Full text of NTB FINANCIAL CORPORATION's X-17A-5 filed 2022-09-28 (period 2022-06-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ YEAR ENDED JUNE 30, 202 PUBLIC DOCUMENT {1}------------------------------------------------ #### UNITEDSTATES SECURITIESANDEXCHANGECOMMISSION Washington, D.C. 20549 # hours per response.. . . . . 12.00 ANNUAL AUDITED REPORT FORM X-17A-5 PART III | SEC FILE NUMBER | |-----------------| | 8- | | | UNITEDSTATES<br>SECURITIESANDEXCHANGECOMMISSION | | |------------|-------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------| | | Washington, D.C. 20549 | | | | | hours per response 12.00 | | | ANNUAL AUDITED REPORT<br>FORM X-17A-5 | | | | PART III | SEC FILE NUMBER | | | | 8- | | | FACING PAGE<br>Information Required of Brokers and Dealers Pursuant to Section 17 of the<br>Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | | | | | | | | | | | A. | REGISTRANT IDENTIFICATION | | | | | OFFICIAL USE ONLY | | | | FIRM I.D. NO. | | | | | | | | | | | | | | | | | | | | | | | | | | B. | ACCOUNTANT IDENTIFICATION | | | | | | | | | | | | | | | | if individual, state last, first, middle name | | | | | | | | | | | CHECK ONE: | | | | | | | | | | | | | | | | | FOR OFFICIAL USE ONLY | | \*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 240.17a-5(e)(2) Potential persons who are to respond to the collection of information contained in this form are not required to respond SEC 1410 ( ) unless the form displays a currently valid OMB control number. {2}------------------------------------------------ - - {3}------------------------------------------------ #### CONTENTS | | Page(s) | |---------------------------------------------------------|---------| | Report of Independent Registered Public Accounting Firm | 3 | | Statement of Financial Condition | ব | | Notes to Financial Statements | 5-11 | {4}------------------------------------------------  ## REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM #### Opinion on the Financial Statements ### Basis for Opinion  {5}------------------------------------------------ #### STATEMENT OF FINANCIAL CONDITION (IN LIQUIDATION) YEAR ENDED JUNE 30, 2022 | ASSETS | | | |-----------------------------------------------------…Read the full text as markdown