Full text of TAYLOR SECURITIES, INC.'s X-17A-5 filed 2022-11-30 (period 2022-09-30). 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, 2022 {1}------------------------------------------------ #### FINANCIAL STATEMENTS, FORM X-17A-5, PART Ill SUPPLEMENTARY INFORMATION AND REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM SEPTEMBER 30, 2022 #### CONTENTS | | PAGE | |------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------| | Form X-17A-S, Pait III<br> | 3-4 | | REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM<br><br> | 5 | | FINANCIAL STATEMENTS | | | <br><br><br>Statement of Financial Condition<br><br> | 6 | | Statement of Operations | 7 | | Statement of Changes in Stockholders' Equity | 8 | | Statement of Cash Flows | 9 | | Notes to Financial Statements | l 0-14 | | SUPPLEMENTARY INFORMATION | | | Computation of Net Capital | 16 | | Computation for Determination of Reserve Requirements Pursuant to Rule I 5c3-3 | 17 | | Information Relating to the Possession or Control Requirements Under Rule I 5c3-3. | 18 | | Reconciliation, Including Appropriate Explanation, of the Computation of Net Capital<br>Under Rule l 5c3-I and the Computation for Determination of the Reserve Requirements<br>UnderExhibitAofRule 15c3-3 | 19 | | Reconciliation, Between the Audited and Unaudited Statements of Financial Condition with<br>Respect to Methods of Consolation | 20 | | Material Inadequacies Found to Exist or Found to Have Existed Since the Date of Previous<br><br><br><br><br>Audit<br><br><br><br> | 21 | | Report of Independent Registered Public Accounting Finn | 22 | | Exen1ption Repo11 | 23 | | Report of Independent Registered Public Accounting Firm on Applying Agreed-Upon<br><br><br><br><br><br>Procedures<br><br><br> | 24 | | Schedule of Assessment and Payments [ Transitional Assessment Reconciliation (Form SIPC-7)] | 25-26 | {2}------------------------------------------------ # **UNITED STATES SECURITIES ANO EXCHANGE COMMISSION** **Washington, O.C. 20549** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 # **ANNUAL REPORTS FORM X-17A-5 PART** Ill | | SEC FIILE NUM BER | |--|-------------------| **FACING PAGE** | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Se…Read the full text as markdown