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[null,"NAVIGATION PAGE",null,null,null,null,"( You don't need to print this page. )"]
[]
[]
[]
[null,"RISK-BASED CAPITAL",null,null,null,"Cash in Bank",null,null,null,"OPERATIONAL RISK REQUIREMENT (ORR) "]
[]
[]
[]
[null,"Trial Balance",null,null,null,"Placement",null,null,null,"POSITION RISK REQUIREMENT (PRR)"]
[]
[]
[]
[null,"Financial Statements",null,null,null,"Marketable Securities - 25%",null,null,null,"COUNTERPARTY RISK REQUIREMENT (CRR)"]
[]
[]
[]
[null,"Subordinated Loan",null,null,null,"Marketable Securities - Others (35%, etc.)"]
[null,null,null,null,null,null,null,null,null,null,"Reserve Formula"]
[]
[]
[null,"Core Equity",null,null,null,"RBC Reconciliation",null,null,null,"Reserve formula-detailed"]
[]
[]
[]
[null,null,null,null,null,"Receivables",null,null,null,"OTHERS - Supporting Schedules"]
[]
[]
[]
[null,null,"LARGE EXPOSURE RISK REQUIREMENT (LERR)"]
[]
[null,"LERR1 - CLIENT",null,null,null,"LERR2 - DEBT",null,null,null,"LERR3 - ISSUER"]
[null,null,"LERR - Client",null,null,null,"Debt"]
[]
[]
[null,null,"General Instructions:"]
[null,null,"  1.  Only cells highlighted in yellow are for encoding."]
[null,null,"2.  All worksheets are protected.  Do not alter worksheet names nor add rows or columns."]
[null,null,"       You may, however, add worksheets and link cells to the existing worksheets of the template."]
[null,null,"       Additional cells in the existing worksheets of the template where indicated may also be used."]
[null,null,"   3.  Please do not add or alter any of the trial balance accounts."]

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["NAME OF BROKER DEALER"]
["RISK-BASED CAPITAL ADEQUACY WORKSHEET"]
["Date"]
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["Assets",null,0]
["Liabilities",null,0]
["Equity as per books",null,0]
[]
["Adjustments to Equity per books"]
["Add (Deduct):"]
["        Allowance for market decline",null,0]
["        Subordinated Liabilities ",null,0]
["        Unrealized Gain / ( Loss ) in proprietary accounts",null,0]
["        Deferred Income Tax",null,0]
["        Revaluation Reserves",null,0]
["        Deposit for Future Stock Subscription (No application with SEC)",null,0]
["        Minority Interest",null,0]
["Total Adjustments to Equity per books",null,0]
[]
["Equity Eligible For Net Liquid Capital",null,0]
[]
["Contingencies and Guarantees"]
["Deduct:    Contingent Liability",null,0]
["                Guarantees or indemnities",null,0]
[]
["Ineligible Assets"]
["a. Trading Right and all Other Intangible Assets (net)",null,0]
["b.  Intercompany Receivables",null,0]
["c.  Fixed Assets, net of accumulated and excluding those used as collateral",null,0]
["d.  All Other Current Assets",null,0]
["e.  Securities Not Readily Marketable",null,0]
["f.   Negative Exposure (SCCP)",null,0]
["g.  Notes Receivable (non-trade related)",null,0]
["h.  Interest and Dividends Receivables outstanding for more than 30 days",null,0]
["i.   Ineligible Insurance claims ",null,0]
["j.  Ineligible Deposits",null,0]
["k.  Short Security Differences",null,0]
["l.   Long Security Differences not resolved prior to sale",null,0]
["m. Other Assets including Equity Investment in PSE",null,0]
["Total ineligible assets",null,0]
[]
["Net Liquid Capital (NLC)",null,0]
["Less:"]
["          Operational Risk Reqt (Schedule ORR-1)",null,0]
["          Position Risk Reqt (Schedule PRR-1)",null,0]
["          Counterparty Risk (Schedule CRR-1 and detailed schedules)",null,0]
["          Large Exposure Risk (Schedule LERR-1, LERR-2, LERR-3)"]
["              LERR to a single client (LERR-1)",null,0]
["              LERR to a single debt (LERR-2)",null,0]
["              LERR to a single issuer and group of companies (LERR-3)",null,0]
[]
["Total Risk Capital Requirement ( TRCR )",null,0]
[]
["Net RBCA Margin (NLC-TRCR)",null,0]
["Liabilities",null,0]
["Add:  Deposit for Future Stock Subscription (No application with SEC)",null,0]
["Less:  Exclusions from Aggregate Indebtedness"]
["          Subordinated Liabilites ",null,0]
["          Loans secured by securities",null,0]
["          Loans secured by fixed assets",null,0]
["          Others",null,0]
["Total adjustments to AI",null,0]
["Aggregate Indebtedness",null,0]
["5% of Aggregate Indebtedness",null,0]
["Required Net Liquid Capital (> of 5% of AI or P5M)",null,5000000]
["Net Risk-based Capital Excess / ( Deficiency )",null,-5000000]
["Ratio of AI to Net Liquid Capital",null,{"$error":"#DIV/0!"}]
["RBCA Ratio (NLC / TRCR)",null,{"$error":"#DIV/0!"}]
[""]
[""]
["2016-02-23",null,"012505ver"]

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[null,"Loans",null,"Fixed Assets Used as Collateral",null,"Long Security Differences not resolved prior to sale"]
[null,"Contingencies",null,"Ineligible Deposits",null,"Minority Interest"]
[null,"Deposit for Future Stock Subscription",null,"Ineligible Insurance claims ",null,"Negative Exposure to SCCP"]
[null,"Dividends Declared",null,"Indemnities",null,"Retained Earnings"]
[null,"Exclusions to Aggregate Indebtedness",null,"Interest and Dividends Receivables (>30 days)",null,"Short Security Differences"]
[]
[]
[null,"Negative Exposure to SCCP"]
[]
[null,"Cut-off Date","Date"]
[null,"Amount:"]
[]
[]
[null,"Deposit for Future Stock Subscription"]
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[]
["A","Date of Application (if filed)","Name of Investor",null,"Months Outstanding","Amount"]
[1]
[2]
["B","Subtotal",null,null,null,0]
[null,"No Application Filed Yet"]
[1]
[2]
[null,"Subtotal",null,null,null,0]
[null,"Total",null,null,null,0]
[null,""]
[]
[null,"Interest and Dividends Receivables outstanding for more than 30 days"]
[]
[null,"Interest Receivable"]
[null,"Dividends Receivable"]
[null,null,null,0]
[]
[null,"Ineligible Insurance claims "]
[]
[null,"Nature of Claim",null,null,"Amount"]
[]
[]
[]
[null,"Total",null,null,0]
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[]
[]
[null,"Ineligible Deposits"]
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[null,"Description",null,"Amount"]
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[]
[]
[null,"Total",null,0]
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[null,"Short Security Differences"]
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[null,"Days Unresolved",null,"Amount"]
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[]
[]
[null,"Long Security Differences not resolved prior to sale"]
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[null,"Days Unresolved",null,"Amount"]
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[]
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[null,"Minority Interest"]
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[]
[]
[null,"Contingencies"]
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[null,"Description",null,null,"Amount","Opinion/Estimate provided by"]
[]
[]
[]
[null,"Total",null,null,0]
[]
[null,"Guarantees / Indemnities"]
[]
[null,"Description",null,null,"Amount","Opinion/Estimate provided by"]
[]
[]
[]
[null,"Total",null,null,0]
[]
[]
[null,"Fixed Assets Used as Collateral"]
[]
[null,"Description","Acquisition Cost","Accumulated Depreciation","Net Book Value","Loan Amount as of ","Allowable for RBC","Loan Reference"]
[null,null,null,null,null,"Date"]
[1,null,null,null,0,null,0]
[2,null,null,null,0,null,0]
[3,null,null,null,0,null,0]
[4,null,null,null,0,null,0]
[5,null,null,null,0,null,0]
[6,null,null,null,0,null,0]
[7,null,null,null,0,null,0]
[8,null,null,null,0,null,0]
[9,null,null,null,0,null,0]
[10,null,null,null,0,null,0]
[null,"Total",0,0,0,0,0]
[]
[]
[null,"Loans"]
[null,""]
[null,"Lender","Reference","Effective Date","Maturity Date","Original Loan Amount","Balance as of ","Collateral"]
[null,null,null,null,null,null,"Date"]
[1]
[2]
[3]
[4]
[5]
[6]
[7]
[8]
[9]
[10]
[11,"Loans Secured by Securities  (Details below)",null,"Various","Various",0,0]
[null,"Total",null,null,null,0,0]
[]
[null,"Loans Secured by Securities"]
[]
[null,"Lender","Reference","Effective Date","Maturity Date","Original Loan Amount","Balance as of ","MV of Securities (Collateral)"]
[null,null,null,null,null,null,"Date"]
[1]
[2]
[3]
[4]
[5]
[6]
[7]
[8]
[9]
[10]
[null,"Total",null,null,null,0,0,0]
[]
[]
[null,"Other Exclusions to Aggregate Indebtedness"]
[]
[null,"Description",null,null,null,null,"Amount"]
[1,"Deferred Tax Liabilities",null,null,null,null,0]
[2,"Liabilities subordinated to claims of creditors not subject to a satisfactory subordinated agreement"]
[3,"Credit balances in accounts of general partners"]
[4,"Liabilities against securities failed to receive"]
[5,"80% of liability against securities loaned with receivable of the same class, issue and quantity"]
[6,"Others (Please specify.)"]
[null,"Total",null,null,null,null,0]
[]
[]
[null,"Retained Earnings"]
[]
[1,"Appropriated-Reserve Fund"]
[2,"Appropriated-Others"]
[3,"Unappropriated",null,0]
[null,"Total",null,0]
[]
[]
[null,"Dividends Declared"]
[]
[1,"Cash Dividends",null,2500]
[2,"Stock Dividends",null,2500]
[null,"Total",null,5000]

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[null,"WARNING!!!"]
[null,"This worksheet contains references to formulae in the workbook."]
[null,"Alteration is strictly prohibited.  Otherwise, the results may be adversely affected."]
[]
[]
[null,"SL Haircut",null,null,null,"SL - Checking Remaining Term"]
[null,1,"> 3 Yr - 4 Yr",1,null,0,"< 1 year"]
[null,2,"> 2 Yr - 3 Yr",0.75,null,1,"> 1 Yr - 2 Yr"]
[null,3,"> 1 Yr - 2 Yr",0.5,null,2,"> 2 Yr - 3 Yr"]
[null,4,"< 1 year",0,null,3,"> 3 Yr - 4 Yr"]
[null,5,null,null,null,4]
[]
[null,"Type of SL",null,null,null,"Unrealized gain/(loss) for RBC"]
[null,1,"SL"]
[null,2,"SDN",null,null,"Unrealized loss for RBC",null,0]
[null,3,null,null,null,"Allowance per TB",null,0]
[]
[null,"Position Risk Factors"]
[null,1,0.35]
[null,2,0.25]
[null,3]
[]
[null,"Reserve Formula"]
[]
[]
[]
[]
[null,"Items for Checking"]
[]
[null,"Trial balance",null,""]
[null,"Marketable Securities",null,""]
[null,"Assets = Liabilities + Capital",null,0]

