Alternate or Basic indication
Name of Broker Dealer
SEC File Number
Firm ID number
Rule 17a-5(a)
Rule 17a-5(b)
Rule 17a-11
Special Req of DEA
Firm No. and Street
Firm City
Firm State
Firm Zip Code
Period Begin Date
Period End Date
Other
Name of Person to Contact
Phone of Person to Contact
Subsidiary or Affiliate 1
Phone of Affiliate 1
Subsidiary or Affiliate 2
Phone of Affiliate 2
Subsidiary or Affiliate 3
Phone of Affiliate 3
Subsidiary or Affiliate 4
Phone of Affiliate 4
Respondent carries customer accounts
Respondent does not carry customer accounts
Filing Audited Report
SEC File Number
Period End Date/As of Date
Total inventory - includes encumbered securit
Sec Owned Not Readily Mktble-at cost
Other Invs Not Readily Mktble-at cost
Mkt Val S/B-Subord & Ptr Accts-Exempt Sec
Mkt Val S/B-Subord & Ptr Accts-Other Sec
Mkt Val SDN Collateral-Exempt Sec
Mkt Val SDN Collateral-Other Sec
Membership in Exchs-Owned at market
ConsolidateTime - Check
UnconsolidateTime - Check
Cash
Cash Seg'd in Compl with Fed & Other Regs
Fails To Deliver Incl In Reserve Form
Fails to Deliver-Other
Sec Borrowed Incl In Reserve Form
Securities Borrowed-Other
Omnibus Accts Incl In Reserve Formula
Omnibus Accounts-Other
Cl Org Incl In Reserve Form
Cl Org-Other
Derivatives Receivables
Trade Date Receivable
Allow Recble fr B/Ds - Clear Accts
Allow-Rec from B/D and Cl Org- Other
Allow-Rec Fr Cust-Cash & Fully Secured
Allow-Rec Fr Cust-Partly Secured
Allow-Rec Fr Cust-Commodity Accts
Allowance For Doubtful A/Cs
Allow-Rec Fr Non-Cust-Cash & Fully Sec A/Cs
Allow-Partly Sec and Unsec Non-cust A/Cs
Allow Recbles From Non-Customers
Allow-Reverse Repurchase Agreements
Bankers Accept C/Ds & C/Ps - Owned at Mkt
U.S. & Canadian Gov't Oblig.-Owned at Mkt
State & Muni Gov't Oblig.-Owned at Mkt
Corporate Obligations-Owned at Mkt
Allow-Mkt Value Stocks & Warrants
Allow-Mkt Val-Exempt Secs Own
Allow-Mkt Val-Debt Secs Own
Allow-Mkt Val Options
Allow-Mkt Val Arbitrage Secs.
Allow-Mkt Val Other Securities
Allow-Mkt Val Spot Commodities
Allow-Est Fair Val Sec Not Readily Mktble
Allow-Est Val Oth Inv Not Readily Mktble
Allow-S/B under Subord & Ptrs Cap Secs A/Cs
Allow-Secured Demand Notes
Allow-Invst in & Rec Fr Affil/subs/Ptrshps
Allow-Property, Eq, Leashold
Allow-Dividend & Int Rec
Allow-Free Shipments
Allow-Loans And Advances
Allow-Miscellaneous Assets
Allow-Other Assets
Collateral accepted under SFAS 140
SPE Assets
Total Allowable Assets
Non-Allow-Rec Fr B/D and Cl Org-Other
Non-Allow-Partly Secured Cust A/Cs
Non-Allow-Unsecured Customer A/Cs
Non-Allow-Rec Fr Cust Commodity Accts
Non-Allow-Allowance for Doubtful A/Cs
Non-Allow-Rec Fr Non-Cust Prtly Sec & Unsec
Non-Allow-Reverse Repurchase Agreements
NonAllow-Secs & Invsts Not Readily Mktble
NonAllow-Other Invsts Not Readily Mktble
NonAllow-S/B Subord Agr & Ptrs Cap Secs A/C
NonAllow-Secured Demand Notes
NonAllow-Memberships in Exchs Owned at cost
NonAllow-Membships in Exchs Contrib at cost
NonAllow-Invst in&Rec Fr Affil/Subs/Ptrshps
NonAllow-Prop, Equip, Lease Agr-Net of Depr
NonAllow-Dividend & Int Recbl
NonAllow-Free Shipments
NonAllow-Loans & Advances
NonAllow-Other Assets - Miscellaneous
NonAllow-Other Assets
Total Nonallowable Assets
Total Cash
Total Cash Seg'd in Comp w/ Fed & Other Reg
Total Fails To Deliver
Total-Securities Borrowed
Total-Recble From B/D's Omnibus Accounts
Total-Recble Fr. B/D's - Clearing Org
Derivative Receivables
Trade Date Receivable
Total-Recble Fr. B/D's - Other
Total-Receivable From Customers
Total-Receivable from Non-cust Accounts
Total-Reverse Repurchase Agreements
Secs and Spot Commod Owned at Market Value
Total Secs and Spot Commod Owned at Market
Total-Secs Owned not Readily Mktble
Total-Other Inv Not Readily Mktble
Total-S/B under Subord & Ptrs Cap Sec A/Cs
Total--Secured Demand Notes
Total-Membership in Exchanges
Total-Invst in & Rec Fr Affil/Subs/Ptrshps
Total-Prop, Equip, Lease Agr-Net of Depr
Total-Other Assets
Total Assets
Customer Free Credits
Short Sec Position incl Arbitrage of
Subordinated Liab-Cash-Outsiders
Subordinated Liab-Cash-Equity per 15c3-1(d)
Sec Borrowed At Mkt Value - Outsiders
Secured Demand Note - Outsiders
Secured Demand Note-Equity per 15c3-1(d)
Limited Ptrs Ownership Equity of
AI-Bk Loans Payable Incl Reserve Form
AI-Bank Loans Payable-Other
AI-Bank Loans Payable
AI-Fail to Receive Incl in Reserve Formula
AI-Fail to Receive-Other
AI-Securities Loaned Incl in Reserve Form
AI-Securities Loaned-Other
AI-Omnibus A/Cs incl in Reserve Form
AI-Omnibus Accounts-Other
AI-Pyble Cl Org Incl in Reserve Form
AI-Payable to Cl Org-Other
AI-Payable to B/Ds-Other
AI-Payable To B/Ds - Clear Acct.
AI-Payable To B/Ds - Other
AI-Payable To Customers
AI-Payable To Customers-Commodity Accts
AI-Payable To Non-Customers Sec Accts
AI-Payable to Non-Cust Commodity Accts
AI-Payable To Non-Customers
AI-Drafts Payable
AI-Accounts Payable
AI-Income Taxes Payable
AI-Accrued Exp & Other Liabilities
AI-Accts Payable & Accr Liab - Other
AI-Accts Payable - Accr. Liab, Exps & Othr
AI-Notes & Mortgage Payable-Unsecured
AI-Notes & Mortgage Payable-Secured
AI-A/Cs & Other Borrow Not Qual Net/Cap
Total AI Liabilities
NonAI-Bank Loans Payable Incl Reserve Form
NonAI-Bank Loans Payable-Other
Non AI-Bank Loans Payable
NonAI-Repurchase Agreements
NonAI-Fail to Receive Incl Reserve Form
NonAI-Fail to Receive Other
NonAI-Securities Loaned
NonAI-Omnibus Accounts Payable
Non AI-Payable to B/Ds - Other
NonAI-Clearing Org Payable
Non AI-Payable to B/Ds Clear. A/C
NonAI-Payable to B/D & Cl Org-Other
NonAI-Payable to Cust Commodity Accts
NonAI-Payable to Noncustomers Secs Accts
NonAI-Payable to Non-Cust Commod Accts
Non AI-Payable To Non-Customers
NonAI-Sec Sold Not Yet Purch At Mkt Val
NonAI-Deferred Income Taxes
NonAI-Accts Pbl,Accr Liab-Other
Non AI-Acc Pay-Accr Liab,Exp & Othr
Obligation to return securities
SPE Liabilities
NonAI-Notes & Mortgages Payable
Non Ai-Liab Sub To Claims Gen Cred - Cash
Non AI-Liab Sub To Claims Gen Cred-Sec Borr
Non AI-Liab Sub To Claims Gen Credit-SDN
Non AI-Exch Memb Contr Firm Use-Mkt Val
Non-AI-A/Cs Other Borrow Not Qual Net/Cap
Total Non AI Liabilities
Total-Bk Loans Payable Incl Reserve Form
Total Bank Loans Payable - Other
Total Sec Sold Repo Agreements
Total Fail to Receive Incl in Reserve Form
Total Fail to Receive-Other
Total Secs Loaned Incl Reserve Form
Total Securities Loaned-Other
Total Omnibus A/Cs Payble incl Reserve Form
Total Omnibus Accounts Payable-Other
Total Payable to Cl Org incl Reserve Form
Total Payable to Cl Org-Other
Derivative Payables
Trade Date Payable
Total-Payable to B/D's-Other
Total-Payable to Customers-Sec A/Cs
Total-Payable to Cust-Commodities A/Cs
Total-Payable to Noncustomers-Sec A/Cs
Total-Payable to Noncustomers-Commod A/Cs
Total-Secs Sold Not Yet Purchd-At Mkt
Total-Drafts Payable
Total-Accts Payable
Total-Income Taxes Payable
Total-Deferred Income Taxes
Total-Accrued Expenses & Oth Liabilities
Total Accounts Payable & Accr Exp-Other
Total-Accts Payble Accr Liab, Exp & Other
Total obligation to return securities
Total SPE Liabilities
Total-Notes & Mortgage Payable-Unsecured
Total-Notes & Mortgage Payable-Secured
Total-Liab Sub To Claims Gen Cred-Cash
Total-S/B Sub to Claims of Gen Cred-Mkt Val
Total-Secured Demand Note Agreements
Total-Exch Membship Contributed
Total-A/Cs & Oth Borrow Not Qual Net/Cap
Total Liabilities
Ownership Eq Sole Proprietor
Total Partners Ownership Equity
Owners Eq-Preferred Stock
Owners Eq-Common Stock
Owners Eq-Additional Paid in Capital
Owners Eq-Retained Earnings
Owners Eq-Total Stock + R.E.
