Form X-17A-5 

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Report

Part IIC

Cover Page

UNITED STATES SECURITIES AND EXCHANGE COMMISSION

FOCUS REPORT (FINANCIAL AND OPERATIONAL COMBINED UNIFORM SINGLE REPORT)

Part IIC 11

OMB APPROVAL

OMB Number: 3235-0749

Expires: 7/31/2024

Estimated average burden 

(Please read instructions before preparing Form) hours per response: 4.00

Name of Firm: _____________________________________ 

As of: ____________________________________________

1

This report is being filed by an: 

1) SBSD with a prudential regulator (bank SBSD)................................................................................................................ 12820

2) MSBSP with a prudential regulator (bank MSBSP).......................................................................................................... 12821

This report is being filed by a: U.S. person 12007 Non-U.S. person 12008

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

1) Special request by the Commission.................................................................................................................................. 19

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

3) 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 security-based swap customer accounts?................................................................ Yes 40 No 41

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 ____________________, 20_____. 

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).) 

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.
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Part IIC

BALANCE SHEET (INFORMATION AS REPORTED ON FFIEC FORM 031 – SCHEDULE RC)

Items on this page to be reported by a: Bank SBSD 

Bank MSBSP

Name of Firm: _____________________________________ 

As of: ____________________________________________

2

Assets Totals

1. Cash and balances due from depository institutions (from FFIEC Form 031’s Schedule RC-A)

A. Noninterest-bearing balances and currency and coin ........................................................................................................ $ _________________ 0081b

B. Interest-bearing balances ................................................................................................................................................... $ _________________ 0071b

2. Securities

A. Held-to-maturity securities .................................................................................................................................................. $ _________________ 1754b

B. Available-for-sale securities................................................................................................................................................ $ _________________ 1773b

3. Federal funds sold and securities purchased under agreements to resell

A. Federal funds sold in domestic offices................................................................................................................................ $ _________________ B987b

B. Securities purchased under agreements to resell .............................................................................................................. $ _________________ B989b

4. Loans and lease financing receivables (from FFIEC Form 031’s Schedule RC-C)

A. Loans and leases held for sale ........................................................................................................................................... $ _________________ 5369b

B. Loans and leases, net of unearned income $ _________________ B528b

C. LESS: Allowance for loan and lease losses $ _________________ 3123b

D. Loans and leases, net of unearned income and allowance (Line 4B minus Line 4C)....................................................... $ _________________ B529b

5. Trading assets (from FFIEC Form 031’s Schedule RC-D) ...................................................................................................... $ _________________ 3545b

6. Premises and fixed assets (including capitalized leases)........................................................................................................ $ _________________ 2145b

7. Other real estate owned (from FFIEC Form 031’s Schedule RC-M)....................................................................................... $ _________________ 2150b

8. Investments in unconsolidated subsidiaries and associated companies................................................................................. $ _________________ 2130b

9. Direct and indirect investments in real estate ventures ........................................................................................................... $ _________________ 3656b

10. Intangible assets

A. Goodwill............................................................................................................................................................................... $ _________________ 3163b

B. Other intangible assets (from FFIEC Form 031’s Schedule RC-M)................................................................................... $ _________________ 0426b

11. Other assets (from FFIEC Form 031’s Schedule RC-F)......................................................................................................... $ _________________ 2160b

12. Total assets (sum of Lines 1 through 11)................................................................................................................................ $ _________________ 2170b
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Part IIC

BALANCE SHEET (INFORMATION AS REPORTED ON FFIEC FORM 031 – SCHEDULE RC)

Items on this page to be reported by a: Bank SBSD 

Bank MSBSP

Name of Firm: _____________________________________

As of: ____________________________________________

3

Liabilities Totals

13. Deposits

A. In domestic offices (sum of totals of Columns A and C from FFIEC Form 031’s Schedule RC-E, part I) ......................... $ _________________ 2200b

1. Noninterest-bearing $ _________________ 6631b

2. Interest-bearing $ _________________ 6636b

B. In foreign offices, Edge and Agreement subsidiaries, and IBFs (from FFIEC Form 031’s Schedule RC-E, part II).......... $ _________________ 2200bb

1. Noninterest-bearing $ _________________ 6631bb

2. Interest-bearing $ _________________ 6636bb

14. Federal funds purchased and securities sold under agreements to repurchase....................................................................

A. Federal funds purchased in domestic offices...................................................................................................................... $ _________________ B993b

B. Securities sold under agreements to repurchase ............................................................................................................... $ _________________ B995b

15. Trading liabilities ...................................................................................................................................................................... $ _________________ 3548b

16. Other borrowed money (includes mortgage indebtedness and obligations under capitalized leases) (from FFIEC Form 031’s 

Schedule RC-M)............................................................................................................................................................................. $ _________________ 3190b

17. Not applicable. .........................................................................................................................................................................

18. Not applicable. .........................................................................................................................................................................