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["NAME OF BROKER DEALER"]
["TRIAL BALANCE"]
["Date"]
[""]
[]
[null,"Debit","Credit"]
[]
["Cash on Hand"]
["Petty Cash Fund"]
["Cash in Bank",0]
["Reserve Bank Account",0]
[]
["Short Term Placement",0]
[]
["Trading Account Securities"]
["Oddlot and Error Transactions",null,null,""]
["Allowance for Market Decline"]
[]
["Receivable From Customers",0]
["Allowance for Doubtful Accounts"]
["Receivable from Other Brokers"]
["Receivable From Clearing House"]
["Receivable for Securities Failed to Deliver"]
["Receivable for Securities Borrowed"]
["Notes Receivable"]
["Dividends Receivable"]
["Interest Receivable"]
["Other Receivables"]
[]
["Secured Demand Notes"]
[]
["Advances to Officers and Employees"]
["Advances to Suppliers"]
["Advances - Others"]
["Prepaid Rent"]
["Prepaid Insurance"]
["Prepaid Taxes and Licenses"]
["Other Prepayments"]
["Other Current Assets"]
[]
["IBODI - Current Portion",0]
["IBODI - Long Term Portion",0]
[]
["Due from Affiliates/Subsidiaries/Associated Partnerships"]
[]
["Investments in Securities with No Ready Market"]
[]
["Other Long Term Investments"]
[]
["Equity Investment in PSE"]
["Trading Rights"]
["Accumulated Amortization - Trading Right"]
["Other Intangible Assets (Net of amortization)"]
[]
["Land"]
["Land Improvements"]
["Building/Condominium Unit"]
["Accumulated Depreciation - Bldg/Condominium Unit"]
["Leasehold Rights and Improvements"]
["Accumulated Depreciation - LHI"]
["Furnitures and Fixtures"]
["Accumulated Depreciation - F/F"]
["Office Equipment/Computer Software/Hardware"]
["Accumulated Depreciation - O/E/Software/Hardware"]
["Transportation/Automotive Equipment"]
["Accumulated Depreciation - TE"]
["Other Fixed Assets"]
["Accumulated Depreciation - Others"]
["Fixed Assets - Appraisal Increase"]
[]
["Refundable Deposit"]
["Input Tax"]
["Creditable Withholding Tax"]
["Deferred Charges"]
["Deferred Tax Assets"]
["Miscellaneous Assets"]
[]
["Payable to Customers"]
["Payable to Clearing House"]
["Payable to Non-Customers"]
["Payable for Securities Failed to Receive"]
["Payable for Securities Loans"]
["Bank Overdrafts",null,0]
["Unclaimed Dividends/Dividends Payable   "]
["Due to Affiliates, Officers and Employees"]
["Due to BIR - GRT/Final Tax/Others"]
["W/T - Compensation"]
["W/T - Expanded"]
["W/T - Final"]
["W/T - Others"]
["Income Tax Payable"]
["Other Taxes Payable"]
["SSS Loan Payable"]
["Pag-Ibig Loan Payable"]
["SSS Premium Payable"]
["Medicare/Philhealth Premium Payable"]
["ECC Payable"]
["Pag-Ibig Fund Payable"]
["VAT Payable"]
["Documentary Stamp Tax Payable"]
["Stock Transaction Tax Payable"]
["Transfer Fee Payable"]
["PCD Fees Payable"]
["SCCP Fee Payable"]
["Transaction Fee Payable"]
["Loans Payable",null,0,""]
["Accrued Expenses "]
["Notes Payable"]
["Interest Payable"]
["Securities Differences"]
["Mortgage Payable"]
["Refundable Deposits"]
["Securities Sold Not Yet Repurchased"]
["Accrued Management Bonus"]
["Unearned Income"]
["Rental Deposit Payable"]
["Deferred Tax Liability"]
["Other Liabilities"]
[]
["Subordinated Liability",null,0]
[]
["Authorized Capital Stock - Common"]
["Authorized Capital Stock - Preferred"]
["Issued and Outstanding Common Stock"]
["Issued and Outstanding Preferred Stock"]
["Subscribed Common Stock"]
["Subscribed Preferred Stock"]
["Subscription Receivable - Common Stock"]
["Subscription Receivable - Preferred Stock"]
["Additional Paid-In Capital"]
["Donated Capital"]
["Deposit for Future Subscription"]
["Retained Earnings, beg."]
["Net Income/(Loss)"]
["RE, Appropriated (Reserve Fund)"]
["RE, Appropriated (Others)"]
["RE, Unappropriated"]
["Retained Earnings, end."]
[]
["Revaluation Increment in Property"]
[]
["Treasury Stock"]
[]
[]
["Commission Income"]
["Gain on Sale of Maketable Securities"]
["Loss on Sale of Marketable Securities"]
["Gain on Sale of Other Assets"]
["Loss on Sale of Other Assets"]
["Rental Income"]
["Dividend Income"]
["Interest Income"]
["Other Income"]
["Recovery on Market Decline"]
["Unrealized Loss on Market Decline"]
[]
["Salaries and Wages"]
["13th Month & Other Employee Benefits"]
["Employees' Welfare"]
["Trainings and Seminars"]
["SSS Contributions"]
["Medicare/Philhealth Contributions"]
["EC Contributions"]
["Pag-ibig Fund Contributions"]
["Management Bonus"]
["Transportation and Travel"]
["Meetings and Conferences"]
["Representation and Entertainment"]
["Management Fee"]
["Retainer's Fee"]
["Professional Fees"]
["Stock Exchange Dues and Fees"]
["Condominium Dues and Fees"]
["PCD Fees Expenses"]
["Rent"]
["Light & Water"]
["Insurance"]
["Office Supplies"]
["Commission "]
["Amortization"]
["Depreciation - Bldg/Condominium"]
["Depreciation - Leasehold Rights and Improvements"]
["Depreciation - Furnitures & Fixtures"]
["Depreciation - Office Equipment"]
["Depreciation - Transportation/Automotive Equipment"]
["Depreciation - ROPOA"]
["Depreciation - Others"]
["Taxes & Licenses"]
["Postage, Telephone & Communication"]
["Security, Messengerial and Janitorial"]
["Gas & Oil"]
["Repairs & Maintenance"]
["Advertising & Promotions"]
["Bank Charges"]
["Photocopies"]
["Subscription and Periodicals"]
["Interest Expense"]
["Miscellaneous"]
["Provision for Income Tax"]
["Other Expenses"]
[]
[]
["TOTAL",0,0]
[]
[null,null,0]

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[null,"NAME OF BROKER DEALER"]
[null,"SUMMARY OF SUBORDINATED LOAN"]
[null,"Date"]
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[null,""]
[null,"SSA ","Effective Date","Maturity Date","Term",null,"Name of Lender","Relationship of ","Orig. SL Number","Orig. Loan Date","Amount of Loan","Interest Rate",null,"Market ","MV of","Excess/(Shortage)"]
[null,"Number",null,null,null,"Remaining",null,"the Lender to  ",null,null,null,null,"Type of  SL*","Value of","Collateral","of MV of Collateral","Allowable",null,null,"GUIDE","WARNING!!!"]
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[2,null,null,null,0,null,null,null,null,null,null,null,null,null,null,0,0," ",null,{"$error":"#VALUE!"},5,1,{"$error":"#VALUE!"}]
[3,null,null,null,0,null,null,null,null,null,null,null,null,null,null,0,0," ",null,{"$error":"#VALUE!"},5,1,{"$error":"#VALUE!"}]
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[8,null,null,null,0,null,null,null,null,null,null,null,null,null,null,0,0," ",null,{"$error":"#VALUE!"},5,1,{"$error":"#VALUE!"}]
[9,null,null,null,0,null,null,null,null,null,null,null,null,null,null,0,0," ",null,{"$error":"#VALUE!"},5,1,{"$error":"#VALUE!"}]
[10,null,null,null,0,null,null,null,null,null,null,null,null,null,null,0,0," ",null,{"$error":"#VALUE!"},5,1,{"$error":"#VALUE!"}]
[11,null,null,null,0,null,null,null,null,null,null,null,null,null,null,0,0," ",null,{"$error":"#VALUE!"},5,1,{"$error":"#VALUE!"}]
[12,null,null,null,0,null,null,null,null,null,null,null,null,null,null,0,0," ",null,{"$error":"#VALUE!"},5,2,{"$error":"#VALUE!"}]
[13,null,null,null,0,null,null,null,null,null,null,null,null,null,null,0,0," ",null,{"$error":"#VALUE!"},5,1,{"$error":"#VALUE!"}]
[14,null,null,null,0,null,null,null,null,null,null,null,null,null,null,0,0," ",null,{"$error":"#VALUE!"},5,1,{"$error":"#VALUE!"}]
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[null,"TOTAL",null,null,null,null,null,null,null,null,0,null,null,0,0,null,0]

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[null,null,"REFERENCE SHEET"]
[]
[]
["Cash in Bank",null,"Please provide details in Schedule 1_Cash in Bank"]
[]
["Reserved Bank Account",null,"Please provide details in Schedule 1_ Cash in Bank"]
[]
["Short Term Placement/Investments",null,"Please provide details in Schedule 2_Placement"]
[]
[null,null,"Investments of funds available for current operations and are intended to meet working capital requirement."]
[null,null,"This includes bonds,commercial papers,govt obligations and certificates of deposits."]
[]
["Receivable From Customers",null,"Please provide details in Schedule 4_Security Valuation"]
[null,null,"Claims due from customers of the business for the purchase of securities."]
[]
["Receivable from Non Customers",null,"Amounts due or collectible from officers, employees and other persons associated with the company"]
[]
[]
["Receivable from Other Brokers",null,"Claims due from other brokers for the purchase of securities."]
[]
["Receivable From Clearing House",null,"Amounts due or collectible from SCCP for securities sold for the account of customers or for the broker's own account."]
[]
["Receivable for Securities Failed to Deliver",null,"Amount of the contract price of securities which was not delivered on settlement date"]
[]
["Receivable for Securities Borrowed",null,"Market value of securities borrowed"]
[]
["Secured Demand Notes",null,"Represents market value of securities used as collateral under subordination agreements."]
[]
[]
["Due from Affiliates/Subsidiaries/Associated Partnerships",null,"Amounts due or collectible from affiliates, subsidiaries and associated partnerships such as allocation of expenses and other intercompany charges"]
[]
["Investments in Securities with No Ready Market",null,"Investments acquired for purposes of control, affiliation or for some continuing business advantage whose shares are not listed in the Exchange."]
[]
[]
["Payable to Customers",null,"Please provide details in Schedule 4_Security Valuation"]
[]
["Due to Affiliates, Officers and Employees",null,"Includes retirement and other staff  benefits"]
[]
["Deposit for Future Subscription",null,"Please fill in details at \"Others\" worksheet."]
[null,null,"Generally where application has been filed with SEC.  "]
[null,null,"Where no application has been filed with SEC, this forms part of aggregate indebtedness"]

