Full text of CANACCORD GENUITY LLC's X-17A-5 filed 2022-05-27 (period 2022-03-31). 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** > **ANNUAL REPORTS FORM X-17A-5** | hours per response:<br>12 | | |---------------------------|--| | SEC FILE NUMBER | | | | | | | | OMBAPPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden **FACING PAGE** **PART** Ill **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under** the **Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING **04/01 /21** AND ENDING **03/31 /22** MM/DD/VY MM/DD/VY **A. REGISTRANT IDENTIFICATION** # NAME oF FIRM: Can accord Genuity LLC TYPE OF REGISTRANT (check all applicable boxes): □ Broker-dealer □ Security-based swap dealer □ Check here if respondent is also an OTC derivatives dealer □ Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) # 535 Madison Avenue | | (No. and Street) | | | |----------------------------------------------|----------------------------------------------------------|--------------------|-----------------------------------------| | New York | NY | | 10022 | | (City) | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | Donald D. MacFayden | 416-687-5426 | dmacfayden@cgf.com | | | (Name) | (Area Code -Telephone Number) | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | Ernst & Young | (Name-if individual, state last, first, and middle name) | | | | One Manhattan West | New York | NY | 10001 | | r·<br>(Address) | (Clty) | (State) | (Zip Code) | | | | #42 | | | '"'"'"•I<br>of"'""""" with | | | IPCAOB R•1••"""'' N,mboc, W appl.,bl•I, | | PCADB}IW | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | \* Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the eKemption. See 17 CFR 240.17a-S(e)(l)(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 0MB control number. {1}------------------------------------------------ #### **OATH OR AFFIRMATION** | 1, Donald D. MacFayden | swear (or affirm) that, to the best of my knowledge and belief, the | | |------------------------------------------------------------------|-------------------------------------------------------…Read the full text as markdown