Less Capital Stock in Treasury
Total Ownership Equity
Total Liabilities & Ownership Equity
Free Credit Bal-Other Credit Bal in PAIB
B/L-Collateralized by PAIB Securities
Monies Payable vs PAIB Securities Loaned
PAIB Securities Fails to Receive
Credit Bal Firm A/C From Prin Sales to PAIB
MV-Stock Divided Etc-Out Over 30 Cal Days in PAB
MV-Short Count Differences Over 30 Cal Days in PAB
Susp Accts-SMV and Credits Over 30 Cal Days in PAB
MV-Unconfirmed Transfers Over 40 Cal Days in PAB
Other Credits - PAIB
Total PAIB Credits
Fully Secured Debit Bal in PAIB
Stock Borrowed vs PAIB
F/D PAIB-Not Older than 30 Calendar Days
Margin Req and on Dep at OCC in PAIB
Margin related to sec. fut. prods (PAIB acct)
Other Debits - PAIB
Total PAIB Debits - PAIB
Excess Total Debits over Total Credits - PAIB
Excess Total Credits over Total Debits - PAIB
Excess Debits in Cust Reserve Formula Comp
PAIB Reserve Requirement
Val. of Qual Securities in PAIB Reserve A/C
Amt on Dep in PAIB Res A/C at end of Period
Val of Qual Sec in PAIB Res A/C Dep or W/D
Amt of Dep or Withdrawal from PAIB Res A/C
New Val. of Qual Sec in PAIB Reserve A/C
New Amt on Deposit in PAIB Reserve A/C
Date of Deposit (MMDDYY)
Frequency of PAIB Computation-Daily
Frequency of PAIB Computation-Weekly
Frequency of PAIB Computation-Monthly
Num of Aged Fail to Deliver
Aged Short Security Diff Reserve Of:
Reserve Short Sec Dif # of Items:
Total Ownership Equity
Deduct Owners Equity Not Allow for Net Cap
Total Owners Eq Qualified for Net Capital
Allowable Subordinated Liab
Other(Deducts)/Allowable Credits (List)
Total Capital & Allow Subord Liab
Total Non-Allow Assets from SFC
Additional Charges-Cust & NonCust Sec Ac
Additional Charges-Cust & Noncust commodity
Aged Fail To Deliver Charges
Aged Short Sec Differences
Secured Demand Note Deficiency
Commod Futures & Spot Commod Cap Charges
Other Deductions And/Or Charges
Ded For A/Cs per 15c3-1(a)6, (a)7, (c)(2)x
Total Deductions And/Or Charges
Other Additions and/or Allowable Credits
Total Value at Risk
Total Market Risk Exposure
Fixed income VAR
Currency VAR
Commodities VAR
Equities VAR
Net Capital Before Haircuts
Credit derivaties VAR
Diversification Benefit
Total Diversified VAR (1A lass 1B)
Multiplication Factor
Ded. for specific risk unless inc in 1 above
Risk Deduction using scenario analysis
Fixed income
Currency
Undue Concentration
Commodities
Equities
Credit derivaties
Subtotal (If 1C is positive multiply by 1D)
Credit risk weight < or = 20%
Credit risk weight > 20% and < or = 50%
Credit risk weight > 50%
Counter party concentration charge
Haircuts Contractual Commitments
Residual Marketable Sec. (15c3-1(c)(2)(vi))
Haircuts-Subordinated S/B
Credit Risk Charge(counter party)
Total Mkt. Risk Exp.(add 1E,2,3,4 and 5)
Portfolio concentration charge
Total Cr Risk Exp. (add lines 6A, 6B and 6C)
Haircuts-Bks Accep, Cert Dep
Total Credit Risk Exposure (add lines 6A, 6B)
Haircuts-US & Canad Govt Oblig
Haircuts-St & Muni Govt Oblig
Haircuts-Corporate Obligations
Haircuts-Stocks & Warrants
Haircuts-Options
Haircuts-Arbitrage
Haircuts-Debt Securities
Haircuts-Other Securities
Haircuts-Exempted Securities
Haircuts-Other (List)
Total Haircuts On Security Positions
Net Capital
Minimum Net Capital Req - Basic
Min Dollar Net Cap Req - Basic
Net Capital Requirement
Excess Net Capital - Basic
Excess Net Capital At 1000% - Basic
Total AI Liabilities from SFC
Add: Drafts For Immediate Credit
Add: Mkt Val Of S/B-No Equiv Val Pd. or CR
Add: Other Unrecorded Amounts (List)
Total Additions to AI Liab
Adj Based On Reserve A/C 15c3-1(c)(1)(VIII)
Total Aggregate Indebtedness
% Of Aggregate Indebt to Net Cap
% Of Net Cap To Aggreg Debits
Options Deductions/Net Cap Ratio-1000% Test
% Of AI To NC After Cap W/drawals
% Of N/C-After Antic Cap Withd to Aggr Drs
% Of Debt To Debt-Eqty Total-15C3-1(d)
2% Of Aggregate Debit Items - Alt Method
Min Dollar Net Capital Req - Alt Method
Gains/Losses Secs Trad Acc w/ Hedg - Int Rate/Fixed Inc Prod
Gains/Losses Secs Trad Acc w/ Hedg - Currency
Gains/Losses Secs Trad Acc w/ Hedg - Equity
Gains/Losses Secs Trad Acc w/ Hedg - Commodity
Excess Net Capital-Alter
N/C in Exc of Grtr of 5% of ADI or 120% MNCR
Intrest Rate/Fixed Income Products
Currency
Equity Products
Commodity Products
Other
Total gains or (losses)
Number of Months
P/L-For The Period (MmDdYy) From
P/L-For The Period (MmDdYy) To
Commission on Listed Equity Securities
Commission on Listed Secs Executed OTC
Commission on Listed Options
All Other Securities Commissions
Total Securities Commissions
P/L-Market Making in OTC Equity Securities
P/L-OTC Market Making in Listed Equity Sec
P/L-Trading in Debt Securities
P/L-Market Making in Listed Options
P/L-From All Other Trading
Total Gains or (Losses)
Gains/Losses Secs Trad Acc w/ Hedg - Other
Gains or Losses on Firm Securities Investment
Other Interest
P/L from Underwriting and Selling Groups
Margin Interest
Revenue From Sale of Invest Company Shares
Fees-Supervision, Advisory, Administration
Revenue From Research Services
Other Revenue Sec Business
Commodities Revenue
Commissions on commodity transactions
Other Revenue
Total Revenue
Clerical-Administrative Employee Expenses
Floor Brokerage Paid to Certain Brokers
Communications Costs
Includes Int. on Subordinated Agreements
Interest Expense
Occupancy and Equipment Costs
Other Expenses
Registered Reps' Compensation
Other Employee Compensation and Benefits
Employment Exp-GP-Voting Stockhold Officers
Includes Int Credited to GP and LP Cap Acct
Clearance Paid to Non-Brokers
Commisions Paid to Other Broker-Dealers
Comm & Clearance Paid to All Other Brokers
Promotional Costs
Losses in Error Account and Bad Debts
Data Processing Costs
Non-Recurring Charges
Regulatory Fees and Expenses
Total Expenses
P/L Before Federal Inc Taxes
Current Mo P/L Before Fed Tax Extraord Items
Provision for Federal Inc Taxes
Equity in P/L Of unconsol subs
Extraordinary Gains(Losses)
Cumulative Effect-Changes in Accounting
P/L After Fed Inc Taxes and Extraord Items
Realized P/L-Investment Account
Unrealized P/L-Investment Account
Includes Underwriting Income for Equity Sec
After Federal Income Taxes of
After Federal Income Taxes of
Ownership Equity,Bal Beginning
Net Income
Additions to Own Eq-Incl Non-Conforming Cap
Additions incl Non-Conforming Cap of
Deduct fr Own Eq-Incl Non-Conforming Cap
Deductions Incl Non-Conforming Cap of
Own Eq Bal at End Of Period (Fr. I1800)
Subord Liab - Bal at Beg of Period
Increases to Subord Liab
Decreases to Subord Liab
Subord Liab-Bal at End Of Period (Fr I3520)
Frequency Of Computation-Daily
Frequency Of Computation-Weeky
Frequency Computation-Monthly
Name of Clearing Firm That Clears Through
Free Credit Bal-Other Credit Bal-Cust Accts
B/L - Collateralized by Customer Securities
Monies Payable vs Cust Securities Loaned
Customers' Securities Failed to Receive
Cred Bal Firm a/c From Prin Sales to Cust
MV-Stock Divided Etc-Out Over 30 Cal Days
MV-Short Count Differences Over 30 Cal Days
Susp Accts-SMV and Credits Over 30 Cal Days
MV-Unconfirmed Transfers Over 40 Cal Days
Other Credit Balances
Total Credits
Fully Secured Debit Bal in Customers' Accts
Stock Borrow - Customer Related
F/D Customers - Not Older than 30 Cal Days
Margin Required and on Deposit at OCC- Cust
Margin related to sec. fut. prods (cust acct)
Other-Debit Balances
Aggregate Debit Items
Less 3% of Aggregate Debits-Alternate Only
Total 15C3-3 Debits
Excess of Total Debits Over Total Credits
Excess of Total Credits Over Total Debits
105% Of Total Cr Over Total Dr (monthly)
Val of Qual Sec Amt on Deposit in Reserve Bank Acct
Amt On Deposit in Res Acc at end of period
Val of Qual Sec Deposited or withdrawn
Total Amount of Deposit or Withdrawal
Tot Amt of Qual Sec after deposit or w/draw
Total Amt in Res A/C after dep or withdrawl
Date Of Deposit (MmDdYy)
Exempt Provisions (K)(1)2,500
Special Acct Benefit Of Cust-(K)(2)(A)
Cust Tran Clear Thru Broker(K)(2)(B)
Exempt By Order Of Commission(K)(3)
System Util Maintain Poss-Yes
System Util Maintain Poss-No
Custs' Paid Sec,Excess Margin
Custs' Paid Sec-No. Of Items
Custs Fly Pd,Excess Margin Sec
Number of Items
1) Type of Proposed Withdrawal or Accrual
1) Name of Lender or Contributor
1) Insider or Outsider
1) Amount to be Withdrawn
1) (MM/DD/YY) Withdrawal or Maturity Date
1) Expect to Renew (Yes Or No)
2) Type of Proposed Withdrawal or Accrual
2) Name of Lender or Contributor
2) Insider or Outsider
2) Amount to be Withdrawn
2) (MM/DD/YY) Withdrawal or Maturity Date
2) Expect to Renew (Yes Or No)
3) Type of Proposed Withdrawal or Accrual
3) Name of Lender or Contributor
3) Insider or Outsider
3) Amount to be Withdrawn
3) (MM/DD/YY) Withdrawal or Maturity Date
3) Expect to Renew (Yes Or No)
4) Type of Proposed Withdrawal or Accrual
4) Name of Lender or Contributor
4) Insider or Outsider
4) Amount to be Withdrawn
4) (MM/DD/YY) Withdrawal or Maturity Date
4) Expect to Renew (Yes Or No)
5) Type of Proposed Withdrawal or Accrual
5) Name of Lender or Contributor
5) Insider or Outsider
5) Amount to be Withdrawn
5) (MM/DD/YY) Withdrawal or Maturity Date
5) Expect to Renew (Yes Or No)
6) Type of Proposed Withdrawal or Accrual
6) Name of Lender or Contributor
6) Insider or Outsider
6) Amount to be Withdrawn
6) (MM/DD/YY) Withdrawal or Maturity Date
6) Expect to Renew (Yes Or No)
7) Type of Proposed Withdrawal or Accrual
7) Name of Lender or Contributor
7) Insider or Outsider
7) Amount to be Withdrawn
7) (MM/DD/YY) Withdrawal or Maturity Date
7) Expect to Renew (Yes Or No)
8) Type of Proposed Withdrawal or Accrual
8) Name of Lender or Contributor
8) Insider or Outsider
8) Amount to be Withdrawn
8) (MM/DD/YY) Withdrawal or Maturity Date
8) Expect to Renew (Yes Or No)
9) Type of Proposed Withdrawal or Accrual
9) Name of Lender or Contributor
9) Insider or Outsider
9) Amount to be Withdrawn
9) (MM/DD/YY) Withdrawal or Maturity Date
9) Expect to Renew (Yes Or No)
10) Type of Proposed Withdrawal or Accrual
10) Name of Lender or Contributor
10) Insider or Outsider
10) Amount to be Withdrawn
10) (MM/DD/YY) Withdrawal or Maturity Date
10) Expect to Renew (Yes Or No)
Total amount to be Withdrawn
Ptrs-Equity Capital Gen Partners
Ptrs-Equity Capital Limited Partner
Ptrs-Equity Capital Undistribut P/L
Ptrs-Equity Capital Other
Sole Proprietorship Capital
Corporation Capital-Common Stock
Corporation Capital-Preferred Stock
Corp Capital-Ret Earnings(Dividends & Oth)
Corporation Capital-Other
Subord Liabilities-Secured Demand Notes
Subord Liabilities-Cash Subordinations
Subord Liabilities-Debentures
Subordinated Liabilities-Other
Anticipated Withdrawal-Bonuses
Antic Withdr- Voluntary Contribut-Pension
Anticpated Withdrawals-Other
Total w/drawals in 6 months not ded fr Cap
Stk Rec Breaks Over 3 Bus Days - Value
Stk Rec Breaks Over 3 Bus Days - # of Items
Stk Rec Breaks Over 3 Bus Days - Value
Stk Rec Breaks Over 3 bus days - # of Items
Firm in Compliance 17A-13 - Check if Yes
Firm in Compliance 17A-13 - Check if No
# of Income Prod Personnel at End of Per.
# of Non-Inc Prod Personnel at End of Per.
Total Personnel employed at End of Per.