{"sheet":"Financial Statements","index":7,"n_rows":163,"n_cols":11,"rows_kept":163,"cut":false,"hidden":false,"merged":[],"flags":["formulas_cached_only"]}
[null,null,null,null,null,null,null,null,"Control No. ____________________"]
[null,null,null,null,null,null,null,null,"Form Type: BDFS"]
[]
["SPECIAL FORM FOR FINANCIAL STATEMENTS OF"]
["BROKER DEALERS IN SECURITIES"]
["NAME OF BROKER DEALER"]
["Date"]
["PSIC            OLD:    _____________________       NEW:_____________________"]
[null,null,null,null,null,null,null,null,null,0]
[]
["Table 1. Balance Sheet"]
[]
["A.  ASSETS (A.1+A.2+A.3+A.4+A.5+A.6+A.7+A.8)",null,null,null,null,null,null,null,null,0]
[]
[null,"A.1 Current Assets (A.1.1+.A.1.2+A.1.3+A.1.4+A.1.5+A.1.6+A.1.7)",null,null,null,null,null,null,null,0]
[null,null,"A.1.1 Cash and Cash Equivalents",null,null,null,null,null,null,0]
[null,null,null,"A.1.1.1 Cash on hand and in bank                                                        ",null,null,null,null,0]
[null,null,null,"A.1.1.2 Reserve Bank Account",null,null,null,null,0]
[null,null,"A.1.2 Short-Term Investments                              ",null,null,null,null,null,null,0]
[null,null,"A.1.3 Propriety Security Owned (A.1.3.1+A.1.3.2+A.1.3.3)",null,null,null,null,null,null,0]
[null,null,"             A.1.3.1   Trading account Securities                   ",null,null,null,null,null,0]
[null,null,"             A.1.3.2   Oddlot and Error Transactions            ",null,null,null,null,null,0]
[null,null,"             A.1.3.3    Allowance for market decline in values of "]
[null,null,"                           Proprietary Securities Owned (negative entry)",null,null,null,null,null,0,null,""]
[null,null,"A.1.4 Receivables   (A.1.4.1+A.1.4.2+A.1.4.3+A.1.4.4+A.1.4.5"]
[null,null,"         +A.1.4.6+A.1.4.7+A.1.4.8+A.1.4.9)         ",null,null,null,null,null,null,0]
[null,null,"           A.1.4.1   Receivable from Customers                  ",null,null,null,null,null,0]
[null,null,"           A.1.4.2   Receivable from other Brokers                   ",null,null,null,null,null,0]
[null,null,"           A.1.4.3   Receivable from Clearing House            ",null,null,null,null,null,0]
[null,null,"           A.1.4.4   Receivable for Securities Failed to Deliver",null,null,null,null,null,0]
[null,null,"           A.1.4.5   Receivable for Securities Borrowed         ",null,null,null,null,null,0]
[null,null,"           A.1.4.6   Notes Receivable                                 ",null,null,null,null,null,0]
[null,null,"           A.1.4.7   Dividends Receivable                             ",null,null,null,null,null,0]
[null,null,"           A.1.4.8   Interest Receivable                               ",null,null,null,null,null,0]
[null,null,"           A.1.4.9   Other Receivables                               ",null,null,null,null,null,0]
[null,null,"           A.1.4.10 Allowance for doubtful accounts/ Allowance for bad "]
[null,null,"                        debts or probable losses (negative entry)",null,null,null,null,null,0]
[null,null,"A.1.5 Secured Demand Notes                                           ",null,null,null,null,null,null,0]
[null,null,"A.1.6 Loans and Advances  (A.1.6.1+A.1.6.2+A.1.6.3)                              ",null,null,null,null,null,null,0]
[null,null,null,"A.1.6.1 Advances to Officers and Employees",null,null,null,null,0]
[null,null,null,"A.1.6.2 Advances to Suppliers",null,null,null,null,0]
[null,null,null,"A.1.6.3 Advances-Others",null,null,null,null,0]
[null,null,"A.1.7 Other current assets  (A.1.7.1+A.1.7.2)                            ",null,null,null,null,null,null,0]
[null,null,null,"A.1.7.1 Prepayments",null,null,null,null,0]
[null,null,null,"A.1.7.2 Others",null,null,null,null,0]
[null,"A.2 Equity Investment in PSE",null,null,null,null,null,null,null,0]
[null,"A.3 Receivable from Affiliates / Subsidiaries / Associated Partnerships",null,null,null,null,null,null,null,0]
[null,"A.4 Investments in Securities with No Ready Market        ",null,null,null,null,null,null,null,0]
[null,"A.5 Other Long Term Investments",null,null,null,null,null,null,null,0]
[null,"A.6 Property and Equipment"]
[null,null,"(A.6.1+A.6.2+A.6.3+A.6.4+A.6.5+A.6.6+A.6.7)",null,null,null,null,null,null,0]
[]
["Table 1. Balance Sheet"]
[]
["         ",null,"A.6.1   Land",null,null,null,null,null,0]
[null,null,"A.6.2   Land Improvements",null,null,null,null,null,0]
[null,null,"A.6.3   Building and improvements including leasehold  ",null,null,null,null,null,0]
[null,null,"               improvements"]
[null,null,"A.6.4   Furniture and fixtures",null,null,null,null,null,0]
[null,null,"A.6.5   Office equipment/Computer Software/Hardware",null,null,null,null,null,0]
[null,null,"A.6.6   Transportation / Automotive equipment",null,null,null,null,null,0]
[null,null,"A.6.7   Others"]
[null,null,null,"A.6.7.1 Other Fixed Assets",null,null,null,null,0]
[null,null,null,"A.6.7.2 Appraisal Increase",null,null,null,null,0]
[null,null,"A.6.8   Accumulated Depreciation (negative only)",null,null,null,null,null,0]
[null,"A.7 Intangible assets (A.7.1+A.7.2)",null,null,null,null,null,null,null,0]
[null,null,"    A.7.1   Trading Rights",null,null,null,null,null,0]
[null,null,"    A.7.2   Others",null,null,null,null,null,0]
[null,"A.8 Other Assets (A.8.1+A.8.2+A.8.3)",null,null,null,null,null,null,null,0]
[null,null,"    A.8.1   Deferred Tax Assets",null,null,null,null,null,0]
[null,null,"    A.8.2   Others",null,null,null,null,null,0]
[null,null,"    A.8.3   Miscellaneous Assets ",null,null,null,null,null,0]
[]
["B.  LIABILITIES (B.1+B.2+B.3+B.4+B.5+B.6+B.7+B.8)",null,null,null,null,null,null,null,null,0]
[null,"B.1 Current Liabilities (B.1.1+B.1.2+B.1.3+B.1.4+B.1.5"]
[null,null,"B.1.6+B.1.7+B.1.8+B.1.9+B.1.10+B.1.11+B.1.12+B.1.13)",null,null,null,null,null,null,0]
[null,null,"B.1.1","Payable to Customers",null,null,null,null,0]
[null,null,"B.1.2","Payable to Clearing House",null,null,null,null,0]
[null,null,"B.1.3","Payable to Non-Customers",null,null,null,null,0]
[null,null,"B.1.4","Payable for Securities failed to receive",null,null,null,null,0]
[null,null,"B.1.5","Payable for Securities loans",null,null,null,null,0]
[null,null,"B.1.6","Bank Overdrafts",null,null,null,null,0]
[null,null,"B.1.7","Accrued Expenses",null,null,null,null,0]
[null,null,"B.1.8","Unclaimed dividends/Dividends Payable",null,null,null,null,0]
[null,null,"B.1.9","Interest Payable ",null,null,null,null,0]
[null,null,"B.1.10","Notes Payable",null,null,null,null,0]
[null,null,"B.1.11","Securities Differences",null,null,null,null,0]
[null,null,"B.1.12","Due to affiliates, advances from parent "]
[null,null,null,"company, inter-company payable",null,null,null,null,0]
[]
[null,"B.2","Taxes Payable",null,null,null,null,null,null,0]
[null,"B.3","Refundable Deposits",null,null,null,null,null,null,0]
[null,"B.4","Mortgage Payable",null,null,null,null,null,null,0]
[null,"B.5","Bank Loans Payable",null,null,null,null,null,null,0]
[]
["Table 1. Balance Sheet"]
[]
[null,"B.6","Securities Sold Not Yet Repurchased",null,null,null,null,null,null,0]
[null,"B.7","Subordinated Liability",null,null,null,null,null,null,0]
[null,"B.8","Other Liabilities ",null,null,null,null,null,null,0]
[null,null,"B.8.1","Deferred Tax Liabilities",null,null,null,null,0]
[null,null,"B.8.2","SSS/Pag-ibig/Medicare/ECC Payables",null,null,null,null,0]
[null,null,"B.8.3","Transfer Fee/PCD/SCCP Payables",null,null,null,null,0]
[null,null,"B.8.4","Other Payables",null,null,null,null,0]
[]
["C. STOCKHOLDERS' EQUITY (C.2+C.3+C.4+C.5)",null,null,null,null,null,null,null,null,0]
[null,"C.1 ","Authorized Capital Stocks - no. shares, par value and total"]
[null,null,"value (show details, memo entry)"]
[]
[]
[]
[null,"C.2","Paid-in Capital (no. of shares, par value and total value)",null,null,null,null,null,null,0]
[null,null,null,"C.2.1","Preferred shares ",null,null,null,0]
[null,null,null,"C.2.2","Common shares ",null,null,null,0]
[null,null,null,"C.2.3","Additional Paid-in Capital",null,null,null,0]
[null,"C.3","Deposit for Future Subscription",null,null,null,null,null,null,0]
[null,"C.4","Donated Capital",null,null,null,null,null,null,0]
[null,"C.5","Equity share in the revaluation increment of"]
[null,null,"property / revaluation surplus",null,null,null,null,null,null,0]
[null,"C.6","Retained Earnings (C.6.1+C.6.2)",null,null,null,null,null,null,0]
[null,null,null,"C.6.1","Appropriated - Reserve Fund",null,null,null,0]
[null,null,null,"C.6.2","Appropriated - Others",null,null,null,0]
[null,null,null,"C.6.3","Unappropriated",null,null,null,0]
[null,"C.7","Treasury stock (negative entry)",null,null,null,null,null,null,0]
[]
["TOTAL LIABILITIES AND STOCKHOLDERS' EQUITY (B + C)",null,null,null,null,null,null,null,null,0]
[]
[]
["Table 2a: Income Statement/(Profit and Loss Statement) and Retained Earnings Statement"]
[]
["A. INCOME / REVENUE ( A.1+A.2)",null,null,null,null,null,null,null,null,0]
[null,"A.1 ","Commission Income",null,null,null,null,null,null,0]
[null,"A.2","Other Income ",null,null,null,null,null,null,0]
[null,null,null,"Rental Income",null,null,null,null,0]
[null,null,null,"Dividend Income",null,null,null,null,0]
[null,null,null,"Interest Income",null,null,null,null,0]
[null,null,null,"Gain on Sale of Marketable Securities",null,null,null,null,0]
[null,null,null,"Gain on Sale of Other Assets",null,null,null,null,0]
[null,null,null,"Recovery on Market Decline",null,null,null,null,0]
[null,null,null,"Other Income",null,null,null,null,0]
[]
["B. EXPENSES (B.1+B.2+B.3+B.4+B.5)",null,null,null,null,null,null,null,null,0]
[null,"B.1","Commission Expenses",null,null,null,null,null,0]
[null,"B.2","General/Administrative and Operating Expenses",null,null,null,null,null,0]
[null,"B.3","Taxes and Licenses",null,null,null,null,null,0]
[null,"B.4","Depreciation and Amortization",null,null,null,null,null,0]
[null,"B.5","Other Expenses ",null,null,null,null,null,0]
[null,null,null,"Interest Expense",null,null,null,null,0]
[null,null,null,"Unrealized Loss on Market Decline",null,null,null,null,0]
[null,null,null,"Loss on Sale of Marketable Securities",null,null,null,null,0]
[null,null,null,"Loss on Sale of Other Assets",null,null,null,null,0]
[null,null,null,"Miscellaneous Expenses",null,null,null,null,0]
[null,null,null,"Other Expenses",null,null,null,null,0]
[]
["C. INCOME / (LOSS) BEFORE TAXES (A - B)",null,null,null,null,null,null,null,null,0]
["D. PROVISION FOR (BENEFIT FROM - negative entry)"]
["    INCOME TAX",null,null,null,null,null,null,null,null,0]
["E. NET INCOME / LOSS AFTER TAX (C - D)",null,null,null,null,null,null,null,null,0]
["F. RETAINED EARNINGS (beginning of the year)",null,null,null,null,null,null,null,null,0]
["G. DIVIDENDS DECLARED (G.1+G.2)"]
[null,"G.1 Cash (negative entry)"]
[null,"G.2 Stock (negative entry)"]
["I. RETAINED EARNINGS (end of year)",null,null,null,null,null,null,null,null,0]

