Transcription of FOCUS Report Part II instructions - SEC.gov | HOME
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FOCUS Report Part II instructions - SEC.gov | HOME
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, 20549 FOCUS Report PART II instructions GENERAL instructions Who Must File Filing Requirements Consolidated Reporting Currency Rounding Generally Accepted Accounting Principles Definitions SPECIFIC instructions Cover Page Statement of Financial Condition Computation of Net Capital (Filer Authorized to Use Models) Computation of Net Capital (Filer Not Authorized to Use Models) Computation of Minimum Regulatory Capital Requirements (Broker-Dealer) Computation of Minimum Regulatory Capital Requirements (Non-Broker-Dealer SBSD) Computation of Tangible Net Worth Statement of Income (Loss) or Statement of Comprehensive Income Capital Withdrawals Capital Withdrawals Recap Financial and Operational Data Computation for Determination of Customer Reserve Requirements Possession or Control for Customers Computation for Determination of PAB Requirements Claiming an Exemption from Rul
“Security-based swap” is defined in section 3(a)(68) of the Exchange Act. “Security-based swap customer” is defined in 17 CFR 240.15c3-3 or 240.18a-4, as applicable. “Swap” is defined in section 3(a)(69) of the Exchange Act. SPECIFIC INSTRUCTIONS Cover Page The cover page must be completed in its entirety.
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