Full text of INSTITUTIONAL SECURITIES CORPORATION's X-17A-5 filed 2021-03-22 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ #### Institutional Securities Corporation Report Pursuant to Rule 17a-5(d) For the Year Ended December 31, 2020 {1}------------------------------------------------ | UNITED STATES | |------------------------------------| | SECURITIES AND EXCHANGE COMMISSION | | Washington, D.C.<br>20549 | | OMB Number: | 3235-0123 | |--------------------------|------------------| | Expires: | October 31, 2023 | | Estimated average burden | | | hours per response | 12.00 | # **ANNUAL AUDITED REPORT FORM X-17A-5 PART III** # SEC FILE NUMBER 8-38158 #### **FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | REPORT FOR THE PERIOD BEGINNING | 01/01/20<br>AND ENDING | | | | |------------------------------------------------------------------------------------------|------------------------------------------------|---------|------------------------------|--| | | MM/DD/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: | | | OFFICIAL USE ONLY | | | Institutional Securities<br>Corporation | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. | FIRM ID. NO. | | | | | Ave.,<br>Lawn<br>3500<br>Oak<br>Suite<br>400 | | | | | | | (No. and<br>Street) | | | | | Dallas | Texas | | | | | (City) | (State) | | (Zip Code) | | | | | | (Area Code-Telephone<br>No.) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | Moss<br>Adams<br>LLP | | | | | | (Name-if | individual,<br>state last, first, middle name) | | | | | Parkway,<br>14555 Dallas<br>Suite<br>300 | Dallas | TX | 75254 | | | (Address) | (City) | (State) | (Zip Code) | | | CHECK ONE:<br>x]<br>Certified Public Accountant | | | | | | Public Accountant<br>Accountant not resident in United States or any of its possessions. | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | *\*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See section 240.17a-5(e)(2).* {2}------------------------------------------------ # OATH OR AFFIRMATION l, Scott Haves , swear (or affirm) that,to the best of my knowledge and belief the accompanying financial statements and supporting schedules pertaining to…Read the full text as markdown