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[null,"NAME OF BROKER DEALER"]
[null,"MARKETABLE SECURITIES AND INVESTMENTS"]
[null,"Date"]
[]
[null,null,null,null,null,"Cost","Market Value ","Unrealized Loss / ( Gain )"]
[null,null,"Equities in the PHISIX",null,null,0,0,0]
[null,null,"Equities outside the PHISIX",null,null,0,0,0]
[null,null,"Total Marketable Securities",null,null,0,0,0]
[null,null,"Equities not traded in Exchange ",null,null,0,0,0]
[null,null,null,null,null,0,0,0]
[]
[null,null,null,null,null,null,"Market Value ","Total "]
[null,"Stocks","No. of Shares",null,"Unit Cost","Total Cost","Per Share","Market Value"]
[]
[null,"Equities in the PHISIX"]
[1,null,null,null,null,0,null,0]
[2,null,null,null,null,0,null,0]
[3,null,null,null,null,0,null,0]
[4,null,null,null,null,0,null,0]
[5,null,null,null,null,0,null,0]
[6,null,null,null,null,0,null,0]
[7,null,null,null,null,0,null,0]
[8,null,null,null,null,0,null,0]
[9,null,null,null,null,0,null,0]
[10,null,null,null,null,0,null,0]
[11,null,null,null,null,0,null,0]
[12,null,null,null,null,0,null,0]
[13,null,null,null,null,0,null,0]
[14,null,null,null,null,0,null,0]
[15,null,null,null,null,0,null,0]
[16,null,null,null,null,0,null,0]
[17,null,null,null,null,0,null,0]
[18,null,null,null,null,0,null,0]
[19,null,null,null,null,0,null,0]
[20,null,null,null,null,0,null,0]
[21,null,null,null,null,0,null,0]
[22,null,null,null,null,0,null,0]
[23,null,null,null,null,0,null,0]
[24,null,null,null,null,0,null,0]
[25,null,null,null,null,0,null,0]
[26,null,null,null,null,0,null,0]
[27,null,null,null,null,0,null,0]
[28,null,null,null,null,0,null,0]
[29,null,null,null,null,0,null,0]
[30,null,null,null,null,0,null,0]
[31,null,null,null,null,0,null,0]
[32,null,null,null,null,0,null,0]
[33,null,null,null,null,0,null,0]
[34,null,null,null,null,0,null,0]
[35,null,null,null,null,0,null,0]
[36,null,null,null,null,0,null,0]
[37,null,null,null,null,0,null,0]
[38,null,null,null,null,0,null,0]
[39,null,null,null,null,0,null,0]
[40,null,null,null,null,0,null,0]
[null,"Subtotal",null,null,null,0,null,0]

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[null,"NAME OF BROKER DEALER"]
[null,"SECURITIES OUTSIDE PHISIX AND OTHER INVESTMENTS"]
[null,"Date"]
[]
[]
[null,null,null,null,null,null,"Market Value ","Total "]
[null,"Stocks","No. of Shares",null,"Unit Cost","Total Cost","Per Share","Market Value"]
[]
[null,"Other Equities outside the PHISIX"]
[1,null,null,null,null,0,null,0]
[2,null,null,null,null,0,null,0]
[3,null,null,null,null,0,null,0]
[4,null,null,null,null,0,null,0]
[5,null,null,null,null,0,null,0]
[6,null,null,null,null,0,null,0]
[7,null,null,null,null,0,null,0]
[8,null,null,null,null,0,null,0]
[9,null,null,null,null,0,null,0]
[10,null,null,null,null,0,null,0]
[11,null,null,null,null,0,null,0]
[12,null,null,null,null,0,null,0]
[13,null,null,null,null,0,null,0]
[14,null,null,null,null,0,null,0]
[15,null,null,null,null,0,null,0]
[16,null,null,null,null,0,null,0]
[17,null,null,null,null,0,null,0]
[18,null,null,null,null,0,null,0]
[19,null,null,null,null,0,null,0]
[20,null,null,null,null,0,null,0]
[21,null,null,null,null,0,null,0]
[22,null,null,null,null,0,null,0]
[23,null,null,null,null,0,null,0]
[24,null,null,null,null,0,null,0]
[25,null,null,null,null,0,null,0]
[26,null,null,null,null,0,null,0]
[27,null,null,null,null,0,null,0]
[28,null,null,null,null,0,null,0]
[29,null,null,null,null,0,null,0]
[30,null,null,null,null,0,null,0]
[31,null,null,null,null,0,null,0]
[32,null,null,null,null,0,null,0]
[33,null,null,null,null,0,null,0]
[34,null,null,null,null,0,null,0]
[35,null,null,null,null,0,null,0]
[36,null,null,null,null,0,null,0]
[37,null,null,null,null,0,null,0]
[38,null,null,null,null,0,null,0]
[39,null,null,null,null,0,null,0]
[40,null,null,null,null,0,null,0]
[41,null,null,null,null,0,null,0]
[42,null,null,null,null,0,null,0]
[43,null,null,null,null,0,null,0]
[44,null,null,null,null,0,null,0]
[45,null,null,null,null,0,null,0]
[46,null,null,null,null,0,null,0]
[47,null,null,null,null,0,null,0]
[48,null,null,null,null,0,null,0]
[49,null,null,null,null,0,null,0]
[50,null,null,null,null,0,null,0]
[51,null,null,null,null,0,null,0]
[52,null,null,null,null,0,null,0]
[53,null,null,null,null,0,null,0]
[54,null,null,null,null,0,null,0]
[55,null,null,null,null,0,null,0]
[56,null,null,null,null,0,null,0]
[57,null,null,null,null,0,null,0]
[58,null,null,null,null,0,null,0]
[59,null,null,null,null,0,null,0]
[60,null,null,null,null,0,null,0]
[61,null,null,null,null,0,null,0]
[62,null,null,null,null,0,null,0]
[63,null,null,null,null,0,null,0]
[64,null,null,null,null,0,null,0]
[65,null,null,null,null,0,null,0]
[66,null,null,null,null,0,null,0]
[67,null,null,null,null,0,null,0]
[68,null,null,null,null,0,null,0]
[69,null,null,null,null,0,null,0]
[70,null,null,null,null,0,null,0]
[71,null,null,null,null,0,null,0]
[72,null,null,null,null,0,null,0]
[73,null,null,null,null,0,null,0]
[74,null,null,null,null,0,null,0]
[75,null,null,null,null,0,null,0]
[76,null,null,null,null,0,null,0]
[77,null,null,null,null,0,null,0]
[78,null,null,null,null,0,null,0]
[79,null,null,null,null,0,null,0]
[80,null,null,null,null,0,null,0]
[81,null,null,null,null,0,null,0]
[82,null,null,null,null,0,null,0]
[83,null,null,null,null,0,null,0]
[84,null,null,null,null,0,null,0]
[85,null,null,null,null,0,null,0]
[86,null,null,null,null,0,null,0]
[87,null,null,null,null,0,null,0]
[88,null,null,null,null,0,null,0]
[89,null,null,null,null,0,null,0]
[90,null,null,null,null,0,null,0]
[91,null,null,null,null,0,null,0]
[92,null,null,null,null,0,null,0]
[93,null,null,null,null,0,null,0]
[94,null,null,null,null,0,null,0]
[95,null,null,null,null,0,null,0]
[96,null,null,null,null,0,null,0]
[97,null,null,null,null,0,null,0]
[98,null,null,null,null,0,null,0]
[99,null,null,null,null,0,null,0]
[100,null,null,null,null,0,null,0]
[101,null,null,null,null,0,null,0]
[102,null,null,null,null,0,null,0]
[103,null,null,null,null,0,null,0]
[104,null,null,null,null,0,null,0]
[105,null,null,null,null,0,null,0]
[106,null,null,null,null,0,null,0]
[107,null,null,null,null,0,null,0]
[108,null,null,null,null,0,null,0]
[109,null,null,null,null,0,null,0]
[110,null,null,null,null,0,null,0]
[111,null,null,null,null,0,null,0]
[112,null,null,null,null,0,null,0]
[113,null,null,null,null,0,null,0]
[114,null,null,null,null,0,null,0]
[115,null,null,null,null,0,null,0]
[116,null,null,null,null,0,null,0]
[117,null,null,null,null,0,null,0]
[118,null,null,null,null,0,null,0]
[119,null,null,null,null,0,null,0]
[120,null,null,null,null,0,null,0]
[121,null,null,null,null,0,null,0]
[122,null,null,null,null,0,null,0]
[123,null,null,null,null,0,null,0]
[124,null,null,null,null,0,null,0]
[125,null,null,null,null,0,null,0]
[126,null,null,null,null,0,null,0]
[127,null,null,null,null,0,null,0]
[128,null,null,null,null,0,null,0]
[129,null,null,null,null,0,null,0]
[130,null,null,null,null,0,null,0]
[131,null,null,null,null,0,null,0]
[132,null,null,null,null,0,null,0]
[133,null,null,null,null,0,null,0]
[134,null,null,null,null,0,null,0]
[135,null,null,null,null,0,null,0]
[136,null,null,null,null,0,null,0]
[137,null,null,null,null,0,null,0]
[138,null,null,null,null,0,null,0]
[139,null,null,null,null,0,null,0]
[140,null,null,null,null,0,null,0]
[141,null,null,null,null,0,null,0]
[142,null,null,null,null,0,null,0]
[143,null,null,null,null,0,null,0]
[144,null,null,null,null,0,null,0]
[145,null,null,null,null,0,null,0]
[146,null,null,null,null,0,null,0]
[147,null,null,null,null,0,null,0]
[148,null,null,null,null,0,null,0]
[149,null,null,null,null,0,null,0]
[150,null,null,null,null,0,null,0]
[151,"Various ( Please provide separate schedule )"]
[null,"Subtotal",null,null,null,0,null,0]
[]
[null,"Equities not traded in Exchange but proven to be marketable"]
[1,null,null,null,null,0,null,0]
[2,null,null,null,null,0,null,0]
[3,null,null,null,null,0,null,0]
[4,null,null,null,null,0,null,0]
[5,null,null,null,null,0,null,0]
[6,null,null,null,null,0,null,0]
[7,null,null,null,null,0,null,0]
[8,null,null,null,null,0,null,0]
[9,null,null,null,null,0,null,0]
[10,null,null,null,null,0,null,0]
[11,"Various ( Please provide separate schedule )"]
[null,"Subtotal",null,null,null,0,null,0]

