Full text of TAYLOR SECURITIES, INC.'s X-17A-5 filed 2023-11-30 (period 2023-09-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ ## FINANCfAL STATEMENTS, rORMX-l?A-5, PART Iff SUPPLEMENTARY INFORMATION AND REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM SEPTEMBER 30. 2023 {1}------------------------------------------------ ## FINANCIAL STATEMENTS, FORMX-17A-5, PART Ill SUPPLEMENTARY INFORMATION AND REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM SEPTEMBER 30,2023 #### CONTENTS PAGE | Form X-17 A-5, Part III. . | 3 - 4 | |---------------------------------------------------------|-------| | REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM | 5 | #### FINANCIAL STATEMENTS | Statement of Financial Condition . | 6 | |---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------| | Statement of Operations<br>. | 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, ofthe Computation of Net<br>Capital Under Rule l5c3-l and the Computation for Determination ofthe Reserve<br>Requirements Under Exhibit A ofRule l5c3-3 . | 19 | | Reconciliation, Between the Audited and Unaudited Statements of Financial Condition<br>With Respect to Methods ofConsolidation . | 20 | | Material Inadequacies Found to Exist or Found to Have Existed Since the Date of<br>Previous Audit.<br>. | 21 | | Report of Independent Registered Public Accounting Firm . | 22 | | Exemption Report<br> | 23 | | Report of Independent Registered Public Accounting Finn on Applying Agreed-Upon Procedures | 24 | | Schedule of Assessment and Payments [Transitional Assessment Reconciliation (Fonn SIPC-7)] | 25-27 | {2}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 > **ANNUAL REPORTS FORM X-17A-5 PART Ill** OMS APPROVAL OMS Number: 3235-0123 Expires. o,t, 31, 2023 Esttmated average burden hours per respons.e: ll SEC FILE NUMBER 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 BEG…Read the full text as markdown