Potential Exposure

Counterparty Identifier

Gross Replacement Value

Receivable Payable 

(Gross Gain) (Gross Loss)

Net Replacement 

Value Current Net Exposure

Current Net and 

Potential Exposure Margin Collected

1. 12232 $ 12247 $ 12264 $ 12281 $ 12298 $ 12315 $ 12332

2. 12233 $ 12248 $ 12265 $ 12282 $ 12299 $ 12316 $ 12333

3. 12234 $ 12249 $ 12266 $ 12283 $ 12300 $ 12317 $ 12334

4. 12235 $ 12250 $ 12267 $ 12284 $ 12301 $ 12318 $ 12335

5. 12236 $ 12251 $ 12268 $ 12285 $ 12302 $ 12319 $ 12336

6. 12237 $ 12252 $ 12269 $ 12286 $ 12303 $ 12320 $ 12337

7. 12238 $ 12253 $ 12270 $ 12287 $ 12304 $ 12321 $ 12338

8. 12239 $ 12254 $ 12271 $ 12288 $ 12305 $ 12322 $ 12339

9. 12240 $ 12255 $ 12272 $ 12289 $ 12306 $ 12323 $ 12340

10. 12241 $ 12256 $ 12273 $ 12290 $ 12307 $ 12324 $ 12341

11. 12242 $ 12257 $ 12274 $ 12291 $ 12308 $ 12325 $ 12342

12. 12243 $ 12258 $ 12275 $ 12292 $ 12309 $ 12326 $ 12343

13. 12244 $ 12259 $ 12276 $ 12293 $ 12310 $ 12327 $ 12344

14. 12245 $ 12260 $ 12277 $ 12294 $ 12311 $ 12328 $ 12345

15. 12246 $ 12261 $ 12278 $ 12295 $ 12312 $ 12329 $ 12346

All other counterparties $ 12262 $ 12279 $ 12296 $ 12313 $ 12330 $ 12347

Totals: $ 12263 $ 12280 $ 12297 $ 12314 $ 12331 $ 12348
FOCUS 

Report 

Part II

Schedule 3

SCHEDULE 3 – PORTFOLIO SUMMARY OF DERIVATIVES EXPOSURES BY INTERNAL CREDIT RATING

Items on this page to be reported by: Stand-Alone Broker-Dealer (Authorized to use models)

Stand-Alone SBSD 

Broker-Dealer SBSD 

Stand-Alone MSBSP 

Broker-Dealer MSBSP 

Name of Firm: _____________________________________

As of: ____________________________________________

34

Internal Credit Rating Gross Replacement Value

Receivable Payable

Net Replacement 

Value

Current Net 

Exposure

Payable

Current Net and 

Potential Exposure

Margin Collected

1. 12349 $ 12386. $ 12423. $ 12460. $ 12497. $ 12534. $ 12572.

2. 12350 $ 12387. $ 12424. $ 12461. $ 12498. $ 12535. $ 12573.

3. 12351 $ 12388. $ 12425. $ 12462. $ 12499. $ 12536. $ 12574.

4. 12352 $ 12389. $ 12426. $ 12463. $ 12500. $ 12537. $ 12575.

5. 12353 $ 12390. $ 12427. $ 12464. $ 12501. $ 12538. $ 12576.

6. 12354 $ 12391. $ 12428. $ 12465. $ 12502. $ 12539. $ 12577.

7. 12355 $ 12392. $ 12429. $ 12466. $ 12503. $ 12540. $ 12578.

8. 12356 $ 12393. $ 12430. $ 12467. $ 12504. $ 12541. $ 12579.

9. 12357 $ 12394. $ 12431. $ 12468. $ 12505. $ 12542. $ 12580.

10. 12358 $ 12395. $ 12432. $ 12469. $ 12506. $ 12543. $ 12581.

11. 12359 $ 12396. $ 12433. $ 12470. $ 12507. $ 12544. $ 12582.

12. 12360 $ 12397. $ 12434. $ 12471. $ 12508. $ 12545. $ 12583.

13. 12361 $ 12398. $ 12435. $ 12472. $ 12509. $ 12546. $ 12584.

14. 12362 $ 12399. $ 12436. $ 12473. $ 12510. $ 12547. $ 12585.

15. 12363 $ 12400. $ 12437. $ 12474. $ 12511. $ 12548. $ 12586.

16. 12364 $ 12401. $ 12438. $ 12475. $ 12512. $ 12549. $ 12587.

17. 12365 $ 12402. $ 12439. $ 12476. $ 12513. $ 12550. $ 12588.

18. 12366 $ 12403. $ 12440. $ 12477. $ 12514. $ 12551. $ 12589.

19. 12367 $ 12404. $ 12441. $ 12478. $ 12515. $ 12552. $ 12590.

20. 12368 $ 12405. $ 12442. $ 12479. $ 12516. $ 12553. $ 12591.

21. 12369 $ 12406. $ 12443. $ 12480. $ 12517. $ 12554. $ 12592.