Actual No. Of Tickets Executed - Curr. Mo.
# of corrected Cust Confirms mailed aft S/D
MONEY DIFFERENCES-NO.OF ITEMS
MONEY DIFF DEBIT(SHORT VALUE)
MONEY DIFFERENCES-NO. OF ITEMS
MONEY DIFF CREDIT(LONG VALUE)
SEC SUS ACCTS - # ITEMS SV
SEC SUS ACCTS - DEBITS
SEC SUS ACCTS - # ITEMS LV
SEC SUS ACCTS - CREDIT (LV)
SECURITY DIFF ACTS-NO.OF ITEMS
SEC DIFF ACTS-DEBIT(SHORT VAL)
SEC DIFF ACTS-NO.OF ITEMS
SEC DIFF ACTS-CREDIT(LONG VAL)
COMM SUSP ACTS-NO. OF ITEMS
COMM SUSP ACTS-DEBIT(SHRT VAL)
COMM SUSP ACTS-NO.OF ITEMS
COMM SUSP ACTS-CREDIT(LNG VAL)
OPEN TRANSACT NO. OF ITEMS
OPEN TRANSACT-DEBIT(SHORT VAL)
OPEN TRANSACT NO. OF ITEMS
OPEN TRANSACT-CREDIT(LONG VAL)
BANK ACT RECON NO. OF ITEMS
BANK ACT RECON DEBIT(SHRT VAL)
BANK ACT RECON NO. OF ITEMS
BANK ACT RECON CREDIT(LNG VAL)
OPEN XFERS OVER 40 - ITEMS SV
OPEN XFERS OVER 40 - DEBIT (SV
OPEN TRANF/40DAYS-NO.OF ITEMS
OPEN TRANF/40DAYS CRDT(LG VAL)
TRAN IN REORG/60D-NO.OF ITEMS
TRAN IN REORG/60D-DBT(SHT VAL)
TRAN IN REORG/60D NO.OF ITEMS
TRAN IN REORG/60D CRD(LNG VAL)
FIN/OP TOT ITEMS DEBIT
FIN/OP TOT DEBIT
FIN/OP TOTAL CREDIT ITEMS
FIN/OP TOT CREDIT
FAIL TO DEL (11) ITEMS
FAIL TO DEL (11) LEDGER AMT
FAIL TO DEL (11) MAR VALUE
FAIL TO REC (11) ITEMS
FAIL TO REC (11) LEDGER AMT
FAIL TO REC (11) MARKET VAL
Sec Concentrations - Proprietary Positions
Sec Concentrations-Cust A/Cs Rule 15C3-3
Tot Persnl Cap Brwings Due Within 6 Months
Max Haircuts on Undrwrtng Commit During Per
Plan Cap Exp For Bus Expan During Next 6 Mo
Liab of Other Indvl/Org Guaranteed By Firm
Lease And Rentals Payable Within One Year
Agg Lease & Rntl Commit Pay Over Term-Gross
Agg Lease & Rntl Commit For Lease Term-Net
Accts Above were Reconciled within 35 days
Accts Above not Reconciled within 35 days
Concentration in Firm Trading & Inv A/Cs
Concentrations in Cust-Noncust-Other A/Cs
Planned Operational(Organizational) Changes
No Planned Operation(Organization) Changes
# of Money Susp & Bal Difference
# of Sec Susp & Dif-Long
# of Sec Susp & Dif-Short
# of Mkt Val Sht & Long Sec Susp & Dif
# of Mkt Val of Stock Record Breaks
# of Unresol Rec Dif-Corresp + B/D-Long
# of Unresol Rec Dif-Corresp + B/D-Short
# of Unresol Rec Dif-Depositories
# of Unresol Rec Dif-Clear Org-Long
# of Unresol Rec Dif-Clear Org Short
# of Unresol Rec Dif-Interco Accts
# of Unresol Rec Dif-Bank Accts + Loans
# of Unresol Rec Dif-Other
# of Offsetting Items 5A thru 5F
Total # of Unresolved Reconciling Dif
# of Commodity Differences
# of Open Transfer & Reorg items > 40 days
Total # of Items
# of Items resolved after Report date
# of Aged Fail to Deliver
# of Aged Fail to Receive
Dr(Sht Val) Money Susp & Bal Differences
Dr(Sht Val) Sec Susp & Dif-Long
Dr(Sht Val) Sec Susp & Dif-Short
Dr(Sht Val) Sht + Long Sec Susp + Dif
Dr(Sht Val) Stock Record Breaks
Dr(Sht Val) Unres Rec Dif-Corres-Long
Dr(Sht Val) Unres Rec Dif-Corres-Short
Dr(Sht Val) Unres Rec Dif-Depositories
Dr(Sht Val) Unres Rec Dif-Clear Org-Long
Dr(Sht Val) Unres Rec Dif-Clear Org-Short
Dr(Sht Val) Unres Rec Dif-Interco Accts
Dr(Sht Val) Unres Rec Dif-Bk Accts + Loans
Dr(Sht Val) Unres Rec Dif-Other
Dr(Sht Val) Offsetting Items-5A thru 5F
Total Dr(Sht Val) Unresol Rec Dif
Dr(Sht Val) Commodity Differences
Dr(Sht Val) Open Transfer + Reorg > 40 days
Total Debit(Short Value)
Dr(Sht Val)Items Resolved after Report date
Dr(Sht Val) Aged Fail To Deliver
Dr(Sht Val) Aged Fail To Receive
Cr(Lng Val) Money Susp & Bal Dif
Capital Deduction-Money Susp & Bal Dif
Cr(Lng Val) Sec Susp & Dif-Long
Capital Deduction-Sec Susp & Dif-Long
Cr(Lng Val) Sec Susp & Dif-Short
Capital Deduction Sec Susp & Dif-Short
Cr(Lng Val) Short & Long Sec Susp
Capital Ded Mkt Val Sht + Long Sec Dif
Cr(Lng Val) Stock Record Breaks
Capital Ded Mkt Val Stock Record Breaks
Cr(Lng Val) Unres Rec Dif-Corres-Long
Capital Ded Unres Rec Dif-Corresp+B/D-Long
Cr(Lng Val) Unres Rec Dif-Corres-Short
Capital Ded Unres Rec Dif-Corresp+B/D-Short
Cr(Lng Val) Unres Rec Dif-Depositories
Capital Ded Unres Rec Dif-Depositories
Cr(Lng Val) Unres Rec Dif-Clear Org-Long
Capital Ded Unres Rec Dif-Clear Org-Long
Cr(Lng Val) Unres Rec Dif-Clear Org-Short
Capital Ded Unres Rec Dif-Clear Org-Short
Cr(Lng Val) Unres Rec Dif-Interco Accts
Capital Ded Unres Dif-Interco Accts
Cr(Lng Val) Unres Rec Dif-Bank Accts+Loans
Capital Ded Unres Rec Dif-Bk Accts + Loans
Cr(Lng Val) Unres Rec Dif-Other
Capital Ded Unres Rec Dif-Other
Cr(Lng Val) Offsetting Items 5A thru 5F
Total Cr(Long Val) Unres Rec Dif
Total Capital Ded Unres Rec Differences
Cr(Lng Val) Commodity Differences
Capital Deductions-Commodity Differences
Cr(Lng Val) Open TSFRS & Reorg > 40 days
Capital Ded-Open Transfer & Reorg > 40 days
Total Cr(Long Val)
Total Capital Deductions
Cr(Lng Val) Items Resolved after Rpt date
Total Capital Ded Resolved After Rpt date
Cr(Lng Val) Aged Fail To Deliver
Capital Ded Aged Fail to Deliver
Cr(Lng Val) Aged Fail To Receive
Capital Ded Aged Fail To Receive
# Poten Charges-Money Susp & Bal Dif
# Poten Charges-Sec Susp + Dif - Long
# Poten Charges-Sec Susp + Dif - Short
# Poten Charges-Mkt Val Sec Susp Dif
# Poten Charges-Mkt Val Stock Record Breaks
# Poten Charges Unres Dif-Corres-Long
# Poten Charges Unres Dif-Corres-Short
# Poten Charges Unres Diff-Depositories
# Poten Charges Unres Dif-Clear Org-Long
# Poten Charges Unres Dif-Clear Org-Short
# Poten Charges Unres Dif-Interco Accts
# Poten Charges Unres Dif-Bk Accts & Loans
# Poten Charges Unres Rec Dif-Other
# Poten Charges-Offsetting Items 5A thru 5F
Total # Poten Charges Unres Rec Dif
# Poten Oper Charges Commodity Differences
Total # Potential Operational Charges
Dr(Sht Val) Poten Charges-Money Susp Dif
Dr(Sht Val) Poten Chgs Sec Susp & Dif-Long
Dr(Sht Val) Poten Chgs Sec Susp & Dif-Short
Dr(Sht Val) Poten Chgs Mkt Val Sec Susp
Dr(Sht Val) Poten Chgs Stock Record Breaks
Dr(Sht Val) Poten Charges Unres Dif-Long
Dr(Sht Val) Poten Charges Unres Dif-Short
Dr(Sht Val) Poten Chgs Unres Dif-Depository
Dr(Sht Val) Poten Chg Unres Dif-Cl Org-Long
Dr(Sht Val) Poten Chg Unres Dif-Cl Org-Sht
Dr(Sht Val) Poten Chg Unres Dif-Interco
Dr(Sht Val) Poten Chg Unres Dif-Bk A/Cs
Dr(Sht Val) Poten Chgs Unres Dif-Other
Dr(Sht Val) Poten Chg Offsetting 5A thru 5F
Total Dr(Sht Val) Pot Oper Chgs Unres Dif
Dr(Sht Val) Pot Oper Chgs Commodity Dif
Total Dr(Sht Val) Pot Oper Charges
Cr(Lng Val) Poten Oper Chgs Money Susp
Poten Capital Charges Money Susp & Bal Dif
Cr(Lng Val) Pot Chgs Sec Susp-Long
Poten Capital Charges Sec Susp & Dif-Long
Cr(Lng Val) Poten Chgs Sec Susp-Short
Poten Capital Charges Sec Susp & Dif-Short
Cr(Lng Val) Poten Chg Mkt Val Sec Susp
Poten Capital Charges Mkt Val Sec Susp
Cr(Lng Val) Poten Chg Stock Record Break
Poten Capital Charges Stock Record Breaks
Cr(Lng Val) Poten Chg Unres Dif-Corresp-L
Poten Capital Chgs Unres Dif-Corresp-Long
Cr(Lng Val) Poten Chg Unres Dif-Corresp-S
Poten Capital Chgs Unres Diff-Corresp-Short
Cr(Lng Val) Pot Chg Unres Dif-Depositories
Poten Capital Chgs Unres Dif-Depositories
Cr(Lng Val) Poten Chg Unres Diff-Cl Org-L
Poten Capital Chgs Unres Dif-Clear Org-Long
Cr(Lng Val) Poten Chg Unres Dif-Cl Org-S
Poten Capital Chgs Unres Dif-Clear Org-Sht
Cr(Lng Val) Poten Chg Unres Dif-Interco A/C
Poten Capital Chgs Unres Dif-Interco Accts
Cr(Lng Val) Pot Chg Unres Dif-Bk & Loan A/C
Poten Capital Chgs Unres Dif-Bk & Loan A/Cs
Cr(Lng Val) Pot Chgs Unres Dif-Other
Poten Capital Chgs Unres Dif-Other
Cr(Lng Val) Pot Chgs-Offsetting 5A thru 5F
Total Cr(Lng Val) Pot Chgs Unres Dif
Poten Capital Chgs-Total Unres Rec Dif
Cr(Lng Val) Poten Chgs Commodity Dif
Poten Capital Charges-Commodity Differences
Total Cr(Lng Val) Poten Oper Chgs
Total Potential Capital Charges
Net Ledger Balance-Cash
Net Ledger Bal-Securities at Mkt
Net Unrlzed Prof(Loss) In Open Fut Contract
Mkt Val of Open Opt Cont Purch on Contr Mkt
Mkt Val of Open Opt Cont Sold on Contr Mkt
Net Equity (Deficit)
A/Cs Liquid Deficit & A/Cs w/Drs-Gross Amt
Amt Offset vs Cust Owned US Treas Oblig
A/Cs Liquidat To Def+W/Drs Net of Treas
Amount Required To Be Segregated
Seg Funds-Deposited in Banks - Cash
Seg Funds-MV of Sec Investment of Cust Fds
Seg Funds-Sec Held For Cust in Lieu of Cash
Marg On Dep - Cash
Marg On Dep - Sec Investment of Cust Fds
Marg On Dep - Sec Held in Lieu of Cash
Net Stlmnt Due From(To) Contr Mkt/Clear Org
Mkt Val For Open Long Option Contracts
Mkt Val For Open Shrt Option Contracts
Net Eq W/Othr FCMs-Net Liquidating Equity
Segregated Funds On Hand
Net Eq W/Othr FCMs-Sec Inv of Cust Fds
Net Eq W/Othr FCMs-Sec Held for Custs lieu