{"sheet":"Core Equity","index":10,"n_rows":24,"n_cols":4,"rows_kept":24,"cut":false,"hidden":false,"merged":[[20,1,20,3]],"flags":["formulas_cached_only"]}
[null,"NAME OF BROKER DEALER"]
[null,"                                                                      SCHEDULE CE-1"]
[null,"                                                          MANUAL COMPUTATION OF CORE EQUITY"]
[null,"Date"]
[]
[]
[]
[null,"Capital Account",null,"Account Balance"]
[]
["1.","Paid-up common stock;",null,0]
["2.","Paid-up perpetual and non-cumulative preferred stock",null,0]
["3.","Common stock dividends distributable"]
["4.","Perpetual and non-cumulative preferred stock dividends distributable;"]
["5.","Additional Paid In Capital",null,0]
["6.","Surplus reserves excluding revaluation reserves or appraisal capital;"]
["7.","Opening retained earnings adjusted for all current year movements",null,0]
[]
[]
[null,"Total Core Equity",null,0]
[]
[null,"Note: Exclusions in the computation of Core Equity"]
[null,"(1)  Common stock treasury shares"]
[null,"(2)  Perpetual  and non-cumulative preferred stock treasury shares;"]
[null,"(3)  Unbooked valuation reserves and other capital adjustments (such as unrealized gain in value of noncurrent investments)"]

{"sheet":"Cash in Bank","index":11,"n_rows":54,"n_cols":5,"rows_kept":54,"cut":false,"hidden":false,"merged":[[0,0,0,4],[1,0,1,4],[2,0,2,4],[5,0,5,1]],"flags":["formulas_cached_only"]}
["NAME OF BROKER DEALER"]
["SCHEDULE OF CASH IN BANK (net debit and net credit)"]
["Date"]
[]
[]
["I.  Schedule of Banks with Net Debit Amount:"]
[null,null,null,null,"Net Debit"]
[null,"Bank Account Details (Bank, (SA or CA), Acct. No.)",null,null,"Amount"]
[]
[1]
[2]
[3]
[4]
[5]
[6]
[7]
[8]
[9]
[10]
[11]
[12]
[13]
[14]
[15]
[16,"Various ( Provide details below Row 60 and link to Cell E25 )"]
[null,null,null,null,0]
[]
[]
["II.  Schedule of Banks with Net Credit Amount (Bank Overdraft)"]
[]
[null,null,null,null,"Net Credit"]
[null,"Bank Account Details",null,null,"Amount"]
[]
[1]
[2]
[3]
[4]
[5]
[6]
[7]
[null,null,null,null,0]
[]
[]
["III.  Reserve Bank Account"]
[]
[]
[null,"Bank Account Details",null,null,"Amount"]
[]
[1]
[2]
[3]
[4]
[5]
[null,null,null,null,0]

{"sheet":"Placement","index":12,"n_rows":81,"n_cols":6,"rows_kept":81,"cut":false,"hidden":false,"merged":[[0,1,0,5],[1,1,1,5],[2,1,2,5]],"flags":["formulas_cached_only"]}
[null,"NAME OF BROKER DEALER"]
[null,"MONEY MARKET PLACEMENTS/INVESTMENTS IN BONDS AND OTHER DEBT INSTRUMENTS (IBODI)"]
[null,"Date"]
[]
[]
[null,"T-Bills/Placements*","Principal Amount","Maturity Date","Rate (%)","Maturity Value"]
[]
[null,"I.  Money Market Placements"]
[1]
[2]
[3]
[4]
[5]
[6]
[7]
[8]
[9]
[10]
[11]
[12]
[13]
[14]
[15,"Various ( Provide details below Row 85 )",null,"Various","Various"]
[]
[null,"Subtotal",0,null,null,0]
[]
[]
[null,"II. A  IBODI - Private  ( <=30 days )"]
[]
[1]
[2]
[3]
[4]
[5]
[6,"Various ( Provide details below Row 85 )",null,"Various","Various"]
[null,"Subtotal",0,null,null,0]
[]
[null,"II. B  IBODI - Private  ( > 30 days but <= 1 year )"]
[]
[1]
[2]
[3]
[4]
[5]
[6,"Various ( Provide details below Row 85 )",null,"Various","Various"]
[null,"Subtotal",0,null,null,0]
[]
[null,"II.C   IBODI - Private  ( > 1 year )"]
[]
[1]
[2]
[3]
[4]
[5]
[6,"Various ( Provide details below Row 85 )",null,"Various","Various"]
[null,"Subtotal",0,null,null,0]
[]
[null,"III.A   IBODI - Government  (<= 1 year )"]
[]
[1]
[2]
[3]
[4]
[5]
[6,"Various ( Provide details below Row 85 )",null,"Various","Various"]
[null,"Subtotal",0,null,null,0]
[]
[null,"III.B   IBODI - Government ( > 1 year )"]
[]
[1]
[2]
[3]
[4]
[5]
[6,"Various ( Provide details below Row 85 )",null,"Various","Various"]
[null,"Subtotal",0,null,null,0]
[]
[null,"TOTAL",0,null,null,0]
[]
[]
[null,"*Should be properly enumerated with supports attached."]

{"sheet":"Receivables","index":13,"n_rows":36,"n_cols":10,"rows_kept":36,"cut":false,"hidden":false,"merged":[],"flags":["formulas_cached_only"]}
["NAME OF BROKER DEALER"]
["Schedule of Receivables"]
["Date"]
[]
[]
["Aging",null,"Balance","Collateral (net of haircut)","Counterparty Exposure after Collateral","Allowance for Bad Debts","Net Exposure","Counterparty Weight (%)","Credit Risk Factor (CRF%)","Credit Risk Requirement"]
["T to T + 2 of counterparty",null,null,null,0,null,0]
["T + 3 to T + 13 of counterparty",null,0,0,0,0,0]
["Beyond T + 13 of counterparty",null,0,0,0,0,0]
["Total",null,0,0,0,0,0]
[]
[]
["T + 3 to T + 13 of Counterparty"]
["Others",null,null,null,0,null,0,1,0,0]
["Exchange/Non-exchange TP with Restrictions",null,null,null,0,null,0,1,0,0]
["Counterparties subj. to 20% Weight",null,null,null,0,null,0,0.2,0,0]
["Counterparties subj. to 50% Weight",null,null,null,0,null,0,0.5,0,0]
["Government - Natl. govt./BSP",null,null,null,0,null,0,0,0,0]
["Total",null,0,0,0,0,0,null,null,0]
[]
["Beyond T + 13 of Counterparty"]
["Others",null,null,null,0,null,0,1,0,0]
["Exchange/Non-exchange TP with Restrictions",null,null,null,0,null,0,1,0,0]
["Counterparties subj. to 20% Weight",null,null,null,0,null,0,0.2,0,0]
["Counterparties subj. to 50% Weight",null,null,null,0,null,0,0.5,0,0]
["Government - Natl. govt./BSP",null,null,null,0,null,0,0,0,0]
[null,null,0,0,0,0,0,null,null,0]
[]
["Total > T + 3",null,0,0,0,0,0,null,null,0]
[]
[]
[]
["Unsettled Principal Trades"]
["T + 3 to T + 13 of Counterparty",null,null,null,0,null,0,0.5,0,0]
["Beyond T + 13 of Counterparty",null,null,null,0,null,0,0.5,0,0]
[null,null,0,0,0,0,0,null,null,0]

{"sheet":"Schedule 4_Security Valuation-C","index":14,"n_rows":50,"n_cols":6,"rows_kept":50,"cut":false,"hidden":true,"merged":[[9,0,9,1],[3,0,3,5],[1,0,1,5],[0,0,0,5],[2,0,2,5],[6,3,6,4],[7,3,7,4]],"flags":["formulas_cached_only"]}
["NAME OF BROKER DEALER"]
["ADJUSTED SECURITY VALUATION"]
["Date"]
["CUSTOMERS' ACCOUNTS"]
[]
[]
[null,null,"Adjusted ","Adjusted"]
[null,null,"Money Balance","Security Valuation"]
[]
["Particulars",null,null,"Long","Short","Unsecured"]
[]
["Due From Customers"]
[null,"Cash Account:"]
[" ","More than 250%"]
[null,"Between 200% to 250%"]
[null,"Between 150% to 200%"]
[null,"Between 100% to 150%"]
[null,"Less than 100%",null,null,null,0]
[null,"Unsecured",null,null,null,0]
[]
[null,"       SUBTOTAL",0,0,0,0]
[]
[null,"Margin Account:"]
[null,"More than 250%"]
[null,"Between 200% to 250%"]
[null,"Between 150% to 200%"]
[null,"Between 100% to 150%"]
[null,"Less than 100%",null,null,null,0]
[null,"Unsecured",null,null,null,0]
[]
[null,"       SUBTOTAL",0,0,0,0]
[]
[null,"       TOTAL",0,0,null,0]
[]
["Due to Customers"]
[" ","Free Balances"]
[null,"     With Money Balances"]
[null,"     No Money Balances"]
[]
[null,null,0,0,0]
[]
[null,"With Short Position"]
[null,"      With Money Balances",0]
[null,"      No Money Balances",0]
[]
[null,null,0,0,0]
[]
[null,"      TOTAL",0,0,0,0]
[]
["MANAGEMENT TOTAL",null,0,0,null,0]

