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Annex B Definition of Terms Used In Full Disclosure Forms

SEC annex under SRC rule 12

33-A Exchange

SEC exchange under Exchange SRC Rule 33.2

CP IS Exempt Commercial Paper Transaction

SEC commercial paper exempt transaction under rule 17.1.2

Annex H Explanation of Books and Records Rule

SEC annex under SRC rule 52.1 - 1

FN Sworn Statement

SEC statement of FN sworn

Annex L Form of Statement(S) of Income and Retained Earnings

SEC annex under SRC rule 68

Annex G Formula for Determination of Reserve Requirements of Broker Dealers Under

SEC annex under SRC rule SRC rule 49.2-1

Annex J General Notes to Financial Statements

SEC annex under SRC rule 68

Annex F Information Relating to Possession or Control Requirements

SEC annex under SRC rule 49.2 - 1

20-IS Information Statement

SEC information statement pursuant under SRC rule 20

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