Total Amount In Segregation
Excess/(Deficiency) Funds in Seg
Mgmt Target Amt for Excess Funds in Seg
Excess (deficiency_funds in Seg Over/Under Mgmt Target Amt Excess
Amt Required to be Seg-Regulation 32.6
Funds in Seg Accts - Cash
Funds in Seg Accts - Securities at Mkt
Total Funds in Segregated Accts
Excess/(Deficiency) Funds In Segregation
Secured Amts In US Domiciled Cust A/Cs
Amt Reqd to be Set Aside Pursuit to law of a Foreign Govt or a rule of Self-Reg Org
??Secured Amts in US and foreign Domiciled Cust A/Cs
Net Ledger Balance - Foreign Futures and Foreign Option Cash
Net Ledger Balance - Foreign Futures and Foreign Option Securities
Net Liq Eq In Cust A/Cs on for Bds of Trade
Net Unrealized Profile (loss) in Open Futures Contracts Traded on Foreign Board of Trade
Amt Req'd Set Aside-Rule Or Reg of Foreign
Exchange Traded Options - Market Value of Open Option Contracts Purchased on Foreign Trade
Exchange Traded Options - Market Value of Open Contracts Granted(sold) on Foreign Trade
FCM Chnged Method from previous month
Net Equity (deficit)
FCM No Change in Method from previous month
Acct Liquidating to a Deficit and Acct with Debit Balances - Gross Amt
Amt Offset by Customer Owned Securities
Acct Liq to Deficit and Acct Debit Balances+Amt Offset by Customer Owned Securities
Amt Reqd to be Set Aside as Secured Amt - Net Liq Equity Method
Amt to be Set Aside In Sep Section 30.7 A/C
Total Funds In Sep Section 30.7 Accts
Excess/(Deficiency)-Reg 30.7
Amount of Customer Risk - Maintenance Margin
8% of line A.i (Part 2)
Amount of Non-Customer Risk - Maintenance Mar
4% of line A.iii (Part 2)
$250,000 Requirement (Part 2)
Amount of Customer Risk - Maintenance Margin
Other NFA Requirement
Min CFTC NC Req-The > of i7480/$50M
CFTC Early Warning Level
30.7 Cash deposited in U.S. Bks
Name of Other Banks Desig by Commission
30.7 Cash In Other Banks design. by Comm.
Total Cash In Banks for 30.7 Seperate A/Cs
30.7 Securities held in Sfk in US banks
Name of Other banks designated by Commiss
30.7 Sec Held in SFK in Oth Bks Designated
Total Sec Held in SFK - 30.7 Seperate A/C
30.7 Eq w/ FCMs-Cash
30.7 Eq w/ FCMs-Securities
30.7 Eq w/ FCMs-Unreal Gain/Loss on Op Cont
30.7 Eq w/ FCMs-Value of Long Optn Contrcts
30.7 Eq w/ FCMs-Value of Sht Optn Contracts
Total Equities w/ Reg FCMs 30.7 Sep A/Cs
Name of Cl Org of Foreign Bds of Trade
30.7 Foreign Cl Org - Cash
30.7 Foreign Cl Org - Securities
30.7 Fgn Cl Org-Daily Variation to(from)
30.7 Fgn Exch Mmbrs-Val Long Optn Contracts
30.7 Foreign Cl Org-Val Sht Optn Contracts
Total Amt held - Cl Org of Fgn Bds of Trade
Name of Members of Foreign Boards of Trade
30.7 Amt held by Fgn Exch Mmbrs--Cash
30.7 Fgn Exch Mmbrs-Securities held
30.7 Fgn Exch Mmbrs-Gain(Loss) Open Contr
30.7 For Board Of Trade--Value Long
30.7 Fgn Exch Mmbrs-Value Sht Option Contr
30.7 Total Amts For BD Trade
Name of Other Depositories Des by Fgn Bds
Amt With Oth Depositories Des By FBT
Segregated Funds On Hand
Total Funds In Separate 30.7 Accts
Mgt Target Amt for Excess Funds
Excess (Deficiency) Funds in Separate 30.7 Accts
CSE Schd2 : Current net exposure
CSE Schd2 : Net replacement value
CSE Schd2 : Gross replacement value receiva
CSE Schd2 : Gross replacement value payable
CSE Schd3: Gross replacement val rcv (Gain)
CSE Schd3: Gross replacement val payable
CSE Schd3: Net replacement value
CSE Schd3: Current net exposure
CSE Schd3: Total credit exposure
CSE Schd3: Agg Max Pot. Exposure
CSE Schd4: Current net exposure
CSE Schd4: Net replacement value
CSE Schd4: Gross replacement value receivable
CSE Schd4: Gross replacement value payable
CSE Schd4: Agg Max Pot. Exposure
CSE Schd5: Current net exposure
CSE Schd5: Net replacement value
CSE Schd5: Gross replacement value receivable
CSE Schd5: Gross replacement value payable
CSE Schd5: Agg Max Pot. Exposure
Report For The Calendar Year. FOCUS database uses date type here, not short.
Report For The Period Beginning
Report For The Period Ending
SEC File Number
Name Of Broker-Dealer
Name Of B-D Merging W/Respondent Dur Period
Name Of B-D Merging W/Respondent Dur Period
Name Of B-D Merging W/Respondent Dur Period
Name Of B-D Merging W/Respondent Dur Period
Official Use Only
Official Use Only
Official Use Only
Official Use Only
Conduct Sec Bus Only With Reg B-D? (1=Yes 2=No)
Reg As Specialst On A Nat Sec Exch? (1=Yes 2=No)
Make Markets In Equity Securities? (1=Yes 2=No)
Make Markets In Municipals (1=Yes 2=No)
Make Markets In Oth Debt Instrumnts (1=Yes 2=No)
Reg Solely As Municipal Bond Dealer (1=Yes 2=No)
Are You Ins Co Or Affil Of Ins Co? (1=Yes 2=No)
Total # of Public Customer Accts
Total # of Omnibus Accts
Do You Carry Own Public Cust Accts? (1=Yes 2=No)
Do You Clear Cust Or Prop Accts? (1=Yes 2=No)
Clear Pub Cust Accts Via Direct Mail? 1=Y
Clear Pub Cust Accts Via Self Clearing? 1=Y
Clear Pub Cust Accts Via Omnibus? 1=Y
Clear Pub Cust Accts Via Introducing? 1=Y
Clear Pub Cust Accts Via Other? 1=Y
Clear Pub Cust Accts - Not Applicable? 1=Y
Membership(s) On Natl Sec Exch(s)? (1=Yes 2=No)
Number of Full Time Employees
Number of Registered Reps
# Of NASDQ Stock In Which You Make Markets
Total # Of Underwriting Syndicates Memb Of
Actual # Pub Cust Trans Cleared Or Carried
Est # Pub Cust Trans Cleared Or Carried
Eq Sec Trans Effected On Nat Sec Exch
Eq Sec Trans Effected Oth Than Nat Sec Exch
Comm, Bond, Opt, & Oth Trans Effected
Member Of SPIC? (1=Yes 2=No)
Number of Branch Offices
Aff or Sub Of Foreign B-D Or Bank? (1=Yes 2=No)
Sub Of A Registered B-D? (1=Yes 2=No)
Sub Of Parent Not A Reg B-D? (1=Yes 2=No)
Name Of Parent
Send Qrt Stmnts Pursuant 10b-10(b)? (1=Yes 2=No)
Agg $ Amt: N-Exmpt Otc Sal Of Exch List Sec
Member of American 1=Y
Member of Boston 1=Y
Member of CBOE 1=Y
Member of Midwest 1=Y
Member of New York 1=Y
Member of Philadelphia 1=Y
Member of Pacific Coast 1=Y
Other 1=Y
Cnts, Cnted or Comm w/US Bank (1=Yes 2=No)
Name of Parent or Affiliate
Types of Institution
Annual Municipal Income
U.S. Treasury securities Long
U.S. Treasury securities Short
U.S. Gov agency and gov sponser entities Long
U.S.Gov agency and gov spnser entities -Short
Sec iss by st. and political subdiv in U.SLng
Sec iss by st.and political subdiv in U.S-Shr
Foriegn Securities ( Debt securities) Long
Foriegn Securities ( Debt securities) - Short
Equity securities Long
Equity securities - Short
Money Market Instruments Long
Money Market Instruments - Short
Private Label Mortgage Backed Securities Long
Private Label Mortgage Backed Securities-Shor
Other Asset Backed Securities Long
Other Asset Backed Securities - Short
Corporate obligations Long
Corporate obligations - Short
Stcks & warn(oth than arb pos) Long
Stcks & warn(oth than arb pos) - Short
Arbitage Long
Arbitage - Short
Derivaties including Options: Long
Derivaties including Options: - Short
Spot Commodities Long
Spot Commodities - Short
Investments with no ready market Equity Long
Investments with no ready market Equity-Short
Investments with no ready market Debt Long
Investments with no ready market Debt - Short
Other(include ltd partnership intrests) Long
Other(include ltd partnership intrests)-Short
Other securities or commodities Long
Other securities or commodities - Short
Total Long
Total Short
Net Ledger Balance-Cash
Net Ledger Bal-Securities at Mkt
Net Unrlzed Prof(Loss) In Open Clrd OTC Derivatives
Mkt Val of Open Clrd OTC Derivatives Options Cont Purch
Mkt Val of Open Clrd OTC Derivatives Options Cont Sold
Net Equity (Deficit)
A/Cs Liquid Deficit and A/Cs w/Drs-Gross Amt
Amt Offset vs Cust Owned US Treas Oblig
A/Cs Liquidat To Def+W/Drs Net of Treas
Amount Required To Be Sequestered
Seq Funds-Deposited in Banks - Cash
Seq Funds-MV of Sec Investment of Cust Fds
Seq Funds-Sec Held For Cust in Lieu of Cash
Marg On Dep - Cash
Marg On Dep - Sec Investment of Cust Fds
Marg On Dep - Sec Held in Lieu of Cash
Net Stlmnt Due From(To) Contr Mkt/Clear Org
Mkt Val For Open Clrd OTC Derivatives Long Option Contracts
Mkt Val For Open Clrd OTC Derivatives Shrt Option Contracts
Net Eq W/Othr FCMs-Net Liquidating Equity
Net Eq W/Othr FCMs-Sec Inv of Cust Fds
Net Eq W/Othr FCMs-Sec Held for Custs lieu
Clrd OTC derivatives Funds On Hand
Total Amount In Sequestration
Excess/(Deficiency) Funds in Sequestration
Mgmt Target Amt for Excess Funds in Cleared Swaps Seg Accts
Excess (deficiency) Funds in Cleared Swaps Customer Seg Acct over/under Mgmt Target Excess
1.D. Foreign Sovereign debt
1.D. Foreign Sovereign debt
1.E. Corporate debt
1.F. Mortgage Backed and Other Asset Backed Securities.