19. Subordinated notes and debentures ....................................................................................................................................... $ _________________ 3200b

20. Other liabilities (from FFIEC Form 031’s Schedule RC-G) ..................................................................................................... $ _________________ 2930b

21. Total liabilities (sum of Lines 13 through 20)........................................................................................................................... $ _________________ 2948b

22. Not applicable. .........................................................................................................................................................................

Equity Capital

23. Perpetual preferred stock and related surplus ........................................................................................................................ $ _________________ 3838b

24. Common stock ......................................................................................................................................................................... $ _________________ 3230b

25. Surplus (exclude all surplus related to preferred stock).......................................................................................................... $ _________________ 3839b

26 A. Retained earnings ............................................................................................................................................................... $ _________________ 3632b

B. Accumulated other comprehensive income ........................................................................................................................ $ _________________ B530b

C. Other equity capital components......................................................................................................................................... $ _________________ A130b

27A. Total bank equity capital (sum of Lines 23 through 26.C) ................................................................................................... $ _________________ 3210b

B. Non-controlling (minority) interests in consolidated subsidiaries........................................................................................ $ _________________ 3000b

28. Total equity capital (sum of Lines 27A and 27B)..................................................................................................................... $ _________________ G105b

29. Total liabilities and equity capital (sum of Lines 21 and 28).................................................................................................... $ _________________ 3300b
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Part IIC

REGULATORY CAPITAL (INFORMATION AS REPORTED ON FFIEC FORM 031 – SCHEDULE RC-R)

Items on this page to be reported by a: Bank SBSD 

Bank MSBSP

Name of Firm: _____________________________________

As of: ____________________________________________

4

Capital Totals

1. Total bank equity capital (from FFIEC Form 031’s Schedule RC, Line 27A) .................................................................................................................. $ _________________ 3210b

2. Tier 1 capital ..................................................................................................................................................................................................................... $ _________________ 8274b

3. Tier 2 capital ..................................................................................................................................................................................................................... $ _________________ 5311b

4. Tier 3 capital allocated for market risk.............................................................................................................................................................................. $ _________________ 1395b

5. Total risk-based capital..................................................................................................................................................................................................... $ __________________ 3792b

6. Total risk-weighted assets ................................................................................................................................................................................................ $ _________________ A223b

7. Total assets for the leverage ratio.................................................................................................................................................................................... $ _________________ A224b

Capital Ratios (Column B is to be completed by all banks. Column A is to be completed 

by banks with financial subsidiaries.)

Column A Column B

8. Tier 1 leverage ratio.......................................................................................................................... $ _________________ 7204b

9. Tier 1 risk-based capital ratio ........................................................................................................... $ _________________ 7206b $ _________________ 7206bb

10. Total risk-based capital ratio............................................................................................................ $ _________________ 7205b $ _________________ 7205bb
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Part IIC

INCOME STATEMENT (INFORMATION AS REPORTED ON FFIEC FORM 031 – SCHEDULE RI)

Items on this page to be reported by a: Bank SBSD 

Bank MSBSP

Name of Firm: _____________________________________

As of: ____________________________________________

5

Totals

1. Total interest income ................................................................................................................................................................................................................ $ _________________ 4107b

2. Total interest expense .............................................................................................................................................................................................................. $ _________________ 4073b

3. Total noninterest income .......................................................................................................................................................................................................... $ _________________ 4079b

4. Total noninterest expense ........................................................................................................................................................................................................ $ _________________ 4093b

5. Realized gains (losses) on held-to-maturity securities............................................................................................................................................................. $ _________________ 3521b

6. Realized gains (losses) on available-for-sale securities .......................................................................................................................................................... $ _________________ 3196b

7. Income (loss) before income taxes and extraordinary items and other adjustments .............................................................................................................. $ _________________ 4301b

8. Net income (loss) attributable to bank...................................................................................................................................................................................... $ _________________ 4340b

9. Trading revenue (from cash instruments and derivative instruments) 

A. Interest rate exposures ....................................................................................................................................................................................................... $ _________________ 8757b

B. Foreign exchange exposures.............................................................................................................................................................................................. $ _________________ 8758b

C. Equity security and index exposures .................................................................................................................................................................................. $ _________________ 8759b

D. Commodity and other exposures........................................................................................................................................................................................ $ _________________ 8760b

E. Credit exposures ................................................................................................................................................................................................................. $ _________________ F186b

Lines 9F and 9G are to be completed by banks with $100 billion or more in total assets that are required to complete lines 9A through 9E above.

