Business Line questions for all Commission-Based Brokerage Firms
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1 Please make sure to submit all final responses via the online version of the RCA. Business Line questions for all Commission-Based Brokerage Firms This section is intended to help us better understand the and product mix associated with your commission-based brokerage business. This includes full-service retail brokerage, discount retail brokerage, high-net-worth retail brokerage, brokerage, and wholesale brokerage firms, This section is also intended for variable annuities and wholesale fund distribution firms. Please respond to this section if your firm reported revenue in fiscal year 2014 in the "Commissions" and/or Revenue from Sale of Insurance Based Products sections of the Supplemental Statement of Income (line items or respectively) and/or if these represent a material aspect of your overall business. For additional guidance on materiality, please see the FAQs. Please indicate which of the following businesses you engage in within your commission-based brokerage business (select all that apply): Select at least 1 choice. brokerage Discount retail brokerage retail brokerage brokerage brokerage Other (please specify) Optional comments:
2 Through which of the following distribution channels do you interact with your in each of your commission-based brokerage businesses? Branch Phone Web Integrated voice response Electronic Communications ( , text messaging, etc.) Account Relationship Manager or similar brokerage Discount retail brokerage retail brokerage brokerage brokerage Optional comments: What approximate percentage of your firm's gross commission revenue (rounded to the nearest whole number between 0 and 100) did each of the following business lines contribute? brokerage: Discount retail brokerage: retail brokerage: brokerage: brokerage: Other: Total: 100
3 Choose the product types in which your firm currently conducts business: Select at least 1 choice. Equities Investment Company Products Debt Securitized Debt Instruments Derivatives Exchange Traded Products (ETPs) Alternative Investment Insurance Products and Annuities Structured Products Proprietary/Affiliated Products Other (Please specify) Respond to the questions on the following pages based on your choices above.
4 Equities.Full-service retail Discount brokerage retail retail Listed equities Over-the-counter equities (other than penny stocks or low-priced securities) Penny stocks or low-priced securities Exchange-traded REITs Non-exchange-traded REITs 1031 tenancy in common Unregistered securities Investment Company Products retail retail 529 Plans Business development companies Closed-end funds Commodities futures funds Money market mutual funds Mutual funds Alternative Mutual Funds Unit investment trusts
5 Debt.Discount brokerage retail retail U.S. government debt Municipal securities Foreign sovereign debt Investment-grade corporate debt High-yield corporate debt Auction rate securities Baby bonds Certificates of deposit (CD) Commercial paper Leveraged loan products
6 Securitized Debt Instruments Full-service retail Discount brokerage retail retail Asset-backed commercial paper (ABCP) Residential mortgage-backed securities - agency Residential mortgage-backed securities - non-agency Commercial mortgage-backed securities Collateralized debt obligations Other asset-backed securities e.g. credit card receivables, student loan receivables Derivatives retail retail Commodity swaps Credit default swaps Currency swaps Forex Interest rate swaps Futures Listed options OTC options
7 Exchange Traded Products Full-service retail Discount brokerage retail High-networth retail 1940 Act Exchange-Traded Funds (e.g., SPY) Exchange-Traded Grantor Trusts (e.g., GLD) Exchange-Traded Commodity Pools (e.g., DBC) Leveraged ETFs (e.g., SSO) Inverse ETFs (e.g., TBT) Exchange-Traded Notes (e.g., VXX) Alternatively-Weighted Index Tracking (e.g., Smart Beta or Strategic Beta ) ETPs (e.g., DVY) Alternative Investment retail retail Fund of funds Hedge funds Precious metals Private equity funds Insurance Products and Annuities retail retail. Equity-indexed annuities Fixed annuities Variable annuities Life settlement / viaticals Structured Annuities
8 Structured Products retail retail Commodity-linked notes Credit-linked notes Equity-linked notes Foreign exchangelinked notes Interest rate-linked notes Market-linked notes Principal-protected notes Reverse convertible securities Structured CDs/Market-linked CDs Autocallable notes Steepeners Range Accruals Worst-Ofs Proprietary/Affiliated Products retail retail Hedge funds Mutual Funds Direct participation plans Promissory notes Real estate investment vehicle
9 Optional comments/other Products:
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