Full text of ROYCE FUND SERVICES, LLC's X-17A-5 filed 2023-12-19 (period 2023-09-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 SEC FILE NUMBER 8-28663 # 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 10/01/2022 09/30/2023 AND ENDING MM/DD/YY MM/DD/YY A. REGISTRANT IDENTIFICATION NAME OF FIRM: Royce Fund Services, LLC 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.) # 745 Fifth Avenue | NY<br>(State)<br>PERSON TO CONTACT WITH REGARD TO THIS FILING | | 10151<br>(Zip Code) | |---------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | tpalasits@royceinvest.com | | | | (Email Address) | | | | | | | | | | | | | | | | | | | | CA | 94105 | | (City) | (State) | (Zip Code) | | | (Area Code - Telephone Number)<br>B. ACCOUNTANT IDENTIFICATION<br>PricewaterhouseCoopers LLP<br>405 Howard Street Suite 600 San Francisco | 212 508-4561<br>INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>(Name - if individual, state last, first, and middle name) | | Date of Registration with PCAOB)(if applicable) | (PCAOB Registration Number, if applicable | |-------------------------------------------------|-------------------------------------------| | FOR OFFICIAL USE ONLY | | | | | \* Claims for exemption from the requirement that the annual reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-5(e)(1)(ii), if applicable. Persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. {1}------------------------------------------------ #### OATH OR AFFIRMATION I. Thomas R Palasits , swear (or affirm) that, to the best of my knowledge and be…Read the full text as markdown