Full text of HAROLD H. OSHIMA'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}------------------------------------------------ | | | 0MB APPROVAL | |--------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| | | | 0MB Number: 3235-0123<br>Expires: Nov. 30, 2026 | | Washington, D.C. 20549 | | Estimated average burden<br>hours per response:<br>12 | | ANNUAL REPORTS | | SEC FILE NUMBER | | FORM X-17A-5 | | 8-27123 | | PART Ill | | | | | | | | | | | | | | | | MM/DD/VY | | MM/DD/VY | | A. REGISTRANT IDENTIFICATION | | | | | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes): | | | | □ Security-based swap dealer | | | | | | | | | | | | 21 Merchants Row, Floor 5 | | | | (No. and Street) | | | | MA | | 02109 | | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | oshima@post.~Cly'1Q"~.2Ju | | | (Area Code - Telephone Number) | | (Email Address) | | | | | | | | | | | | | | | | | | | | 32751 | | | | | | | | (Zip Code) | | | | (PCAOB Registration Number, if applicable) | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | UNITED STATES<br>FACING PAGE<br>FILING FOR THE PERIOD BEGINNING O 1/01/2023<br>NAME oF FIRM: Oshima & Associates<br>□ Check here if respondent is also an OTC derivatives dealer<br>6175231527<br>Ohab and Company, PA<br>Maitland<br>(City)<br>(Date of Registration with PCAOB)(if applicable) | SECURITIES AND EXCHANGE COMMISSION<br>Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934<br>AND ENDING 12/31/2023<br>□ Major security-based swap participant<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P .0. box no.)<br>B. ACCOUNTANT IDENTIFICATION<br>INDEPENDENT…Read the full text as markdown