Annual Financial Report [ a.k.a. FOCUS Report ] by a Broker or Dealer — Form X-17A-5
Filing Table of Contents
Document/Exhibit Description Pages Size
1: X-17A-5 Annual Financial Report [ a.k.a. FOCUS Report ] by HTML 6K
a Broker or Dealer -- primary_doc.xml
2: FULL Fullfs -- full PDF 3.44M
11: STMT FIN COND Statement of Financial Condition -- sfc PDF 163K
14: STMT FIN COND NOTES Notes to the Statement of Financial PDF 326K
Condition -- stmtfincondnotes
12: STMT INCOME Statement of Income -- si PDF 160K
6: STMT CASH FLOW Statement of Cash Flow -- cf PDF 64K
13: STMT CHG SH EQY Statement of Changes in Stockholders', PDF 124K
Partners' or Sole Proprietors' Equity -- stmcheq
10: STMT CHG SUB LIABS Statement of Changes in Liabilities PDF 101K
Subordinated to Claims of Creditors -- scsl
7: COMP NET CAP Computation of Net Capital -- cnc PDF 199K
9: INFO POS CTRL REQ Info re: Possession and Control PDF 56K
Requirements -- ipcr
8: EXEMP RPT Exemption Report -- er PDF 223K
4: ACCT RPT STMT FIN CO Accountant's Report re: an Examination PDF 150K
of the Statement of Financial Condition -- a0301b
3: ACCT RPT FIN RPT Accountant's Report re: an Examination of PDF 94K
Financial Reports and Financial Statements --
a0301a
5: ACCT RPT EXEMP RPT Accountant's Report re: a Review of an PDF 320K
Exemption Report -- attesta01
‘INFO POS CTRL REQ’ — Info re: Possession and Control Requirements — ipcr
This is a PDF Document.
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Filing Submission 0000766050-21-000005 – Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)
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