{"sheet":"Schedule 4_Security Valuation-B","index":15,"n_rows":50,"n_cols":6,"rows_kept":50,"cut":false,"hidden":true,"merged":[[6,3,6,4],[7,3,7,4],[9,0,9,1],[0,0,0,5],[1,0,1,5],[2,0,2,5],[3,0,3,5]],"flags":["formulas_cached_only"]}
["NAME OF BROKER DEALER"]
["ADJUSTED SECURITY VALUATION"]
["Date"]
["BROKERS' ACCOUNTS"]
[]
[]
[null,null,"Adjusted ","Adjusted"]
[null,null,"Money Balance","Security Valuation"]
[]
["Particulars",null,null,"Long","Short","Unsecured"]
[]
["Due From Customers"]
[null,"Cash Account:"]
[" ","More than 250%"]
[null,"Between 200% to 250%"]
[null,"Between 150% to 200%"]
[null,"Between 100% to 150%"]
[null,"Less than 100%",null,null,null,0]
[null,"Unsecured",null,null,null,0]
[]
[null,"       SUBTOTAL",0,0,null,0]
[]
[null,"Margin Account:"]
[null,"More than 250%"]
[null,"Between 200% to 250%"]
[null,"Between 150% to 200%"]
[null,"Between 100% to 150%"]
[null,"Less than 100%"]
[null,"Unsecured"]
[]
[null,"       SUBTOTAL",0,0]
[]
[null,"       TOTAL",0,0,null,0]
[]
["Due to Customers"]
[" ","Free Balances"]
[null,"     With Money Balances"]
[null,"     No Money Balances"]
[]
[null,null,0,0]
[]
[null,"With Short Position"]
[null,"      With Money Balances",0]
[null,"      No Money Balances",0]
[]
[null,null,0,0]
[]
[null,"      TOTAL",0,0,null,0]
[]
["MANAGEMENT TOTAL",null,0,0,null,0]

{"sheet":"ORR","index":16,"n_rows":27,"n_cols":6,"rows_kept":27,"cut":false,"hidden":false,"merged":[[34,0,34,1],[34,4,34,6],[33,4,33,6]],"flags":["formulas_cached_only"]}
["NAME OF BROKER DEALER",null,null,null,null," "]
["SCHEDULE ORR-1",null,null,null,null," "]
["MANUAL COMPUTATION OF OPERATIONAL RISK REQUIREMENT (ORR) "]
["Date"]
[]
[]
[]
["Type of Revenue/Income","CURRENT YR","YEAR -1","YEAR-2","AVE (sum/ 3)"]
[null,2003,2002,2001]
["Commission Income",null,null,null,0]
["Interest Income",null,null,null,0]
["Net Recovery from market decline of    Marketable Securities Owned",null,null,null,0]
["Rental Income",null,null,null,0]
["Dividend Income",null,null,null,0]
["Gain on Sale of Marketable Securities",null,null,null,0]
["Gain on Sale of other Assets",null,null,null,0]
["Other Income/Revenues",null,null,null,0]
[null,null,null,null,0]
[null,null,null,null,0]
["Total Revenue/Income",0,0,0,0]
["Average of Last 3 Years' Gross Income",null,null,null,0]
["Operational Risk Factor",null,null,null,0.2]
[]
["Total Operational Risk Requirement",null,null,null,0]
[" (3-year average x Operational risk factor)"]
[]
[""]

{"sheet":"CRR","index":17,"n_rows":18,"n_cols":10,"rows_kept":18,"cut":false,"hidden":false,"merged":[],"flags":["formulas_cached_only"]}
["NAME OF BROKER DEALER",null,null,null,null,null,null,null,null," "]
["SCHEDULE CRR-1"]
["MANUAL COMPUTATION OF COUNTERPARTY RISK REQUIREMENT (CRR) FOR ALL TYPES OF SECURITIES (IN AGGREGATE)"]
["Date"]
[]
[]
["No.","Counterparty Name","Debt Aging Period (no. of market days overdue)","Counterparty Exposure (Php) ","Discounted Collaterals and/or value of provisions made (Php)","Net Counterparty Exposure (Php)","Counterparty Weight (%)","Credit Risk Factor (CRF%)","CRR   (Php)"]
[null,null,null,"(a)","(b)","( c )         [c=a-b]","(d)","(e)","(f)   (f=cxdxe)"]
[1,"Unsettled Customer trades","Various",0,0,0,"Various","Various",0]
[2,"Unsettled Principal  trades","Various",0,0,0,"Various","Various",0]
[3,"Debts/Loans, Contra Losses and other amounts due",null,null,null,0,null,null,0]
[4,"Free Deliveries",null,null,null,0,null,null,0]
[5,"Securities Borrowing and Lending",null,null,null,0,null,null,0]
[6,"Margin Financing Lending",null,null,null,0,null,null,0]
[7,"Others (pls. Specify)",null,null,null,0,null,null,0]
[8,"Others (pls. Specify)",null,null,null,0,null,null,0]
["Grand Total of CRR",null,null,null,null,null,null,null,0]
["*Prepare separate schedules (following the same format) showing breakdown of each major type of counterparty risk requirement"]

{"sheet":"PRR","index":18,"n_rows":23,"n_cols":6,"rows_kept":23,"cut":false,"hidden":false,"merged":[[22,0,22,4]],"flags":["formulas_cached_only"]}
["NAME OF BROKER DEALER"]
["SCHEDULE PRR-1"]
["MANUAL COMPUTATION OF POSITION RISK REQUIREMENT (PRR) FOR FIXED INCOME AND EQUITY SECURITIES"]
["Date"]
[]
[]
["No.","Type of Instrument/Security","Time to Maturity             [The difference between reporting date and the Maturity Date of FI Securities (months/years)]","Total Market Value of the Instrument/Securities (Php)","Position Risk Factors (PRFs)","PRR        (Php)"]
[]
[null,"Equities in the PHISIX",null,0,0.25,0]
[null,"Other Equities outside the PHISIX",null,0,0.35,0]
[null,"Equities not traded in Exchange but proven to be marketable",null,0,1,0]
[]
[null,"Debt"]
[null,"Republic of the Philippines","Up to one (1) year",null,0.012,0]
[null,null,"> 1 to 5 years",null,0.039,0]
[null,null,"> 5 to 10 years",null,0.053,0]
[null,null,"> 10 to 20 years",null,0.076,0]
[null,null,"> 20 years",null,0.1,0]
[null,"Other Corporate Debts",null,null,1,0]
[]
[null,"FX Position",null,null,0.08,0]
[]
["Total PRR",null,null,null,null,0]

{"sheet":"LERR-CLIENT","index":19,"n_rows":27,"n_cols":8,"rows_kept":27,"cut":false,"hidden":false,"merged":[[26,0,26,3],[26,5,26,6],[8,3,9,3],[8,4,9,4],[6,4,7,4],[6,5,7,5],[6,6,7,6],[6,0,7,0],[6,1,7,1],[6,2,7,2],[6,3,7,3]],"flags":["formulas_cached_only"]}
["NAME OF BROKER DEALER"]
["SCHEDULE LERR-1"]
["MANUAL COMPUTATION OF LARGE EXPOSURE RISK REQUIREMENT (LERR) TO SINGLE CLIENT"]
["Date"]
[null,null,null,null,null,null,null," "]
[]
["No.","Counterparty Name [report only if (a) > 10% of Core Equity]","Type of  Securities and/or counterparty transaction type","Net Counterparty Exposure (CE) for Securities and/or counterparty transaction type                                                            ","LERR (Excess of Net Counter Party Exposure over 10% Core Equity)","30% of Core Equity ","Breach maximum LER limit if Total Net CE exceeds 30% of Core Equity (yes/no)"]
[]
[null,null,null,"(Php)  ","(Php)  ","(Php)"]
[null,0,null,null,null,0]
[1,null,null,null,0,0,0]
[2,null,null,null,0,0,0]
[3,null,null,null,0,0,0]
[4,null,null,null,0,0,0]
[5,null,null,null,0,0,0]
[6,null,null,null,0,0,0]
[7,null,null,null,0,0,0]
[8,null,null,null,0,0,0]
[4,null,null,null,0,0,0]
[5,null,null,null,0,0,0]
[6,null,null,null,0,0,0]
[7,null,null,null,0,0,0]
[8,null,null,null,0,0,0]
[9,null,null,null,0,0,0]
[10,null,null,null,0,0,0]
[11,"Various (Pls provide supporting sched below and link )",null,null,0,0,0]
["Grand Total of LERR",null,null,null,0]

{"sheet":"LERR-ISSUER","index":20,"n_rows":22,"n_cols":19,"rows_kept":22,"cut":false,"hidden":false,"merged":[[8,0,9,0],[8,9,9,9],[7,2,7,6],[7,7,7,10],[8,5,9,5],[8,4,9,4],[8,3,9,3],[8,6,9,6],[8,8,9,8],[8,13,9,13],[8,10,9,10],[8,1,9,1],[8,2,9,2],[8,11,9,11],[8,12,9,12]],"flags":["formulas_cached_only"]}
["NAME OF BROKER DEALER"]
["SCHEDULE LERR-3"]
["MANUAL COMPUTATION OF LARGE EXPOSURE RISK REQUIREMENT (LERR) FOR EXPOSURE TO SINGLE EQUITY "]
["RELATIVE TO A PARTICULAR ISSUER COMPANY AND  ITS GROUP OF COMPANIES"]
["Date"]
[]
[]
[null,null,"LERR TO EQUITY VS CORE EQUITY LIMIT",null,null,null,null,"LERR TO EQUITY VS ISSUER LIMIT"]
["No.","Name of Securities ","Quantity [report only if (a) > 10% of Core Equity]","Total Market Value per Security  (Php)","Excess of Market Value over 10% of Core Equity","Position Risk Factor","LERR        (Php)","5% of Total listed issue of the Equity","Excess of Market Value over 5% Total listed issue","Position Risk Factor","LERR        (Php)","Higher of LERR (c) and (f)             (Php)","250% of Core Equity  (Php)","Breach maximum LER limit if (a) exceeds 30% of Core Equity (yes/no)"]
[null,null,null,null,null,null,null,"",null,null,null,null,null,null,null,null,null,"Don't Delete","With Value"]
[null,null,0,"(a)","(b)","(c)","(d)                [b x c]",null,"(d)","(e)    ","(f)       [f=dxe]",null,0]
[1,null,null,null,0,0.35,0,null,0,0.35,0,0,0,0,null,null,null,1,false]
[2,null,null,null,0,0.25,0,null,0,0.25,0,0,0,0,null,null,null,2,false]
[3,null,null,null,0,0.35,0,null,0,0.35,0,0,0,0,null,null,null,1,false]
[4,null,null,null,0,0.25,0,null,0,0.25,0,0,0,0,null,null,null,2,false]
[5,null,null,null,0,0.35,0,null,0,0.35,0,0,0,0,null,null,null,1,false]
[6,null,null,null,0,0.35,0,null,0,0.35,0,0,0,0,null,null,null,1,false]
[7,null,null,null,0,0.35,0,null,0,0.35,0,0,0,0,null,null,null,1,false]
[8,null,null,null,0,0.35,0,null,0,0.35,0,0,0,0,null,null,null,1,false]
[9,null,null,null,0,0.25,0,null,0,0.25,0,0,0,0,null,null,null,2,false]
[10,null,null,null,0,0.35,0,null,0,0.35,0,0,0,0,null,null,null,1,false]
["Total LERR",null,null,null,null,null,0,null,null,null,0,0]