1.G. Municipals
1.I. OTC Options
1.L. Foreign Exchange
1.M. Aggregate amount if less than the greater of $5,000 or 5% of Total Revenues.
1. Is any portion of line M related to municipal securities?
3.A. Variable Contracts
3.B. Non-Securities Insurance Based Products
3.C. Aggregate amount if less than the greater of $5,000 or 5% of Total Revenue.
3. Total Revenue From Sale of Insurance Based Products:
5.A. Equities, ETFs and Closed End Funds. Includes Dividends?:
5.B. U.S. Government and Agencies. Includes interest?:
5.B. U.S. Government and Agencies
5.C. Foreign Sovereign Debt. Includes interest?:
5.C. Foreign Sovereign Debt.
5.D. Corporate Debt. Includes interest?:
5.D. Corporate Debt.
5.E. Mortgage Backed and Other Asset Backed Securities. Includes interest:
5.E. Mortgage Backed and Other Asset Backed Securities.
5.F. Municipals. Includes interest:
5.H. Listed Options.
5.I. OTC Options
5.J. Securities Based Swaps .
5.K. All Other Swaps .
5.L. Futures.
5.O. Aggregate amount if less than the greater of $5,000 or 5% of Total Revenue.
5.O.1. Is any portion of line O related to municipal securities?
6. Includes Dividends and/or Interest:
7.A. Securities Borrowings
7.B. Reverse Repurchase Transactions
7.D. Interest and rebates earned on customer bank sweep (FDIC insured products) programs
7.E. Interest earned from sweep into '40 Act Investments
7.F. Interest and/or Dividends on Securities held in Firm Inventory
7.H. Aggregate amount if less than the greater of $5,000 or 5% of Total Revenue.
7. Total Interest / Rebate / Dividend Income:
8. A. Municipal offerings
8.B.1. Offerings, other than self or affiliate. Excludes municipals.
8.B.2. Offerings, self or affiliate. Excludes municipals.
8.B Total Revenue from Registered Offerings:
8.B. Did the broker or dealer participate in the sale of any unregistered offering?
8.C.1. Unregistered offerings, other than self or affiliate offerings. Section 1
8.C.2. Unregistered offerings, self or affiliate offerings. Section 2
8.C. Total Revenue from Unregistered Offerings:
9.A. Fees earned from affiliated entities.
9.B. Investment Banking Fees; M&A Advisory.
9.D. Administrative Fees.
9.F. Fees earned from affiliated entities.
9.G. 12b-1 Fees
9.H. Mutual Fund Revenue other than Concessions or 12b-1 Fees.
9.I. Execution Services
9.J. Clearing Services
9.K. Fees earned on customer bank sweep (FDIC insured products) programs
9.L. Fees earned from sweep programs to 40 Act Investments.
9.M. Networking Fees from 40 Act Companies
9.N. Other Fees
9.O. Aggregate amount if less than the greater of $5,000 or 5% of Total Revenue (line 14030).
9 Total Fees Earned:
11.B-1. Description of : 1st largest component of Other Revenue:
11.B-1. Revenue of : 1st largest component of Other Revenue:
11.B-2. Description of : 2nd largest component of Other Revenue:
11.B-2. Revenue of : 2nd largest component of Other Revenue:
11.B-3. Description of : 3rd largest component of Other Revenue:
11.B-3. Revenue of : 3rd largest component of Other Revenue:
11.A. Total Revenue from sale of Certificates of Deposits (CDs) issued by an affiliate
12.C. Compensation paid to non-revenue producing personnel (including temporary personnel)
12.D. Bonuses.
12.E. Other compensation expenses.
12.F. Aggregate amount if less than the greater of $5,000 or 5% of Total Expenses.
12. Total Compensation Expenses:
13.C. Clearance Fees Paid to broker/dealers
13.F. 12b-1 Fees
13.G. Custodial Fees
13.H. Aggregate amount if less than the greater of $5,000 or 5% of Total Expenses.
13. Total Commission, Clearance and Custodial Fees:
14.A. Soft dollar expenses .
14.B. Rebates/Recapture of commissions .
14. Total Expenses incurred on Behalf of Affiliates and Others:
15.A. Interest paid on bank loans
15.B. Interest paid on debt instruments where broker/dealer is the obligor, incl subord.agreements
15.C. Interest paid on customer balances
15.D. Interest paid on Securities Loaned transactions
15.E. Interest paid on Repurchase Agreements .
15.F. Interest and/or Dividends on Short Securities Inventory.
15.G. Other interest expenses.
15.H. Aggregate amount if less than the greater of $5,000 or 5% of Total Expenses.
16.A. To Affiliates
16.B. To Third Parties
16. Total Fees Paid to Third Party Service Providers:
17.A. Finders Fees
17.C. Research.
17.E. Travel and Entertainment.
17.I. Professional Service Fees
17.J. Litigation, arbitration, settlement, restitution and rescission, and related fees
17.L. State and local income taxes
17.M. Aggregate amount if less than the greater of $5,000 or 5% of Total Expenses.
17 Total General, Administrative, Regulatory and Miscellaneous Expenses:
18. A-1. Description of: 1stlargest component of Other Expenses:
18. A-1. Associated Expense: 1stlargest component of Other Expenses:
18. A-2. Description of: 2ndlargest component of Other Expenses:
18. A-2. Associated Expense: 2ndlargest component of Other Expenses:
18. A-3. Description of: 3rdlargest component of Other Expenses:
18. A-3. Associated Expense: 3rdlargest component of Other Expenses:
Name of person completing this report
Telephone number of person completing this report
1.A. Name of issuer/Sponsor:
1.B. If Form D has been filed, enter CIK (Filer ID Number):
1.C. Industry Group (Select One):
1.D. Rule 504(b)(1) (not (i) (ii) or (iii))
1.E. Equity
1.F. Minimum Investment accepted from any outside investor:
1.G. Total Offering Amount in dollars:
1.G. or check 'Indefinite'
1.H. Total amount in dollars of securities sold during the reporting period by the member:
1.I. Total number of customers to whom securities were sold
1.J. Amount of revenue earned by the member with respect to the sales reported for Item H:
2.A. Name of issuer/Sponsor:
2.B. If Form D has been filed, enter CIK (Filer ID Number):
2.C. Industry Group (Select One):
2.D. Rule 504(b)(1) (not (i) (ii) or (iii))
2.E. Equity
2.F. Minimum Investment accepted from any outside investor:
2.G. Total Offering Amount in dollars:
2.G. or check 'Indefinite'
2.H. Total amount in dollars of securities sold during the reporting period by the member:
2.I. Total number of customers to whom securities were sold
2.J. Amount of revenue earned by the member with respect to the sales reported for Item H:
3.A. Name of issuer/Sponsor:
3.B. If Form D has been filed, enter CIK (Filer ID Number):
3.C. Industry Group (Select One):
3.D. Rule 504(b)(1) (not (i) (ii) or (iii))
3.E. Equity
3.F. Minimum Investment accepted from any outside investor:
3.G. Total Offering Amount in dollars:
3.G. or check 'Indefinite'
3.H. Total amount in dollars of securities sold during the reporting period by the member:?
3.I. Total number of customers to whom securities were sold?
3.J. Amount of revenue earned by the member with respect to the sales reported for Item H:?
4.A. Name of issuer/Sponsor:
4.B. If Form D has been filed, enter CIK (Filer ID Number):
4.C. Industry Group (Select One):
4.D. Rule 504(b)(1) (not (i) (ii) or (iii))
4.E. Equity
4.F. Minimum Investment accepted from any outside investor:
4.G. Total Offering Amount in dollars:
4.G. or check 'Indefinite'
4.H. Total amount in dollars of securities sold during the reporting period by the member:?
4.I. Total number of customers to whom securities were sold?
4.J. Amount of revenue earned by the member with respect to the sales reported for Item H:?
5.A. Name of issuer/Sponsor:
5.B. If Form D has been filed, enter CIK (Filer ID Number):
5.C. Industry Group (Select One):
5.D. Rule 504(b)(1) (not (i) (ii) or (iii))
5.E. Equity
5.F. Minimum Investment accepted from any outside investor:
5.G. Total Offering Amount in dollars:
5.G. or check 'Indefinite'
5.H. Total amount in dollars of securities sold during the reporting period by the member:?
5.I. Total number of customers to whom securities were sold?
5.J. Amount of revenue earned by the member with respect to the sales reported for Item H:?
6.A. Name of issuer/Sponsor:
6.B. If Form D has been filed, enter CIK (Filer ID Number):
6.C. Industry Group (Select One):
6.D. Rule 504(b)(1) (not (i) (ii) or (iii))
6.E. Equity
6.F. Minimum Investment accepted from any outside investor:
6.G. Total Offering Amount in dollars:
6.G. or check 'Indefinite'
6.H. Total amount in dollars of securities sold during the reporting period by the member:?
6.I. Total number of customers to whom securities were sold?
6.J. Amount of revenue earned by the member with respect to the sales reported for Item H:?
6.K. Issuer/Sponsor's affiliation to Broker-Dealer filing this Report (Select One):?
7.A. Name of issuer/Sponsor:
7.B. If Form D has been filed, enter CIK (Filer ID Number):
7.C. Industry Group (Select One):
7.D. Rule 504(b)(1) (not (i) (ii) or (iii))
7.E. Equity
7.F. Minimum Investment accepted from any outside investor:
7.G. Total Offering Amount in dollars:
7.G. or check 'Indefinite'
7.H. Total amount in dollars of securities sold during the reporting period by the member:
7.I. Total number of customers to whom securities were sold?
7.J. Amount of revenue earned by the member with respect to the sales reported for Item H:?
7.K. Issuer/Sponsor's affiliation to Broker-Dealer filing this Report (Select One):?
8.A. Name of issuer/Sponsor:
8.B. If Form D has been filed, enter CIK (Filer ID Number):
8.C. Industry Group (Select One):
8.D. Rule 504(b)(1) (not (i) (ii) or (iii))
8.E. Equity
8.F. Minimum Investment accepted from any outside investor:
8.G. Total Offering Amount in dollars:
8.G. or check 'Indefinite'
8.H. Total amount in dollars of securities sold during the reporting period by the member:?
8.I. Total number of customers to whom securities were sold?
8.J. Amount of revenue earned by the member with respect to the sales reported for Item H:?
8.K. Issuer/Sponsor's affiliation to Broker-Dealer filing this Report (Select One):?
9.A. Name of issuer/Sponsor:
9.B. If Form D has been filed, enter CIK (Filer ID Number):
9.C. Industry Group (Select One):
9.D. Rule 504(b)(1) (not (i) (ii) or (iii))
9.E. Equity
9.F. Minimum Investment accepted from any outside investor:
9.G. Total Offering Amount in dollars:
9.G. or check 'Indefinite'
9.H. Total amount in dollars of securities sold during the reporting period by the member:?
