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APPENDIX
5. Partners Accounts (including Capital Accounts.)
Total Debit Balances and Total Credit Balances, also Total Value of
Long Securities and Total Value of Short Securities in the following
accounts :
(a) Partners individual accounts.
(b) Firm investments and trading accounts.
(¢) Underwritings and syndicate participation accounts.
(d) Capital accounts.
6. Profit and Loss Accounts.
Surplus and Undivided Profits, including balances. in Income and
Expense accounts (Commission, Interest, Expenses, etc.) which will
eventually be closed by journalizing to a Profit and Loss Account.
(Note) —This question may be answered by giving one net amount,
specifying debit or credit,
7. Other Accounts,
State details (Ledger Balances and value of securities) of any
accounts which have not been included in one of the answers to the
above questions, entering each account separately. These accounts
will include Exchange Seats, Office Furniture and other Fixed Assets,
if carried on the books. Revenue Stamp Account. Dividend Account.
etc.
8. What practice is followed by your firm in complying with that
part of Chapter XII, Section 4, of the Rules adopted by the Govern-
ing Committee pursuant to the Constitution, which declares that—
“An agreement between a member and a customer * * * does not
justify the member in pledging or loaning more of such securities
than is fair and reasonable in view of the indebtedness of said cus-
tomer to said member.”
9. Contingent Liabilities.
Give brief description, in memorandum form, of any Contingent Lia-
bilities of the firm, that are not included in a ledger account.
Items of this nature may anclude :—
“When Issued” Contracts.
(Total commitments of Customers.)
(Total commitments of Firm and Partners.)
Accommodation Endorsements.
Endorsements of Puts and Calls.
Rediscounted Notes.
Participation in any proposition subject to future demands.
10. Partners Accounts in other offices.
Have any general or special partners of your firm individually or
collectively, any security or commodity accounts or commitments
carried by other banking or brokerage houses, which are not reflected
on your books?
[f so, state Debit and Credit Balances, Value of Securities long and
short. and Equity or Deficit in open commodity contracts.