{"sheet":"LERR-DEBT","index":21,"n_rows":24,"n_cols":8,"rows_kept":24,"cut":false,"hidden":false,"merged":[[23,6,23,7]],"flags":["formulas_cached_only"]}
["NAME OF BROKER DEALER"]
["SCHEDULE LERR-2"]
["MANUAL COMPUTATION OF LARGE EXPOSURE RISK REQUIREMENT (LERR) FOR EXPOSURE TO DEBT FOR FIXED INCOME SECURITIES"]
["Date"]
[]
[]
["No.","Type of FI Securities [report only if (a) > 10% of Core Equity]","Market Value of the FI Securities  (Php)","Excess of Market Value of FI Securities over 10% of C.E.","Position Risk Factor","LERR        (Php)","30% of Core Equity  (Php)","Breach maximum LER limit if (a) exceeds 30% of Core Equity (yes/no)"]
[null,0,"(a)","(b)","(c)    ","(d)                [b x c]",0]
[1,null,null,0,null,0,0,0]
[2,null,null,0,null,0,0,0]
[3,null,null,0,null,0,0,0]
[4,null,null,0,null,0,0,0]
[5,null,null,0,null,0,0,0]
[6,null,null,0,null,0,0,0]
[7,null,null,0,null,0,0,0]
[8,null,null,0,null,0,0,0]
[9,null,null,0,null,0,0,0]
[5,null,null,0,null,0,0,0]
[6,null,null,0,null,0,0,0]
[7,null,null,0,null,0,0,0]
[8,null,null,0,null,0,0,0]
[9,null,null,0,null,0,0,0]
[10,null,null,0,null,0,0,0]
["Total LERR",null,null,null,null,0]

{"sheet":"Recon","index":22,"n_rows":34,"n_cols":13,"rows_kept":34,"cut":false,"hidden":true,"merged":[[5,1,5,2],[7,7,7,8],[10,7,10,8]],"flags":["formulas_cached_only"]}
["NAME OF BROKER DEALER"]
["Reconciliation of Balance Sheet Items:"]
["Date"]
[]
[]
[null,"ASSETS",null,null,null,null,null,null,"LIABILITIES & STOCKHOLDERS' EQUITY"]
[]
["Eligible Current Assets",null,null,null,null,null,null,"Current Liabilities",null,null,null,null,0]
[]
[null,"Cash and Cash Equivalents",null,null,null,0]
[null,"Short Term Investments",null,null,null,0,null,"Non-Current Liabilities",null,null,null,null,0]
[null,"Proprietary Security Owned",null,null,null,0]
[null,"Receivable from Customers",null,null,null,0]
[null,"Receivable from Other Brokers",null,null,null,0,null,"Ineligible Equity Items",null,null,null,null,0]
[null,"Receivable from Clearing House",null,null,null,0]
[null,"Receivable for Securities Failed to Deliver",null,null,null,0,null,"Unrealized Gain",null,null,null,null,0]
[null,"Receivable for Securities Borrowed",null,null,null,0]
[null,"Secured Demand Note",null,null,null,0]
[null,"Long Term Investments (IBODI-Govt)",null,null,null,0]
["Deduct:","Allowance for Doubtful Accounts",null,null,null,0,null,"Total",null,null,null,null,0]
[]
[null,null,null,null,null,0]
[]
["Total Ineligible Assets ",null,null,null,null,0,null,"Equity Eligible for Net Liquid Capital",null,null,null,null,0]
[]
[]
[]
[null,null,null,null,null,null,null,"Total",null,null,null,null,0]
[]
[]
["TOTAL ASSETS",null,null,null,null,0,null,"TOTAL LIABILITIES & STOCKHOLDERS' EQUITY",null,null,null,null,0]
[]
[null,null,null,null,"FS",0,null,null,null,null,null,"FS",0]
[null,null,null,null,"Difference",0,null,null,null,null,null,"Difference",0]

{"sheet":"Reserve Formula","index":23,"n_rows":24,"n_cols":3,"rows_kept":24,"cut":false,"hidden":false,"merged":[],"flags":["formulas_cached_only"]}
["NAME OF BROKER DEALER"]
["RESERVE FORMULA COMPUTATION Under SRC Rule 49.2"]
["Date"]
[]
["Particulars","Credit ","Debit"]
["1.   Free credit balance and other credit balance in customers' security accounts",0]
["2.   Monies borrowed collateralized by the securities carried for the account of customers",0]
["3.   Monies payable against customers' securities loaned.",0]
["4.   Customers' securities failed to receive",0]
["5.   Customer balances in firm accounts which are attributable to principal sales to customer.",0]
["6.   Market Value of stock dividends, stock splits and similar distributions receivable ",0]
["      outstanding over 30 calendar days old."]
["7.   Market Value of the short security count differences over 30 calendar days old",0]
["8.   Market Value of short securities and credits (not to be offset by long or by debits) in all",0]
["      suspense accounts over 30 calendar days."]
["9.   Market Value of securities which are in transfer in excess of 40 calendar days and have ",0]
["      not been confirmed to be in transfer by the transfer agent or the issuer during the 40 days."]
["10. Debit balances in customers' cash or margin accounts excluding unsecured accounts ",null,0]
["       and accounts doubtful of collection."]
["11. Securities borrowed to effectuate short sales by customer and securities borrowed",null,0]
["       to make delivery on customers' securities failed to deliver"]
["12.  Failed to deliver customers' securities not older than 30 calendar days.",null,0]
["13.  Others"]
["Total",0,0]

{"sheet":"reserve formula-detailed","index":24,"n_rows":151,"n_cols":13,"rows_kept":151,"cut":false,"hidden":false,"merged":[],"flags":["formulas_cached_only"]}
["NAME OF BROKER DEALER"]
["RESERVE FORMULA WORKSHEET"]
["Date"]
[]
[]
[1,".","Free Credit balances and Other Credit Balances in Customer Securities Accounts"]
["Unadjusted trial balance amount"]
["A",".","Additions:"]
[null,null,null,"1.   Bank Account Overdrafts/1"]
[null,null,null,"2.  Credit balances in customer omnibus accounts"]
[null,null,null,"3.  Any other customer credit balance not accounted for elsewhere (explain nature)"]
[]
[]
[null,null,null,null,null,null,null,null,null,"Subtotal",0]
[]
["B",".","Deductions:"]
[null,null,null,"1.  Credit Balances in the accounts of non customers such as "]
[null,null,null,"general partners and principal officers"]
[null,null,null,"2.  Credit balances in customers' cash accounts arising from the"]
[null,null,null,"sale of a security not delivered if the securities are purchased by"]
[null,null,null,"the broker-dealer for its own account and have not been resold"]
[null,null,null,null,null,null,null,null,null,"Subtotal",0]
["Adjusted total line item #1",null,null,null,null,null,null,null,null,null,0]
[]
[2,".","Monies Borrowed Collateralized by Securities carried for the Accounts of "]
[null,null,"Customers"]
["Unadjusted trial balance amount customer loan"]
["Unadjusted trial balance amount commingled loan/2"]
["Adjusted total line item #2",null,null,null,null,null,null,null,null,null,0]
[]
[3,".","Monies Payable Against Securities Loaned"]
["Unadjusted trial balance amount"]
["A",".","Additions:"]
[null,null,null,"1.  The amount by which the market value of customers securities"]
[null,null,null,"loaned exceed the collateral value received from lending os such"]
[null,null,null,"securities"]
["Adjusted total line item #3",null,null,null,null,null,null,null,null,null,0]
[]
[4,".","Customer Securities Failed to Receive (as Determined by Allocation or Specific"]
["Identification)"]
["Unadjusted Balance:"]
["A",".","Additions:"]
[null,null,null,"1.  The amount by which the market value by which fails to receive"]
[null,null,null,"outstanding for more than 34 calendar days exceed their contract"]
[null,null,null,"value/3"]
[null,null,null,"2.  Clearing Accounts with net credit balances attributable to"]
[null,null,null,"customers transactions.  (Clearing Corporations)"]
[null,null,null,"3.  Unsecured customer short positions which allocate to customer"]
[null,null,null,"long positions/4"]
[null,null,null,"4.  Any other credit not accounted for elsewhere in the formula"]
[null,null,null,null,null,null,null,null,null,"Subtotal",0]
["Adjusted total line item #4",null,null,null,null,null,null,null,null,null,0]
[]
[5,".","Credit balances in Firm Accounts which are Attributable to"]
["Principal Sales to Customers/5"]
[]
[6,".","Market Value of Stock Dividends and Splits Outstanding Over 30 "]
["Calendar days / 5 / 6"]
[]
[7,".","Market Value of Short Security Count Differences over 30 calendar"]
["days old (not to be offset by long count differences)"]
[]
[8,".","Market Value of Short Securities and Credits (not to be offset by loans"]
["or debits) in all Suspense Accounts over 30 calendar days old"]
[null,null,null,"1.  Credit Balances Only"]
[null,null,null,"2.  Security Positions Only / 5"]
[null,null,null,"3.  Security Positions with Related Balances / 5 / 7"]
["Adjusted total line item #8",null,null,null,null,null,null,null,null,null,0]
[]
[9,".","Market Value of Securities in Transfer in Excess of 40 Calendar Days which have"]
["not been confirmed to be in transfer by the Transfer Agent of the issuer during 40 days"]
[]
["Aggregate Credit Items",null,null,null,null,null,null,null,null,null,0]
[]
[]
[10,".","Debit Balances in customers' cash and margin accounts excluding "]
["Unsecured Accounts and Accounts Doubtful of Collection"]
["Unadjusted trial balance"]
["A",".","Additions:"]
[null,null,null,"1.  Debit balance in customer omnnibus accounts"]
[null,null,null,"2.  Any other customer debit balance not accounted for elsewhere (explain nature)"]
[]
[]
[null,null,null,null,null,null,null,null,null,"Subtotal",0]
["B",".","Deductions:"]
[null,null,null,"1.  Unsecured balances and accounts doubtful of collection"]
[null,null,null,"2.  Debit balances in the accounts of non-customers such as"]
[null,null,null,"general partners and principal officers"]
[null,null,null,"3.  Reduction of margin debits for undue concentration of collateral/8"]
[null,null,null,"4.  Deficits in customer-related omnibus accounts/9"]
[null,null,null,"5.  Debit Balances in accounts of household members and"]
[null,null,null,"affiliated members/10"]
[null,null,null,"6.  Reduction if unduly concentrated margin account balances/11"]
[null,null,null,"7.  Reduction of debit balances of accounts jointly owned by"]
[null,null,null,"customers and non-customers/12"]
[null,null,null,"8.  Reduction for partly secured cash accounts"]
[null,null,null,null,null,null,null,null,null,"Subtotal",0]
[null,null,null,null,null,null,null,"Subtotal of Adjusted Total Debits",null,null,0]
[null,null,null,"Reduce Subtotal by 1%",null,null,null,null,null,null,0.01]
["Adjusted total line item #10",null,null,null,null,null,null,null,null,null,0]
[]
[11,".","Securities Borrowed to Effectuate Short Sales by Customers and"]
[null,null,"Securities Borrowed to make delivery on Customers'"]
[null,null,"Securities Failed to Deliver"]
[]
[12,".","Fails to Deliver oc Customer Securities not older than 30 calendar days (as"]
[null,null,"determined by Allocation or Specific Identification)"]
["Unadjusted Balance"]
["A",".","Additions"]
[null,null,null,"1.  Clearing Accounts with net debit balances attributable to"]
[null,null,null,"customer transactions (Clearing Corporations)"]
[null,null,null,"2.  Drafts receivable outstanding less than 30 calendar days"]
[null,null,null,"related to customer transaction / 13"]
[null,null,null,null,null,null,null,null,null,"Subtotal",0]
["B",".","Deductions"]
[null,null,null,"1.  Securities which are in the firm's physical possession and"]
[null,null,null,"control and in excess of the broker-dealer's possession and "]
[null,null,null,"control requirements for three business days past settlement."]
[null,null,null,"2.  Others (explain nature)"]
[]
[null,null,null,null,null,null,null,null,null,"Subtotal",0]
["Adjusted line item # 12",null,null,null,null,null,null,null,null,null,0]
[]
["Aggregate Debit items",null,null,null,null,null,null,null,null,null,0]
[]
[]
["B",".","Determination of Requirements"]
["Aggregate Credit Items",null,null,null,null,null,null,null,null,null,0]
["Aggregate Debit Items",null,null,null,null,null,null,null,null,null,0]
["Net Credit/(Debit)",null,null,null,null,null,null,null,null,null,0]
["Required Reserve (100% of Net Credit if making a weekly computation"]
["or 105% if monthly)",null,null,null,null,null,null,null,null,null,0]
[]
["C",".","Frequency of Computation",null,null,null,null,null,null,null,null,null,true]
[null,null,null,null,null,null,null,null,null,null,null,null,false]
["Monthly, if:"]
[]
[null,null,null,null,null,null,null,null,{"$error":"#DIV/0!"}]
[null,null,null,"AND"]
[null,null,null,null,null,null,null,null,0]
[]
[]
["D",".","Special Reserve Bank Account Balance"]
[]
["Special Reserve Account balance Prior to Computation"]
[null,null,null,null,null,null,null,null,null,null,0]
["Less:  Deposit Required ",null,null,null,null,null,null,null,null,null,0]
["Additional Deposit Required"]
[null,null,null,null,null,null,null,null,null,null,0]
["Note:  Deposit should be made no later than 10 a.m. on the second banking day"]
["following computation date."]