9.I. Total number of customers to whom securities were sold?
9.J. Amount of revenue earned by the member with respect to the sales reported for Item H:?
9.K. Issuer/Sponsor's affiliation to Broker-Dealer filing this Report (Select One):
10.A. Name of issuer/Sponsor:
10.B. If Form D has been filed, enter CIK (Filer ID Number):
10.C. Industry Group (Select One):
10.D. Rule 504(b)(1) (not (i) (ii) or (iii))
10.E. Equity
10.F. Minimum Investment accepted from any outside investor:
10.G. Total Offering Amount in dollars:
10.G. or check 'Indefinite'
10.H. Total amount in dollars of securities sold during the reporting period by the member:?
10.I. Total number of customers to whom securities were sold?
10.J. Amount of revenue earned by the member with respect to the sales reported for Item H:?
10.K. Issuer/Sponsor's affiliation to Broker-Dealer filing this Report (Select One):?
5.F. Municipals
5.G. Foreign Exchange
5.A. Equities, ETFs and Closed End Funds.
5.M. Commodity Transactions.
4.A. Interest Rate/Fixed Income Products.
4.B. Currency
4.C. Equity Products
4.D. Commodity Products.
4.E. Other
4. Total Gains or Losses on Derivative Trading Desks:
1.A. Equities, ETFs, ETPs, and Closed End Funds.
1.B. Exchange Listed Equity Securities Executed OTC
1.H. Listed Options
1.K. All Other Securities Commissions.
1. Total Commissions:
5. Total Net Gains or Losses on Principal Trades:
5.N. Other
6. Capital Gains (Losses) on Firm Investments
7.G. Other Interest.
8. Total Revenue from Underwritings and Selling Group Participation
7.C. Margin Interest.
2. Revenue from Sale of Investment Company Shares
9.C. Account Supervision & Investment Advisory Services.
9.E. Revenue from Research Services
10. Commodities Revenue
1.J. Commodity Transactions.
11.B. Other Revenue
11. Total Revenue
12.B. Compensation paid to all other revenue producing personnel.
13.A. Floor brokerage and fees paid .
17.B. Technology, data and communication costs.
15. Total Interest and Dividend Expenses:
17.F. Occupancy and equipment expenses.
18. A Other Expenses.
12.A. Registered Representatives Compensation
13.D. Clearance Fees Paid to non-broker/dealers.
13.E. Commission Paid to other broker/dealers.
13.B. Amounts paid to Exchanges", ECNs," and ATS
17.D. Promotional Fees.
17.K. Losses in error accounts and bad debts
17.G. Non-recurring charges
17.H. Regulatory Fees
18. Total Expenses
19.A. Income (loss) before Federal income taxes and items below.
19.B. Provision for Federal income taxes (for parent only)
19.C. Equity in earnings (losses) of unconsolidated subsidiaries not included above.
19.D. Extraordinary gains (losses).
19.E. Cumulative effect of changes in accounting principles
19.F. Net income (loss) after Federal income taxes and extraordinary item
1.D. Rule 504(b)(1)(i)
1.D. Rule 504(b)(1)(ii)
1.D. Rule 504(b)(1)(iii)
1.D. Rule 505
1.D. Rule 506
1.D. Securities Act Section 4(5)
1.D. Investment Company Act Section 3(c)
1.D. Other
1.E. Debt
1.E. Option, Warrant or Other Right to Acquire Another Security
1.E. Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security
1.E. Pooled Investment Fund Interests
1.E. Tenant-in-Common Securities
1.E. Mineral Property Securities
1.E. Other
2.D. Rule 504(b)(1)(i)
2.D. Rule 504(b)(1)(ii)
2.D. Rule 504(b)(1)(iii)
2.D. Rule 505
2.D. Rule 506
2.D. Securities Act Section 4(5)
2.D. Investment Company Act Section 3(c)
2.D. Other
2.E. Debt
2.E. Option, Warrant or Other Right to Acquire Another Security
2.E. Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security
2.E. Pooled Investment Fund Interests
2.E. Tenant-in-Common Securities
2.E. Mineral Property Securities
2.E. Other
3.D. Rule 504(b)(1)(i)
3.D. Rule 504(b)(1)(ii)
3.D. Rule 504(b)(1)(iii)
3.D. Rule 505
3.D. Rule 506
3.D. Securities Act Section 4(5)
3.D. Investment Company Act Section 3(c)
3.D. Other
3.E. Debt
3.E. Option, Warrant or Other Right to Acquire Another Security
3.E. Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security
3.E. Pooled Investment Fund Interests
3.E. Tenant-in-Common Securities
3.E. Mineral Property Securities
3.E. Other
4.D. Rule 504(b)(1)(i)
4.D. Rule 504(b)(1)(ii)
4.D. Rule 504(b)(1)(iii)
4.D. Rule 505
4.D. Rule 506
4.D. Securities Act Section 4(5)
4.D. Investment Company Act Section 3(c)
4.D. Other
4.E. Debt
4.E. Option, Warrant or Other Right to Acquire Another Security
4.E. Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security
4.E. Pooled Investment Fund Interests
4.E. Tenant-in-Common Securities
4.E. Mineral Property Securities
4.E. Other
5.D. Rule 504(b)(1)(i)
5.D. Rule 504(b)(1)(ii)
5.D. Rule 504(b)(1)(iii)
5.D. Rule 505
5.D. Rule 506
5.D. Securities Act Section 4(6)
5.D. Investment Company Act Section 3(c)
5.D. Other
5.E. Debt
5.E. Option, Warrant or Other Right to Acquire Another Security
5.E. Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security
5.E. Pooled Investment Fund Interests
5.E. Tenant-in-Common Securities
5.E. Mineral Property Securities
5.E. Other
6.D. Rule 504(b)(1)(i)
6.D. Rule 504(b)(1)(ii)
6.D. Rule 504(b)(1)(iii)
6.D. Rule 505
6.D. Rule 506
6.D. Securities Act Section 4(6)
6.D. Investment Company Act Section 3(c)
6.D. Other
6.E. Debt
6.E. Option, Warrant or Other Right to Acquire Another Security
6.E. Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security
6.E. Pooled Investment Fund Interests
6.E. Tenant-in-Common Securities
6.E. Mineral Property Securities
6.E. Other
7.D. Rule 504(b)(1)(i)
7.D. Rule 504(b)(1)(ii)
7.D. Rule 504(b)(1)(iii)
7.D. Rule 505
7.D. Rule 506
7.D. Securities Act Section 4(6)
7.D. Investment Company Act Section 3(c)
7.D. Other
7.E. Debt
7.E. Option, Warrant or Other Right to Acquire Another Security
7.E. Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security
7.E. Pooled Investment Fund Interests
7.E. Tenant-in-Common Securities
7.E. Mineral Property Securities
7.E. Other
8.D. Rule 504(b)(1)(i)
8.D. Rule 504(b)(1)(ii)
8.D. Rule 504(b)(1)(iii)
8.D. Rule 505
8.D. Rule 506
8.D. Securities Act Section 4(6)
8.D. Investment Company Act Section 3(c)
8.D. Other
8.E. Debt
8.E. Option, Warrant or Other Right to Acquire Another Security
8.E. Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security
8.E. Pooled Investment Fund Interests
8.E. Tenant-in-Common Securities
8.E. Mineral Property Securities
8.E. Other
9.D. Rule 504(b)(1)(i)
9.D. Rule 504(b)(1)(ii)
9.D. Rule 504(b)(1)(iii)
9.D. Rule 505
9.D. Rule 506
9.D. Securities Act Section 4(6)
9.D. Investment Company Act Section 3(c)
9.D. Other
9.E. Debt
9.E. Option, Warrant or Other Right to Acquire Another Security
9.E. Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security
9.E. Pooled Investment Fund Interests
9.E. Tenant-in-Common Securities
9.E. Mineral Property Securities
9.E. Other
10.D. Rule 504(b)(1)(i)
10.D. Rule 504(b)(1)(ii)
10.D. Rule 504(b)(1)(iii)
10.D. Rule 505
10.D. Rule 506
10.D. Securities Act Section 4(6)
10.D. Investment Company Act Section 3(c)
10.D. Other
10.E. Debt
10.E. Option, Warrant or Other Right to Acquire Another Security
10.E. Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security
10.E. Pooled Investment Fund Interests
10.E. Tenant-in-Common Securities
10.E. Mineral Property Securities
10.E. Other
Name of person completing this report
Telephone no. of person completing this report
A. Securities Underwriting (Debit)
A. Securities Underwriting (Credit)
B. Financing commitments not included on items 3F or 3G (Debit)
B. Financing commitments not included on items 3F or 3G (Credit)
C. Guarantees (Debit)
C. Guarantees (Credit)
A. Unconsolidated VIEs (Debit)
A. Unconsolidated VIEs (Credit)
B. Maximum exposure to loss relating to unconsolidated VIEs (Debit)
B. Maximum exposure to loss relating to unconsolidated VIEs (Credit)
Memo item: Investment in unconsolidated VIEs
C. Maximum exposure to loss relating to consolidated VIEs (Debit)
C. Maximum exposure to loss relating to consolidated VIEs (Credit)
A. Reverse Repos and Repos offset pursuant to ASC 210-20-45-11 (Debit)
A. Reverse Repos and Repos offset pursuant to ASC 210-20-45-11 (Credit)
B. Transactions offset pursuant to ASC 210-20-45-1 (Debit)
B. Transactions offset pursuant to ASC 210-20-45-1 (Credit)
C. Reverse Repos/Repos to maturity pursuant to ASC 860-10-40-5 (Debit)
C. Reverse Repos/Repos to maturity pursuant to ASC 860-10-40-5 (Credit)
D. Securities Borrowed vs. Pledge agreements (Debit)
D. Securities Borrowed vs. Pledge agreements (Credit)
E. Reverse Repo vs. Pledge agreements (Debit)
E. Reverse Repo vs. Pledge agreements (Credit)
F. Forward starting Reverse Repurchase and Securities Borrowing agreements (Debit)
F. Forward starting Reverse Repurchase and Securities Borrowing agreements (Credit)
G. Forward starting Repurchase and Securities Lending agreements (Debit)
G. Forward starting Repurchase and Securities Lending agreements (Credit)
H. Other (Debit)
H. Other (Credit)
A. When Issued Securities (Debit)
A. When Issued Securities (Credit)
B. Delayed Delivery/Delayed Settlement (Debit)
B. Delayed Delivery/Delayed Settlement (Credit)
C. To Be Announced (TBA) transactions (Debit)
C. To Be Announced (TBA) transactions (Credit)
D. TBA related fails not included on balance sheet (Debit)
D. TBA related fails not included on balance sheet (Credit)
E. Other (Debit)
E. Other (Credit)
A. Foreign Exchange (Debit)
A. Foreign Exchange (Credit)
B. Other (Debit)
B. Other (Credit)
6. Total gross notional amount (Interest Rate Contracts)
6. Total gross notional amount (Foreign Exchange Contracts)
6. Total gross notional amount (Equity Derivative Contracts)
6. Total gross notional amount (Commodity and other Contracts)
7. Dollar amount in item 6 that is centrally cleared (Interest Rate Contracts)
7. Dollar amount in item 6 that is centrally cleared (Foreign Exchange Contracts)
7. Dollar amount in item 6 that is centrally cleared (Equity Derivative Contracts)
7. Dollar amount in item 6 that is centrally cleared (Commodity and other Contracts)
8. Total Mark-to-Market receivable (Debit) (Interest Rate Contracts)
8. Total Mark-to-Market receivable (Debit) (Foreign Exchange Contracts)
8. Total Mark-to-Market receivable (Debit) (Equity Derivative Contracts)
8. Total Mark-to-Market receivable (Debit) (Commodity and other Contracts)
9. Total Mark-to-Market payable (Credit) (Interest Rate Contracts)
9. Total Mark-to-Market payable (Credit) (Foreign Exchange Contracts)
9. Total Mark-to-Market payable (Credit) (Equity Derivative Contracts)
