Full text of TAYLOR SECURITIES, INC.'s X-17A-5 filed 2021-11-30 (period 2021-09-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ ## FINANCIAL STATEMENTS, FORMX-17A-5, PART III SUPPLEMENTARY INFORMATION AND REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM ## SEPTEMBER 30, 2021 {1}------------------------------------------------ ## FINANCIAL STATEMENTS, FORMX-17A-5, PART III SUPPLEMENTARY INFORMATION AND REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM SEPTEMBER 30, 2021 #### CONTENTS PAGE | Form X-17A-5, Part III. | | |---------------------------------------------------------|--| | REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM | | ## FINANCIAL STATEMENTS | Statement of Financial Condition | 6 | |---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------| | Statement of Operations | 7 | | Statement of Changes in Stockholders' Equity | 8 | | Statement of Cash Flows | 9 | | Notes to Financial Statements | 10-14 | | SUPPLEMENTARY INFORMATION | | | Computation of Net Capital. | 16 | | Computation for Determination of Reserve Requirements Pursuant to Rule 15c3-3 | 17 | | Information Relating to the Possession or Control Requirements Under Rule 15c3-3 | 18 | | Reconciliation, Including Appropriate Explanation, of the Computation of Net<br>Capital Under Rule 15c3-1 and the Computation for Determination of the Reserve<br>Requirements Under Exhibit A of Rule 15c3-3 | 19 | | Reconciliation, Between the Audited and Unaudited Statements of Financial Condition<br>With Respect to Methods of Consolidation | 20 | | Material Inadequacies Found to Exist or Found to Have Existed Since the Date of<br>Previous Audit | 21 | | Report of Independent Registered Public Accounting Firm | 22 | | Exemption Report | 23 | | Report of Independent Registered Public Accounting Firm on Applying Agreed-Upon Procedures | 24 | | Schedule of Assessment and Payments [Transitional Assessment Reconciliation (Form SIPC-7)] | 25-26 | {2}------------------------------------------------ UNITEDSTATES SECURITIES ANDEXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0123 Expires: October 31, 2023 Estimated average burden hours per response .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## ANNUAL AUDITED REPORT FORM X-17A-5 PART III | SEC FILE NUMBER | |-----------------| | 8-3…Read the full text as markdown