Table of Contents
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Front Cover
Financial Highlights
FORM 10-K
INDEX
PART I
Item 1. Business
Executive Officers of the Registrant
Item 1A. Risk Factors
Item 1B. Unresolved Staff Comments
Item 2. Properties
Item 3. Legal Proceedings
Item 4. Mine Safety Disclosures
PART II
Item 5. Market for Registrant’s Common Equity, Related Stockholder Matters and Issuer Purchases of Equity Securities
Item 6. Selected Financial Data
Item 7. Management’s Discussion and Analysis of Financial Condition and Results of Operations
Item 7A. Quantitative and Qualitative Disclosures About Market Risk
Item 8. Financial Statements and Supplementary Data
Item 9. Changes in and Disagreements with Accountants on Accounting and Financial Disclosure
Item 9A. Controls and Procedures
Item 9B. Other Information
PART III
Item 10. Directors, Executive Officers and Corporate Governance
Item 11. Executive Compensation
Item 12. Security Ownership of Certain Beneficial Owners and Management and Related Stockholder Matters
Item 13. Certain Relationships and Related Transactions, and Director Independence
Item 14. Principal Accounting Fees and Services
PART IV
Item 15. Exhibits and Financial Statement Schedules
Index to Financial Statements and Financial Statement Schedule
Management’s Report on Internal Control Over Financial Reporting
Reports of Independent Registered Public Accounting Firm
Consolidated Financial Statements
Consolidated Statements of Financial Condition
Consolidated Statements of Operations
Consolidated Statements of Comprehensive Income
Consolidated Statements of Cash Flows
Consolidated Statements of Changes in Stockholders’ Equity
Notes to Consolidated Financial Statements
1. ORGANIZATION AND BASIS OF PRESENTATION
2. SIGNIFICANT ACCOUNTING POLICIES
3. RECENT ACCOUNTING DEVELOPMENTS
4. RECEIVABLES
5. INVESTMENTS
6. FAIR VALUE MEASUREMENTS
7. DERIVATIVES
8. PROPERTY
9. GOODWILL AND OTHER INTANGIBLE ASSETS
10. OTHER ASSETS AND OTHER LIABILITIES
11. SENIOR DEBT
12. COMMITMENTS AND CONTINGENCIES
13. STOCKHOLDERS’ EQUITY
14. INCENTIVE PLANS
15. EMPLOYEE BENEFIT PLANS
16. INCOME TAXES
17. NET INCOME PER SHARE OF CLASS A COMMON STOCK
18. RELATED PARTIES
19. REGULATORY AUTHORITIES
20. SEGMENT INFORMATION
Supplemental Financial Information
Quarterly Results
Financial Statement Schedules
Schedule I - Condensed Financial Information of Registrant (Parent Company Only)
Condensed Statements of Financial Condition
Condensed Statements of Operations
Condensed Statements of Comprehensive Income
Condensed Statements of Cash Flows
Notes to Condensed Financial Statements
1. BASIS OF PRESENTATION
SIGNATURES
SCHEDULE A - RECONCILIATION OF U.S. GAAP MEASURES TO ADJUSTED MEASURES
Corporate Information
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