9. Total Mark-to-Market payable (Credit) (Commodity and other Contracts)
10. Total gross notional amount (Sold Protection)
10. Total gross notional amount (Purchased Protection)
11. Dollar amount in Item 10 that is centrally cleared (Sold Protection)
11. Dollar amount in Item 10 that is centrally cleared (Purchased Protection)
12. Total Mark-to-Market receivable (Debit)(Sold Protection)
12. Total Mark-to-Market receivable (Debit)(Purchased Protection)
13. Total Mark-to-Market payable (Credit)(Sold Protection)
13. Total Mark-to-Market payable (Credit)(Purchased Protection)
1.A. Broker-dealer introduce customer accounts fully disclosed
1.B. Broker-dealer introduce customer accounts fully disclosed (1) Name
1.B. Broker-dealer introduce customer accounts fully disclosed (1) Sec No
1.B. Broker-dealer introduce customer accounts fully disclosed (1) CRD No
1.B. Broker-dealer introduce customer accounts fully disclosed (2) Name
1.B. Broker-dealer introduce customer accounts fully disclosed (2) Sec No
1.B. Broker-dealer introduce customer accounts fully disclosed (2) CRD No
1.B. Broker-dealer introduce customer accounts fully disclosed (3) Name
1.B. Broker-dealer introduce customer accounts fully disclosed (3) Sec No
1.B. Broker-dealer introduce customer accounts fully disclosed (3) CRD No
1.B. Broker-dealer introduce customer accounts fully disclosed (4) Name
1.B. Broker-dealer introduce customer accounts fully disclosed (4) Sec No
1.B. Broker-dealer introduce customer accounts fully disclosed (4) CRD No
1.B. Broker-dealer introduce customer accounts fully disclosed (5) Name
1.B. Broker-dealer introduce customer accounts fully disclosed (5) Sec No
1.B. Broker-dealer introduce customer accounts fully disclosed (5) CRD No
1.B. Broker-dealer introduce customer accounts fully disclosed (6) Name
1.B. Broker-dealer introduce customer accounts fully disclosed (6) Sec No
1.B. Broker-dealer introduce customer accounts fully disclosed (6) CRD No
1.B. Broker-dealer introduce customer accounts fully disclosed (7) Name
1.B. Broker-dealer introduce customer accounts fully disclosed (7) Sec No
1.B. Broker-dealer introduce customer accounts fully disclosed (7) CRD No
1.B. Broker-dealer introduce customer accounts fully disclosed (8) Name
1.B. Broker-dealer introduce customer accounts fully disclosed (8) Sec No
1.B. Broker-dealer introduce customer accounts fully disclosed (8) CRD No
1.B. Broker-dealer introduce customer accounts fully disclosed (9) Name
1.B. Broker-dealer introduce customer accounts fully disclosed (9) Sec No
1.B. Broker-dealer introduce customer accounts fully disclosed (9) CRD No
1.B. Broker-dealer introduce customer accounts fully disclosed (10) Name
1.B. Broker-dealer introduce customer accounts fully disclosed (10) Sec No
1.B. Broker-dealer introduce customer accounts fully disclosed (10) CRD No
2.A. Broker-dealer introduce customer accounts omnibus
2.B. Broker-dealer introduce customer accounts omnibus (1) Name
2.B. Broker-dealer introduce customer accounts omnibus (1) Sec No
2.B. Broker-dealer introduce customer accounts omnibus (1) CRD No
2.B. Broker-dealer introduce customer accounts omnibus (2) Name
2.B. Broker-dealer introduce customer accounts omnibus (2) Sec No
2.B. Broker-dealer introduce customer accounts omnibus (2) CRD No
2.B. Broker-dealer introduce customer accounts omnibus (3) Name
2.B. Broker-dealer introduce customer accounts omnibus (3) Sec No
2.B. Broker-dealer introduce customer accounts omnibus (3) CRD No
2.B. Broker-dealer introduce customer accounts omnibus (4) Name
2.B. Broker-dealer introduce customer accounts omnibus (4) Sec No
2.B. Broker-dealer introduce customer accounts omnibus (4) CRD No
2.B. Broker-dealer introduce customer accounts omnibus (5) Name
2.B. Broker-dealer introduce customer accounts omnibus (5) Sec No
2.B. Broker-dealer introduce customer accounts omnibus (5) CRD No
2.B. Broker-dealer introduce customer accounts omnibus (6) Name
2.B. Broker-dealer introduce customer accounts omnibus (6) Sec No
2.B. Broker-dealer introduce customer accounts omnibus (6) CRD No
2.B. Broker-dealer introduce customer accounts omnibus (7) Name
2.B. Broker-dealer introduce customer accounts omnibus (7) Sec No
2.B. Broker-dealer introduce customer accounts omnibus (7) CRD No
2.B. Broker-dealer introduce customer accounts omnibus (8) Name
2.B. Broker-dealer introduce customer accounts omnibus (8) Sec No
2.B. Broker-dealer introduce customer accounts omnibus (8) CRD No
2.B. Broker-dealer introduce customer accounts omnibus (9) Name
2.B. Broker-dealer introduce customer accounts omnibus (9) Sec No
2.B. Broker-dealer introduce customer accounts omnibus (9) CRD No
2.B. Broker-dealer introduce customer accounts omnibus (10) Name
2.B. Broker-dealer introduce customer accounts omnibus (10) Sec No
2.B. Broker-dealer introduce customer accounts omnibus (10) CRD No
3.A. Broker-dealer carry securities accounts (not introduced fully disclosed) for customers
3.B. Broker-dealer carry securities accounts (not introduced fully disclosed) for non-customers
3.C.i. Locations of Securities (broker-dealer's vault)
3.C.i. Location Reconciliation Frequency (broker-dealer's vault)
3.C.i. Location Reconciliation Frequency (Other Description)
3.C.i. Locations of Securities (U.S. broker-dealer(s))
3.C.i. Location Reconciliation Frequency (U.S. broker-dealer(s))
3.C.i. Locations of Securities (Depository Trust Company)
3.C.i. Location Reconciliation Frequency (Depository Trust Company)
3.C.i. Locations of Securities (Options Clearing Corporation)
3.C.i. Location Reconciliation Frequency (Options Clearing Corporation)
3.C.i. Locations of Securities (U.S. bank(s))
3.C.i. Location Reconciliation Frequency (U.S. bank(s))
3.C.i. Locations of Securities (Transfer Agents of Mutual fund(s))
3.C.i. Location Reconciliation Frequency (Transfer Agents of Mutual fund(s))
3.C.ii. Locations of Securities (Other Types of U.S. Locations) (1)
3.C.ii. Location Reconciliation Frequency (Other Types of U.S. Locations) (1)
3.C.ii. Location Reconciliation Frequency (Other Types of U.S. Locations) Other Description
3.C.ii. Locations of Securities (Other Types of U.S. Locations) (2)
3.C.ii. Location Reconciliation Frequency (Other Types of U.S. Locations) (2)
3.C.ii. Locations of Securities (Other Types of U.S. Locations) (3)
3.C.ii. Location Reconciliation Frequency (Other Types of U.S. Locations) (3)
3.C.ii. Locations of Securities (Other Types of U.S. Locations) (4)
3.C.ii. Location Reconciliation Frequency (Other Types of U.S. Locations) (4)
3.C.ii. Locations of Securities (Other Types of U.S. Locations) (5)
3.C.ii. Location Reconciliation Frequency (Other Types of U.S. Locations) (5)
3.C.ii. Locations of Securities (Other Types of U.S. Locations) (6)
3.C.ii. Location Reconciliation Frequency (Other Types of U.S. Locations) (6)
3.C.ii. Locations of Securities (Other Types of U.S. Locations) (7)
3.C.ii. Location Reconciliation Frequency (Other Types of U.S. Locations) (7)
3.C.ii. Locations of Securities (Other Types of U.S. Locations) (8)
3.C.ii. Location Reconciliation Frequency (Other Types of U.S. Locations) (8)
3.C.ii. Locations of Securities (Other Types of U.S. Locations) (9)
3.C.ii. Location Reconciliation Frequency (Other Types of U.S. Locations) (9)
3.C.ii. Locations of Securities (Other Types of U.S. Locations) (10)
3.C.ii. Location Reconciliation Frequency (Other Types of U.S. Locations) (10)
3.C.iii. Locations of Securities (Non U.S. Locations) (1)
3.C.ii. Location Reconciliation Frequency (Non U.S. Locations) (1)
3.C.ii. Location Reconciliation Frequency (Non U.S. Locations) Other Description
3.C.iii. Locations of Securities (Non U.S. Locations) (2)
3.C.ii. Location Reconciliation Frequency (Non U.S. Locations) (2)
3.C.iii. Locations of Securities(Non U.S. Locations) (3)
3.C.ii. Location Reconciliation Frequency (Non U.S. Locations) (3)
3.C.iii. Locations of Securities (Non U.S. Locations) (4)
3.C.ii. Location Reconciliation Frequency (Non U.S. Locations) (4)
3.C.iii. Locations of Securities (Non U.S. Locations) (5)
3.C.ii. Location Reconciliation Frequency (Non U.S. Locations) (5)
3.C.iii. Locations of Securities (Non U.S. Locations) (6)
3.C.ii. Location Reconciliation Frequency (Non U.S. Locations) (6)
3.C.iii. Locations of Securities (Non U.S. Locations) (7)
3.C.ii. Location Reconciliation Frequency (Non U.S. Locations) (7)
3.C.iii. Locations of Securities (Non U.S. Locations) (8)
3.C.ii. Location Reconciliation Frequency (Non U.S. Locations) (8)
3.C.iii. Locations of Securities (Non U.S. Locations) (9)
3.C.ii. Location Reconciliation Frequency (Non U.S. Locations) (9)
3.C.iii. Locations of Securities (Non U.S. Locations) (10)
3.C.ii. Location Reconciliation Frequency (Non U.S. Locations) (10)
3.D.i. Securities/Cash Carried for Customer Accounts (U.S. Equity Securities)
3.D.i. Securities/Cash Carried for Customer Accounts (U.S. Equity Securities) Market Value
3.D.i. Securities/Cash Carried for Customer Accounts (Foreign Equity Securities)
3.D.i. Securities/Cash Carried for Customer Accounts (Foreign Equity Securities) Market Value
3.D.i. Securities/Cash Carried for Customer Accounts (U.S. Listed Options)
3.D.i. Securities/Cash Carried for Customer Accounts (U.S. Listed Options) Market Value
3.D.i. Securities/Cash Carried for Customer Accounts (Foreign Listed Options)
3.D.i. Securities/Cash Carried for Customer Accounts (Foreign Listed Options) Market Value
3.D.i. Securities/Cash Carried for Customer Accounts (Domestic Corporate Debt)
3.D.i. Securities/Cash Carried for Customer Accounts (Domestic Corporate Debt) Market Value
3.D.i. Securities/Cash Carried for Customer Accounts (Foreign Corporate Debt)
3.D.i. Securities/Cash Carried for Customer Accounts (Foreign Corporate Debt) Market Value
3.D.i. Securities/Cash Carried for Customer Accounts (U.S. Public Finance Debt)
3.D.i. Securities/Cash Carried for Customer Accounts (U.S. Public Finance Debt) Market Value
3.D.i. Securities/Cash Carried for Customer Accounts (Foreign Public Finance Debt)
3.D.i. Securities/Cash Carried for Customer Accounts (Foreign Public Finance Debt) Market Value
3.D.i. Securities/Cash Carried for Customer Accounts (U.S. Government Debt)
3.D.i. Securities/Cash Carried for Customer Accounts (U.S. Government Debt) Market Value
3.D.i. Securities/Cash Carried for Customer Accounts (Foreign Sovereign Debt)