22. 12370 $ 12407. $ 12444. $ 12481. $ 12518. $ 12555. $ 12593.

23. 12371 $ 12408. $ 12445. $ 12482. $ 12519. $ 12556. $ 12594.

24. 12372 $ 12409. $ 12446. $ 12483. $ 12520. $ 12557. $ 12595.

25. 12373 $ 12410. $ 12447. $ 12484. $ 12521. $ 12558. $ 12596.

26. 12374 $ 12411. $ 12448. $ 12485. $ 12522. $ 12559. $ 12597.

27. 12375 $ 12412. $ 12449. $ 12486. $ 12523. $ 12560. $ 12598.

28. 12376 $ 12413. $ 12450. $ 12487. $ 12524. $ 12561. $ 12599.

29. 12377 $ 12414. $ 12451. $ 12488. $ 12525. $ 12562. $ 12600.

30. 12378 $ 12415. $ 12452. $ 12489. $ 12526. $ 12563. $ 12601.

31. 12379 $ 12416. $ 12453. $ 12490. $ 12527. $ 12564. $ 12602.

32. 12380 $ 12417. $ 12454. $ 12491. $ 12528. $ 12565. $ 12603.

33. 12381 $ 12418. $ 12455. $ 12492. $ 12529. $ 12566. $ 12604.

34. 12382 $ 12419. $ 12456. $ 12493. $ 12530. $ 12567. $ 12605.

35. 12383 $ 12420. $ 12457. $ 12494. $ 12531. $ 12568. $ 12606.

36. 12384 $ 12421. $ 12458. $ 12495. $ 12532. $ 12569. $ 12607.

Unrated 12385 $ 12422. $ 12459. $ 12496. $ 12533. $ 12570. $ 12608.

Totals: $$ 7822. $ 7823. $ 7821. $ 7820. $ 12571. $ 12609.
FOCUS 

Report 

Part II

Schedule 4

SCHEDULE 4 – GEOGRAPHIC DISTRIBUTION OF DERIVATIVES EXPOSURES FOR TEN LARGEST COUNTRIES

Items on this page to be reported by: Stand-Alone Broker-Dealer (Authorized to use models)

Stand-Alone SBSD 

Broker-Dealer SBSD 

Stand-Alone MSBSP 

Broker-Dealer MSBSP 

Name of Firm: _____________________________________

As of: ____________________________________________

35

I. By Current Net Exposure

Country

Gross Replacement Value

Receivable Payable Net Replacement Value Current Net Exposure

Current Net and 

Potential Exposure Margin Collected

1. 12610 $ 12620 $ 12630 $ 12640 $ 12650 $ 12661 $ 12671 

2. 12611 $ 12621 $ 12631 $ 12641 $ 12651 $ 12662 $ 12672 

3. 12612 $ 12622 $ 12632 $ 12642 $ 12652 $ 12663 $ 12673 

4. 12613 $ 12623 $ 12633 $ 12643 $ 12653 $ 12664 $ 12674 

5. 12614 $ 12624 $ 12634 $ 12644 $ 12654 $ 12665 $ 12675 

6. 12615 $ 12625 $ 12635 $ 12645 $ 12655 $ 12666 $ 12676 

7. 12616 $ 12626 $ 12636 $ 12646 $ 12656 $ 12667 $ 12677 

8. 12617 $ 12627 $ 12637 $ 12647 $ 12657 $ 12668 $ 12678 

9. 12618 $ 12628 $ 12638 $ 12648 $ 12658 $ 12669 $ 12679 

10. 12619 $ 12629 $ 12639 $ 12649 $ 12659 $ 12670 $ 12680 

Totals: $ 7803 $ 7804 $ 7802 $ 12660 $ 7801 $ 12681 

II. By Current Net and Potential Exposure

Country

Gross Replacement Value

Receivable Payable Net Replacement Value Current Net Exposure

Current Net and 

Potential Exposure Margin Collected

1. 12682 $ 12692 $ 12703 $ 12714 $ 12725 $ 12736 $ 12747 

2. 12683 $ 12693 $ 12704 $ 12715 $ 12726 $ 12737 $ 12748 

3. 12684 $ 12694 $ 12705 $ 12716 $ 12727 $ 12738 $ 12749 

4. 12685 $ 12695 $ 12706 $ 12717 $ 12728 $ 12739 $ 12750 

5. 12686 $ 12696 $ 12707 $ 12718 $ 12729 $ 12740 $ 12751 

6. 12687 $ 12697 $ 12708 $ 12719 $ 12730 $ 12741 $ 12752 

7. 12688 $ 12698 $ 12709 $ 12720 $ 12731 $ 12742 $ 12753 

8. 12689 $ 12699 $ 12710 $ 12721 $ 12732 $ 12743 $ 12754 

9. 12690 $ 12700 $ 12711 $ 12722 $ 12733 $ 12744 $ 12755 

10. 12691 $ 12701 $ 12712 $ 12723 $ 12734 $ 12745 $ 12756 

Totals: $ 12702 $ 12713 $ 12724 $ 12735 $ 12746 $ 12757