Securities Law

33-906F - Statement of Financial Condition (Audited) [F - Rescinded]

Published Date: 2001-03-30
Effective Date: 2001-03-28
Rescinded Date: 2005-06-01

This is the form required under sections 50(1)(g)(i) and 70(4) of the Securities Rules.


BC FORM 33-906F (Previously Form 63)







Registered dealers, on request, must furnish a client or prospective client with a copy of the dealer’s most recently prepared Statement of Financial Condition.  Security issuers may, in the alternative, substitute a copy of their most recently prepared annual financial statements filed under section 145 of the Securities Rules.   A registered dealer must notify its clients, by way of their monthly statements or other acceptable means, that a Statement of Financial Condition relating to the dealer is available upon request.  Dealers, other than security issuers, must file a copy of the Statement of Financial Condition annually.  The Statement of Financial Condition must include an auditor’s report.




The Statement of Financial Condition must contain information such as the following or similar headings for items that are material, extracted from the dealer’s most recent audited annual financial statements:


Current Assets



Receivables from dealers

Receivables from customers

Inventory of securities at the lower of cost or market value, or at market value (state basis of valuation)


Miscellaneous accounts receivable


Other Assets (state basis of valuation)


Investment in subsidiary and affiliated companies

Fixed assets


Current Liabilities


Call loans and bank overdrafts

Payable to dealers

Payable to customers

Accounts payable, accrued expenses and income taxes

Securities sold short at the higher of cost or market value, or at market value (state basis of valuation)


Capital in the Business


Shareholders' equity (including subordinated loans and retained earnings)

Partners' equity


Revised March 28, 2001