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["SEC FORM 49 FINOP"]
["FIRM NAME:  NAME OF BROKER DEALER"]
["MONTH ENDING:  Date"]
[]
["ITEM NO.","DESCRIPTION","JANUARY","FEBRUARY","MARCH","APRIL","MAY","JUNE","DESCPRIPTION","ITEM NO."]
[1,"Total Assets",0,null,null,null,null,null,"Total Assets",1]
[2,"Total Liablities",0,null,null,null,null,null,"Total Liablities",2]
[3,"Net Worth",0,null,null,null,null,null,"Net Worth",3]
[4,"Adjustments to Net Worth",null,null,null,null,null,null,"Adjustments to Net Worth",4]
[null,"   Additions:",null,null,null,null,null,null,"   Additions:"]
[null,"   a.  Unrealized Gains in Proprietary Accounts",0,null,null,null,null,null,"   a.  Unrealized Gains in Proprietary Accounts"]
[null,"   b.  Other Additions/1",0,null,null,null,null,null,"   b.  Other Additions/1"]
[null,"   Deductions",null," ",null,null,null,null,"   Deductions"]
[null,"   a.  Unrealized Losses in Proprietary Accounts",0,null,null,null,null,null,"   a.  Unrealized Losses in Proprietary Accounts"]
[null,"   b.  Non-Allowable Assets",0,null,null,null,null,null,"   b.  Non-Allowable Assets"]
[5,"Current Month Income (Loss)",0,null,null,null,null,null,"Current Month Income (Loss)"]
[6,"Tentative Net Capital",0,null,null,null,null,null,"Tentative Net Capital",5]
[7,"Haircuts",0,null,null,null,null,null,"Haircuts",6]
[8,"Adjusted Net Capital",0,null,null,null,null,null,"Adjusted Net Capital",7]
[9,"Scheduled Capital Withdrawals",0,null,null,null,null,null,"Scheduled Capital Withdrawals",8]
[10,"Net Capital After Withdrawals",0,null,null,null,null,null,"Net Capital After Withdrawals",9]
[11,"Aggregate Indebtedness",0,null,null,null,null,null,"Aggregate Indebtedness",10]
[12,"Fails to Receive Open Excess of 30 Days (Market Value)",null,null,null,null,null,null,"Fails to Receive Open Excess of 30 Days (Market Value)",11]
[null,"  a.  Market Value",0,null,null,null,null,null,"  a.  Market Value"]
[null,"  b.  Number of Items",0,null,null,null,null,null,"  b.  Number of Items"]
[13,"Fails to Deliver Open Excess of 30 Days (Market Value)",0,null,null,null,null,null,"Fails to Deliver Open Excess of 30 Days (Market Value)",12]
[null,"  a.  Market Value",0,null,null,null,null,null,"  a.  Market Value"]
[null,"  b.  Number of Items",0,null,null,null,null,null,"  b.  Number of Items"]
[14,"Securities Count Differences",null,null,null,null,null,null,"Securities Count Differences",13]
[null,"  a.  Long",0,null,null,null,null,null,"  a.  Long"]
[null,"  b.  Short",0,null,null,null,null,null,"  b.  Short"]
[15,"Proprietary Securities (Market Value)",null,null,null,null,null,null,"Proprietary Securities (Market Value)"]
[null,"  a.  Investment Account",0,null,null,null,null,null,"  a.  Investment Account",14]
[null,"  b.  Trading Account",0,null,null,null,null,null,"  b.  Trading Account"]
[null,"  c.  Other Proprietary Accounts",0,null,null,null,null,null,"  c.  Other Proprietary Accounts"]
[16,"Fixed Assets",0,null,null,null,null,null,"Fixed Assets",15]
[17,"Total Transactions",null,null,null,null,null,null,"Total Transactions",16]
[null,"  a.  Buy",0,null,null,null,null,null,"  a.  Buy"]
[null,"  b.  Sell",0,null,null,null,null,null,"  b.  Sell"]
[18,"Minimum Capital Requirement",0,null,null,null,null,null,"Minimum Capital Requirement",17]
[19,"Ratio of Aggregate Indebtedness to Adjusted Net Capital",0,null,null,null,null,null,"Ratio of Aggregate Indebtedness to Adjusted Net Capital",18]
[20,"Total Debits- Customer Related",null,null,null,null,null,null,"Total Debits- Customer Related",19]
[null,"  a.  Fully Secured",0,null,null,null,null,null,"  a.  Fully Secured"]
[null,"  b.  Partially Secured",0,null,null,null,null,null,"  b.  Partially Secured"]
[null,"  c.  Unsecured",0,null,null,null,null,null,"  c.  Unsecured"]
[21,"Total Credits - Customer Related",0,null,null,null,null,null,"Total Credits - Customer Related",20]
[22,"Suspense Accounts",0,null,null,null,null,null,"Suspense Accounts"]
[23,"Intercompany Accounts",null,null,null,null,null,null,"Inter-Company Accounts",22]
[null,"  a.  Due from Affiliates",0,null,null,null,null,null,"  a.  Due from Affiliates"]
[null,"  b.  Due to Affiliates",0,null,null,null,null,null,"  b.  Due to Affiliates"]
[24,"Non-Approved Subordinated Capital",0,null,null,null,null,null,"Non-Approved Subordinated Capital"]
[25,"Checks Outstanding Over 30 Days",null,null,null,null,null,null,"Checks Outstanding Over 30 Days",24]
[null,"  a.  Number",0,null,null,null,null,null,"  a.  Number"]
[null,"  b.  Aggregate Amount",0,null,null,null,null,null,"  b.  Aggregate Amount"]
[26,"Approved Subordinated Capital",0,null,null,null,null,null,"Approved Subordinated Capital",25]
[null,"  a.  Subordinated Capital maturing within 6 mons.",0,null,null,null,null,null,"  a.  Subordinated Capital maturing within 6 mons."]

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[]
["Broker",{"$error":"#REF!"},null,null,"month","name"]
["Month",{"$error":"#REF!"},null,null,1,"January"]
["Year",{"$error":"#REF!"},null,null,2,"February"]
["Date Submitted",{"$error":"#REF!"},null,null,3,"March"]
["Version",{"$error":"#REF!"},null,null,4,"April"]
["Assets",{"$error":"#REF!"},null,null,5,"May"]
["Liabilities",{"$error":"#REF!"},null,null,6,"June"]
["Equity as per books",{"$error":"#REF!"},null,null,7,"July"]
[null,null,null,null,8,"August"]
[null,null,null,null,9,"September"]
[null,null,null,null,10,"October"]
[null,null,null,null,11,"November"]
[null,null,null,null,12,"December"]
[]
[]
[]
["Broker","Month","Year","Date Submitted","Version","Assets","Liabilities","Equity as per books"]
[{"$error":"#REF!"},{"$error":"#REF!"},{"$error":"#REF!"},{"$error":"#REF!"},{"$error":"#REF!"},{"$error":"#REF!"},{"$error":"#REF!"},{"$error":"#REF!"}]