Form X-17A-5 Focus Report Part II (SEC1695) {X-17A-5}

X-17A-5 - FOCUS REPORT (FINANCIAL AND OPERATIONAL COMBINED UNIFORM SINGLE REPORT) PART II. This form is a report of the U.S. Securities and Exchange Commission (“Commission” or “SEC”) that is required to be filed by the following: • Brokers or dealers (“broker-dealers”) registered with the Commission under section 15 of the Securities Exchange Act of 1934 (“Exchange Act”) that are subject to paragraph (a)(1)(ii) of Exchange Act Rule 17a-5 or otherwise required to file Part II by their designated examining authority (“DEA”) and OTC derivatives dealers subject to paragraph (a)(1)(i) of Exchange Act Rule 17a-12, that are not also registered with the Commission as security-based swap dealers (“SBSDs”) or major security-based swap participants (“MSBSPs”) under section 15F of the Exchange Act (“stand-alone broker-dealers”); • Broker-dealers that are also registered as SBSDs (“broker-dealer SBSDs”); • Broker-dealers that are also registered as MSBSPs (“broker-dealer MSBSPs”); • SBSDs not also registered with the Commission as broker-dealers or regulated by a prudential regulator (“stand-alone SBSDs”); \ • MSBSPs not also registered with the Commission as broker-dealers or regulated by a prudential regulator (“stand-alone MSBSPs”); • Futures Commission Merchants www.FormsWorkflow.com