Full text of AMERICAN FUNDS & TRUSTS INCORPORATED's X-17A-5 filed 2022-03-31 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ ### AMERICAN FUNDS AND TRUSTS, INC. ### FORM X-17A-5 ### WITH ### REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM ### FOR THE YEAR ENDED DECEMBER 31, 2021 {1}------------------------------------------------ ### **AMERICAN FUNDS AND TRUSTS, INC.** ### **TABLE OF CONTENTS** | Financial Report | Page | |--------------------------------------------------------------------------------------|------| | Report of Independent Registered Public Accounting Firm | | | Oath or Affirmation to Financial Statements | 2 | | Statement of Financial Condition | 3 | | Statement of Operations | 4 | | Statement of Changes in Stockholders' Equity | 5 | | Statement of Cash Flows | 6 | | Notes to Financial Statements | 7-14 | | | | | Supplementary Information | | | Computation of Net Capital<br>Schedule I - | I 5 | | Reconciliation to Respondent's Unaudited Computation of Net Capital<br>Schedule II - | I 6 | | Computation of Aggregate Indebtedness<br>Schedule III - | I 7 | | Schedule IV -<br>Exemptive Provision Under Rule 15c3-3 | 18 | | Exemption Report | | | Report of Independent Registered Public Accounting Firm on Exemption Review Report | 19 | | Exemption Report | 20 | | | | {2}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 ### **ANNUAL REPORTS FORM X-17A-5 PART Ill** | hours per response: | 12 | | |---------------------|----|--| | SEC FILE NUMBER | | | | 06939 | | | # **FACING PAGE** | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | | | |---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------|---------------------|------------------------------------------------------------|-----------------------------------------|-------------------------------------------|------------| | Fl LING FOR THE PERIOD BEGINNING | ___ | 0_l-'-/_0_1-'-/_2_1 | __ | AND ENDING | ___<br>1_2-'/_3_1-'/'--2_1 | __ | | | | MM/DD/YY | | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | | | | | NAME OF FIRM: American Funds and Trusts, | | | Inc. | | | | | TYPE OF R…Read the full text as markdown