Full text of NASDAQ EXECUTION SERVICES, LLC's X-17A-5 filed 2026-03-19 (period 2025-12-31). 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** OMB APPROVAL OMB Number: ϯϮϯϱͲϬϭϮϯ Expires: EŽǀ͘ϯϬ͕ϮϬϮϲ Estimated average burden hours per response: # **ANNUAL REPORTS FORM X-17A-5 PART III** SEC FILE NUMBER 8-37329 | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | FACING PAGE | | | |-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------|---------------------------------------|--------------------------------------------| | | 01/01/2025 | | 12/31/2025 | | FILING FOR THE PERIOD BEGINNING _____________________ AND ENDING ______________________ | MM/DD/YY | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | Nasdaq<br>NAME OF FIRM: _______________________________________________________________________ | Execution<br>Services | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>܆<br>܆<br>Broker-dealer<br>■<br>܆ Check here if respondent is also an OTC derivatives dealer | ܆<br>Security-based swap dealer | Major security-based swap participant | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | 2929<br>Walnut<br>Street,<br>FMC<br>_____________________________________________________________________________________ | Tower,<br>Floor<br>8 | | | | | (No. and Street) | | | | Philadelphia<br>_____________________________________________________________________________________ | PA | | 19104 | | (City) | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | Linda<br>Crane | 212-231-5032 | | linda.crane@nasdaq.com | | (Name) | _____________________________________________________________________________________<br>(Area Code – Telephone Number)<br>(Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Ernst<br>&<br>Young<br>_____________________________________________________________________________________ | | | | | | (Name – if individual, state last, first, and middle name) | | | | One<br>Manhattan<br>West,<br>_____________________________________________________________________________________ | New<b…Read the full text as markdown