F. Impact on trading revenue of changes in the creditworthiness of the bank’s derivative counterparties on the bank’s derivative assets)........................ $ _________________ K090b

G. Impact on trading revenue of changes in the creditworthiness of the bank on the bank’s derivative liabilities................................................................. $ _________________ K094b

10. Net gains (losses) recognized in earnings on credit derivatives that economically hedge credit exposures held outside the trading account 

A. Net gains (losses) on credit derivatives held for trading..................................................................................................................................................... $ _________________ C889b

B. Net gains (losses) on credit derivatives held for purposes other than trading.................................................................................................................... $ _________________ C890b

11. Credit losses on derivatives..................................................................................................................................................................................................... $ _________________ A251b
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Report 

Part IIC

COMPUTATION FOR DETERMINATION OF SECURITY-BASED SWAP CUSTOMER RESERVE REQUIREMENTS

Items on this page to be reported by a: Bank SBSD (if not exempt from Rule 18a-4) 

Name of Firm: _____________________________________ 

As of: ____________________________________________

6

CREDIT BALANCES

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

swap customers (see Note A).................................................................................................................. $ ____________________ 12822

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

swap customers (see Note B) ................................................................................................................. $ ____________________ 12823

3. Monies payable against security-based swap customers' securities loaned (see Note C) .................... $ ____________________ 12824

4. Security-based swap customers' securities failed to receive (see Note D)............................................. $ ____________________ 12825

5. Credit balances in firm accounts attributable to principal sales to security-based swap customers ...... $ ____________________ 12826

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

over 30 calendar days ............................................................................................................................. $ ____________________ 12827

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

accounts over 30 calendar days.............................................................................................................. $ ____________________ 12828

8. 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................................ $ ____________________ 12829

9. Other (List: __________________________________________________________) ........................ $ ____________________ 12830

10. TOTAL CREDITS..................................................................................................................................................................................................... $ ______________________ 12839

DEBIT BALANCES

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

accounts and accounts doubtful of collection (see Note E)................................................................... $ ____________________ 12831

12. 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................. $ ____________________ 12832

13. Failed to deliver of security-based swap customers' securities not older than 30 calendar days ......... $ ____________________ 12833

14. 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) ................ $ ____________________ 12834

15. 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) ................................ $ ____________________ 12835

16. 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) ...... $ ____________________ 12836

17. 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.................................................................................... $ ____________________ 12837

18. Other (List: __________________________________________________________)...................... $ ____________________ 12838

19. TOTAL DEBITS........................................................................................................................................................................................................ $ ______________________ 12840

RESERVE COMPUTATION

20. Excess of total debits over total credits (Line 19 less Line 10) ................................................................................................................................ $ ______________________ 12787

21. Excess of total credits over total debits (Line 10 less Line 19) ................................................................................................................................ $ ______________________ 12788

22. Amount held on deposit in "Reserve Account(s)," including value of qualified securities, at end of reporting period ............................................ $ ______________________ 12789

23. Amount of deposit (or withdrawal) including $ ______________ 12790 value of qualified securities ................................................................... $ ______________________ 12791

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

$ ______________ 12792 value of qualified securities ............................................................................................................................................... $ ______________________ 12793

25. Date of deposit (MM/DD/YY).................................................................................................................................................................................... $ ______________________ 12794

References to notes in this section refer to the notes to 17 CFR 240.18a-4a.
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Part IIC

POSSESSION OR CONTROL FOR SECURITY-BASED SWAP CUSTOMERS

Items on this page to be reported by a: Bank SBSD (if not exempt from Rule 18a-4)

Name of Firm: _____________________________________

As of: ____________________________________________

7

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 18a-4. Notes A and B................................................................... $ ___________________ 12795

A. Number of items........................................................................................................................................................................................... ___________________ 12796

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 18a-4. ........................................................................................................................................................... $ ___________________ 12797

A. Number of items........................................................................................................................................................................................... ___________________ 12798

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 18a-4................................................................................................................... Yes __________________ 12799 No ___________________ 12800

Notes:

A – Do not include in Line 1 security-based swap customers' excess securities collateral required by Rule 18a-4 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 18a-4.

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 IIC

CLAIMING AN EXEMPTION FROM RULE 18a-4

Items on this page to be reported by a: Bank SBSD

Name of Firm: _____________________________________

As of: ____________________________________________

8

EXEMPTION FROM RULE 18a-4

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

SCHEDULE 1 – AGGREGATE SECURITY-BASED SWAP AND SWAP POSITIONS

Items on this page to be reported by a: Bank SBSDs

 Bank MSBSPs

Name of Firm: _____________________________________

As of: ____________________________________________

Aggregate Positions LONG/BOUGHT SHORT/SOLD

1. Security-based swaps

A. Cleared..................................................................................................................................... $ _______________________ 12106 $ _______________________ 12114

B. Non-cleared.............................................................................................................................. $ _______________________ 12107 $ _______________________ 12115

2. Mixed swaps

A. Cleared..................................................................................................................................... $ _______________________ 12108 $ _______________________ 12116

B. Non-cleared.............................................................................................................................. $ _______________________ 12109 $ _______________________ 12117

3. Swaps

A. Cleared..................................................................................................................................... $ _______________________ 12110 $ _______________________ 12118

B. Non-cleared.............................................................................................................................. $ _______________________ 12111 $ _______________________ 12119

4. Other derivatives ............................................................................................................................. $ _______________________ 8295 $ _______________________ 8296

5. Total (sum of Lines 1-4) .................................................................................................................. $ _______________________ 12808 $ _______________________ 12816