Full text of ARBOR RESEARCH & TRADING, LLC's X-17A-5 filed 2024-02-16 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # **Arbor Research** & **Trading, LLC** (SEC File No. 8-38818) Statement of Financial Condition as of December 31 , 2023, and Report of Independent Registered Public Accounting Firm Filed pursuant to Rule 17a-5(e)(3) under the Securities Exchange Act of 1934 as a PUBLIC DOCUMENT {1}------------------------------------------------ ### UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 **OMS APPROVAL OMS Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response:** 12 > **SEC Fi lE NUMBER** 8-38818 ### **ANNUAL REPORTS FORM X-17A-S PART III** 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 BEGINNING 01/01/23 | | | AND ENDING 12/31/23 | | | | MM/DD/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: Arbor Research & Trading, LLC | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>o Broker-dealer<br>o Check here if respondent is also an orc derivatives dealer | o Security-based swap dealer | | o Major security-based swap participant | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | 22333 Classic Court | | | | | | | (No. and Street) | | | | | Lake Barrington | IL | | 60010 | | | (C;tyl | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Michael Moise | 847-756-3509 | | michael.moise@arborresearch.com | | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing" | | | | | | DeMarco Sciaccotta Wilkens & Dunleavy, LLP | | | | | ## **(Name - if individual, state last, first. and middle name)** 20646 Abbey Woods Ct N, Suite 201 Frankfort IL 60423 (Statel (Zip Codel 5376 lte of Regi"'ation with PCADSl(if applicablel FOR OFFICIAL USE ONLY (PCADS Registration Number. if apPlicablel, **• Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the baSis of the exemption. See 17 CFR 240…Read the full text as markdown