Data Dictionary
Item Number 4699
RECEIVABLES FROM BROKERS, DEALERS, AND CLEARING ORGANIZATIONSCall confidentiality applies to FFIEC 031/041.
| Series | Start Date | End Date | Confidential? | Reporting Forms |
|---|---|---|---|---|
| ISUD4699 | 1990-06-30 | 2005-03-31 | Yes | FR Y-20 |
| SECA4699 | 2000-03-31 | 9999-12-31 | Yes | SEC 1695/1696 |
| SECF4699 | 2000-03-31 | 9999-12-31 | Yes | SEC 1695/1696 |
| SECN4699 | 2000-03-31 | 9999-12-31 | Yes | SEC 1695/1696 |
Data Description:
Includes the amounts receivable from brokers or dealers for securities failed-to-deliver, amounts deposited for securities borrowed, and amounts receivable from clearing organizations relating to open transactions.
A securities broker/dealer that does not deliver the securities sold on the settlement date is considered as having failed to deliver the securities to the purchasing broker. When a broker/dealer borrows a security, it advances cash to the lending broker/dealer equal to the market value of the securities borrowed. The amount advanced is recorded as a receivable from the lending broker.
COMPARABILITY:
Beginning March 31, 2000, for the Focus Report, title is "Receivable from Brokers or Dealers and Clearing Organizations: Other" and the item is reported on the Statement of Financial Condition.