3.D.i. Securities/Cash Carried for Customer Accounts (Foreign Sovereign Debt) Market Value
3.D.i. Securities/Cash Carried for Customer Accounts (U.S. Structured Debt)
3.D.i. Securities/Cash Carried for Customer Accounts (U.S. Structured Debt) Market Value
3.D.i. Securities/Cash Carried for Customer Accounts (Foreign Structured Debt)
3.D.i. Securities/Cash Carried for Customer Accounts (Foreign Structured Debt) Market Value
3.D.i. Securities/Cash Carried for Customer Accounts (U.S. Mutual Funds)
3.D.i. Securities/Cash Carried for Customer Accounts (U.S. Mutual Funds) Market Value
3.D.i. Securities/Cash Carried for Customer Accounts (Foreign Mutual Funds)
3.D.i. Securities/Cash Carried for Customer Accounts (Foreign Mutual Funds) Market Value
3.D.i. Securities/Cash Carried for Customer Accounts (U.S. Exchange Traded Funds)
3.D.i. Securities/Cash Carried for Customer Accounts (U.S. Exchange Traded Funds) Market Value
3.D.i. Securities/Cash Carried for Customer Accounts(Foreign Exchange Traded Funds)
3.D.i. Securities/Cash Carried for Customer Accounts (Foreign Exchange Traded Funds) Market Value
3.D.i. Securities/Cash Carried for Customer Accounts (U.S. Private Funds)
3.D.i. Securities/Cash Carried for Customer Accounts (U.S. Private Funds) Market Value
3.D.i. Securities/Cash Carried for Customer Accounts (Foreign Private Funds)
3.D.i. Securities/Cash Carried for Customer Accounts (Foreign Private Funds) Market Value
3.D.i. Securities/Cash Carried for Customer Accounts (Other)
3.D.i. Securities/Cash Carried for Customer Accounts (Other) Market Value
3.D.ii. Broker-dealer recorded securities on record for customer
3.D.ii. Broker-dealer recorded securities on record for customer: Market Value
3.D.ii. Broker-dealer recorded securities on record for customer: Explanation
3.D.iii. Broker-dealer process on free credit balances of customer (Reserve computation)
3.D.iii. Broker-dealer process on free credit balances of customer (Held in bank account)
3.D.iii. Broker-dealer process on free credit balances of customer (Swept to a U.S. bank)
3.D.iii. Broker-dealer process on free credit balances of customer (U.S. money market fund)
3.D.iii. Broker-dealer process on free credit balances of customer (Other)
3.D.iii. Broker-dealer process on free credit balances of customer (Other) Explanation
3.E.i. Securities/Cash Carried for Non-Customer Accounts (U.S. Equity Securities)
3.E.i. Securities/Cash Carried for Non-Customer Accounts (U.S. Equity Securities) Market Value
3.E.i. Securities/Cash Carried for Non-Customer Accounts (Foreign Equity Securities)
3.E.i. Securities/Cash Carried for Non-Customer Accounts (Foreign Equity Securities) Market Value
3.E.i. Securities/Cash Carried for Non-Customer Accounts (U.S. Listed Options)
3.E.i. Securities/Cash Carried for Non-Customer Accounts (U.S. Listed Options) Market Value
3.E.i. Securities/Cash Carried for Non-Customer Accounts (Foreign Listed Options)
3.E.i. Securities/Cash Carried for Non-Customer Accounts (Foreign Listed Options) Market Value
3.E.i. Securities/Cash Carried for Non-Customer Accounts (Domestic Corporate Debt)
3.E.i. Securities/Cash Carried for Non-Customer Accounts (Domestic Corporate Debt) Market Value
3.E.i. Securities/Cash Carried for Non-Customer Accounts (Foreign Corporate Debt)
3.E.i. Securities/Cash Carried for Non-Customer Accounts (Foreign Corporate Debt) Market Value
3.E.i. Securities/Cash Carried for Non-Customer Accounts (U.S. Public Finance Debt)
3.E.i. Securities/Cash Carried for Non-Customer Accounts (U.S. Public Finance Debt) Market Value
3.E.i. Securities/Cash Carried for Non-Customer Accounts (Foreign Public Finance Debt)
3.E.i. Securities/Cash Carried for Non-Customer Accounts (Foreign Public Finance Debt) Market Value
3.E.i. Securities/Cash Carried for Non-Customer Accounts (U.S. Government Debt)
3.E.i. Securities/Cash Carried for Non-Customer Accounts (U.S. Government Debt) Market Value
3.E.i. Securities/Cash Carried for Non-Customer Accounts (Foreign Sovereign Debt)
3.E.i. Securities/Cash Carried for Non-Customer Accounts (Foreign Sovereign Debt) Market Value
3.E.i. Securities/Cash Carried for Non-Customer Accounts (U.S. Structured Debt)
3.E.i. Securities/Cash Carried for Non-Customer Accounts (U.S. Structured Debt) Market Value
3.E.i. Securities/Cash Carried for Non-Customer Accounts (Foreign Structured Debt)
3.E.i. Securities/Cash Carried for Non-Customer Accounts (Foreign Structured Debt) Market Value
3.E.i. Securities/Cash Carried for Non-Customer Accounts (U.S. Mutual Funds)
3.E.i. Securities/Cash Carried for Non-Customer Accounts (U.S. Mutual Funds) Market Value
3.E.i. Securities/Cash Carried for Non-Customer Accounts (Foreign Mutual Funds)
3.E.i. Securities/Cash Carried for Non-Customer Accounts (Foreign Mutual Funds) Market Value
3.E.i. Securities/Cash Carried for Non-Customer Accounts (U.S. Exchange Traded Funds)
3.E.i. Securities/Cash Carried for Non-Customer Accounts (U.S. Exchange Traded Funds) Market Value
3.E.i. Securities/Cash Carried for Non-Customer Accounts(Foreign Exchange Traded Fund)
3.E.i. Securities/Cash Carried for Non-Customer Accounts (Foreign Exchange Traded Fund) Market Value
3.E.i. Securities/Cash Carried for Non-Customer Accounts (U.S. Private Funds)
3.E.i. Securities/Cash Carried for Non-Customer Accounts (U.S. Private Funds) Market Value
3.E.i. Securities/Cash Carried for Non-Customer Accounts (Foreign Private Funds)
3.E.i. Securities/Cash Carried for Non-Customer Accounts(Foreign Private Funds) Market Value
3.E.i. Securities/Cash Carried for Non-Customer Accounts (Other)
3.E.i. Securities/Cash Carried for Non-Customer Accounts (Other) Market Value
3.E.ii. Broker-dealer recorded securities on record for non-customers
3.E.ii. Broker-dealer recorded securities on record for non-customers: Market Value
3.E.ii. Broker-dealer recorded securities on record for non-customers: Explanation
3.E.iii. Broker-dealer process on free credit balances of non customer (Reserve computation)
3.E.iii. Broker-dealer process on free credit balances of non customer (Swept to a U.S. bank)
3.E.iii. Broker-dealer process on free credit balances of non customer (U.S. money market fund)
3.E.iii. Broker-dealer process on free credit balances of non customer (Other)
3.E.iii. Broker-dealer process on free credit balances of non customer (Other) Explanation
4.A.i. Act as carrying broker-dealer on fully disclosed basis
4.A.ii. Act as carrying broker-dealer on fully disclosed basis: Number of brokers
4.A.iii. Act as carrying broker-dealer on fully disclosed basis: List of Broker Names
4.A.iii. Act as carrying broker-dealer on fully disclosed basis: List of CRD No
4.A.iii. Act as carrying broker-dealer on fully disclosed basis: List of SEC No
4.B.i. Act as carrying broker-dealer on omnibus
4.B.ii. Act as carrying broker-dealer on omnibus: Number of brokers
4.B.iii. Act as carrying broker-dealer on fully disclosed basis: List of Broker Names
4.B.iii. Act as carrying broker-dealer on fully disclosed basis: List of CRD No
4.B.iii. Act as carrying broker-dealer on fully disclosed basis: List of SEC No
5.A. Broker-dealer send trade confirmations to customers
5.B. Broker-dealer send trade confirmations to customers: Explanation
6.A. Broker-dealer send account statements to customers
6.B. Broker-dealer send account statements to customers: Explanation
6.C. Broker-dealer send account statements to anyone other than beneficial owner
7.A. Broker-dealer provide customers with electronic access
8.A.Broker-dealer registered as an investment adviser with SEC
8.A.ii. Broker-dealer registered as an investment advisor with 1 or more U.S. states
8.B. Number of investment advisers
8.C. Name of Custodian (1)
8.C. Custodian SEC No (1)
8.C. Custodian CRD No (1)
8.C. Auth to Effect Trans? (1)
8.C. Auth to W/D Funds/Sec? (1)
8.C. Cust Sends Stmt? (1)
8.C. Client Assets on Stock Record? (1)
Broker-dealer an affiliate of an investment adviser
Broker-dealer have custody of client assets of the adviser
U.S. dollar market value of the adviser client assets of which broker-dealer has custody
Filing ID in the source system. Aka: SEQ_NB (sic) in other contexts.
Filing Period for this filing - e.g., Monthly, Quarterly, etc. Aka: PRD_TYPE_NB in other contexts.
Type of filing - e.g., Part II, Part IIA, etc. Aka: FORM_TYPE in other contexts.
Date the filing was submitted. Aka: SBMT_ON_DT in other contexts.
The As-Of date of the filing (i.e., the ending of the financial period for the filing data). Aka: AS_OF_DT in other contexts.
The date the filing is due to be submitted to FINRA. Aka: DUE_DT in other contexts.
The beginning of the financial period for the filing data. Aka: BEGIN_DT in other contexts. This may equal the as-of date for reports that contain data for a point in time such as OBS.
Filing mode (e.g., Basic, Alternate). Aka: FLNG_MODE in other contexts.
FOCUS calendar type - e.g., Last Business Day, Last Business Friday, etc.). Aka: FOCUS_CLNDR_TYPE_NB in other contexts.
Identifer for the firm whose filing information is contained in this element. Uses CRD number. Aka: FIRM_CRD_NB in other contexts.
The filing month - e.g., 200812. Aka: FLNG_MONTH in other contexts.
The DEA for the firm: NASD, NYSE, AMEX, NYSEARCA. Should evolve to an enum in future version.
The Net Capital Category. Should evolve to an enum in future version. Should evolve to an enum in future version.
Indicates whether the filing was deliberately not filed.
Creation date stamp for data file
Creation time stamp for data file
A unique identifier for the job run that created data file
Version number for the schema that can be used to validate data file
Part II
Part IIA
Part IICSE
Schedule I
Annual Audit
17a-5(b)
NR
Subloans
Special req
17a11 financial notifications
17a-11
17a-5(a) Anl
SSOI
OBS
SIS
Custody
Annual
Quarterly
Monthly
Fifth FOCUS
Last Calendar Day
Last Business Day
Last Business Friday
Merrill Lynch
LCD 20 BD
LCD 22 BD
Monthly
LCD 20 DB with Begin Date equal to As-of Date
Two-letter code for each of the 59 U.S. states/territories.
Item numbers 4600, 4610, etc. use these code values:
1. Equity Capital
2. Subordinated Liabilities
3. Accruals
4. 15c3-1(c)(2)(iv) Liabilities
0 is present in many records - result of user selecting some other value for
the field in UI and then changing that selection to unselected...We treat as
NULL or empty and do not ship those elements with a 0.
5 is also found in 2 filings from 2003.