Part ii of form x-17a-5 schedule 1 instructions

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  36. Page 1. Regulatory Circular RG13-001. Date: January 2, 2013 FOCUS Report (Form X-17A-5). 2012 Year-End Filing. Due MARCH 1, 2013 file a FOCUS Report Part IIA (CBOE) and Schedule I for calendar year 2012 no later on how to add additional users and set their access level, as well as instructions on how to.
  37. Form. X-17A-5. FOCUS REPORT. (Financial and Operational Combined Uniform Single Report). PART II 11. (Please read instructions before preparing Form.) It is understood that all required items, statements, and schedules are considered PART II. BROKER OR DEALER. 100. N 2. 1. STATEMENT OF FINANCIAL
  38. GENERAL INSTRUCTIONS. NOTE TO RESPONDENTS: Schedule I of Form X-17A-5 is a calendar year all registrants either asasupplement to the regular fourth quarter Part II of Form X-l7A-5 within seventeen business 11-Indicate with "1" the methods by which respondent clears its public customer accounts.
  39. 30 Nov 2013 X-17A-5. (FINANCIAL AND OPERATIONAL COMBINED UNIFORM SINGLE (Please read instructions before preparing Form) 1) Rule 17a-5(a) required items, statements, and schedules are considered integral parts of.
  40. 15. Total number of underwriting syndicates respondent was a member .. (Carrying or clearing firms filing X-17A-5 Part II) 16. Number of respondent's public customer transactions: Actual
  41. Items 1 - 6 (State). (Zip Code). INSTRUCTIONS. Schedule A – Routine Report. 1. This item corresponds to the same item number in Parts II and IIA. 2. Secured
  42. This FOCUS Report (Form X-17A-5) constitutes the basic financial and .. See the general instructions and Rule 15c3-1(c)(2)(iv) (K-L), (c)(2)(vii) and (c)(11). .. Registrants shall indicate whether the financial statements and schedules are
  43. Form. X-17A-5. FOCUS REPORT. (Financial and Operational Combined Uniform Single Report). PART IIA 12. (Please read instructions before preparing Form.) This report is complete. It is understood that all required items, statements, and schedules are considered . 2. includes equity subordination (15c3-1(d)). 980 of .
  44. FORM X-17A-5 all required items, statements, and schedules are considered integral parts of MANUAL SIGNATURES OF: SEC 2430 (2-02) Page 1 of 28
  45. Need to access completely for Ebook PDF form x 17a 5 part ii sec? d.c. 20549 form x-17a-5 schedule i general instructions note to respondents: 1. united states securities and exchange commission washington, d.c. 20549 annual audited.
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