Full text of SECURITIES MANAGEMENT AND RESEARCH, INC.'s X-17A-5 filed 2023-03-28 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ Financial Statements and Independent Auditors' Report December 31, 2022 {1}------------------------------------------------ ### TABLE OF CONTENTS | | Page | |-------------------------------------------------------------------------------------------------------------------|--------| | LETTER OF OATH OR AFFIRMATION | 1-2 | | REPORT OF INDEPENDENT RECISTERED PUBLIC ACCOUNTING FIRM | 3-4 | | FINANCIAL STATEMENTS | | | Statement of Financial Condition | 5 | | Statement of Income | 6 | | Statement of Changes in Stockholder's Equity | 7 | | Statement of Cash Flows | 8 | | Notes to the Financial Statements | 9 - 13 | | SUPPLEMENTARY INFORMATION REQUIRED BY RULE 17a-5 UNDER THE<br>SECURITIES EXCHANGE ACT OF 1934 | | | Schedule I - Computation of Regulatory Net Capital under Rule 15c3-1 of the<br>Securities and Exchange Commission | 14 | | Schedule II - Computation for Determination of Reserve Requirements<br>Pursuant to SEC Rule 15c3-3 | ી રે | | Schedule III - Information Relating to Possession or Control Requirements<br>Pursuant to SEC Rule 15c3-3 | 16 | | EXEMPTION REPORT AS REQUIRED BY RULE 17a-5 UNDER THE<br>SECURITIES EXCHANGE ACT OF 1934 | | | Report of Independent Registered Public Accounting Firm | 17 | | Exemption Report | 18-19 | {2}------------------------------------------------ OMB APPROVAI UNITED STATES OMB Number: 3235-0123 SECURITIES AND EXCHANGE COMMISSION Expires: Oct. 31, 2023 Washington, D.C. 20549 Estimated average burden hours per response: 12 ANNUAL REPORTS SEC FILE NUMBER FORM X-17A-5 8-12745 PART III FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 AND ENDING 12/31/2022 filing for the period beginning 1/01/2022 MM/DD/YY MM/DD/YY A. REGISTRANT IDENTIFICATION NAME OF FIRM: Securities Management and Research, Inc TYPE OF REGISTRANT (check all applicable boxes): Broker-dealer □ Security-based swap dealer □ Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 4201 - 42nd St. NE Suite 100 (No. and Street) Cedar Rapids IA 52402 (Zip Code) (City) (State) PERSON TO CONTACT WITH REGARD TO THIS FILING 319-447-5700 Brian Rupp brupp@berthel.com (Area Code - Telephone Number) (Email Address) (Name) B. ACCOUNTANT IDENTIFICATION INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* Marcum LLP (Name - if individual, state last, first, and midd…Read the full text as markdown