Full text of SECURITIES MANAGEMENT AND RESEARCH, INC.'s X-17A-5 filed 2024-03-18 (period 2023-12-31). 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, 2023 {1}------------------------------------------------ #### **TABLE OF CONTENTS** | | Page | |-------------------------------------------------------------------------------------------------------------------------------------------|-------| | OATH OR AFFIRMATION | 1-2 | | REPORT OF<br>INDEPENDENT<br>REGISTERED PUBLIC ACCOUNTING FIRM | 3-4 | | FINANCIAL STATEMENTS | | | Statement of<br>Financial Condition | 5 | | Statement of<br>Income | 6 | | Statement of<br>Changes in Stockholder's<br>Equity | 7 | | Statement of<br>Cash Flows | 8 | | Notes to the Financial Statements | 9-13 | | SUPPLEMENTARY INFORMATION<br>REQUIRED BY RULE 17a-5 UNDER THE<br>SECURITIES<br>EXCHANGE ACT OF<br>1934 | | | Rule 15c3-l<br>Schedule I<br>-<br>Computation of<br>Regulatory Net<br>Capital under<br>of<br>the<br>Securities and Exchange<br>Commission | 14 | | Schedule II<br>Computation for Determination of<br>Reserve Requirements<br>-<br>Pursuant to SEC<br>Rule 15c3-3 | 15 | | -<br>Schedule III<br>Information Relating to Possession or<br>Control Requirements<br>Pursuant to SEC Rule 15c3-3 | 16 | | EXEMPTION REPORT AS REQUIRED BY RULE<br>17a-5 UNDER THE<br>SECURITIES<br>EXCHANGE ACT OF 1934 | | | Report of<br>Independent Registered Public Accounting<br>Firm | 17-18 | | Exemption Report | 19 | {2}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ### ANNUAL REPORTS FORM X-17A-5 PART III FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 filing for the period beginning 1/01/2023 MM/DD/YY AND ENDING 12/31/2023 MM/DD/YY OMB APPROVAL OMB Number: 3235-0123 Estimated average burden hours per response: 12 sec file number 8-12745 Expires: Nov. 30, 2026 A. REGISTRANT IDENTIFICATION # NAME OF FRM: Securities Management and Research, Inc TYPE OF REGISTRANT (check all applicable boxes): | Broker-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 | | | (City) | | (State) | | (Zip Code)…Read the full text as markdown