Full text of CATHAY SECURITIES, INC.'s X-17A-5 filed 2021-03-02 (period 2020-12-31). 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** # **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** | 3235-0123 | |---------------------------| | | | | | hours per response 12.00 | | | 0MB APPROVAL | SEC FILE NUMBER | |-----------------| | B-39247 | **FACING PAGE** **Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | | Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | | | | |--------------------------------------------------------------------------------------------------|---------------------------------------------------------------------|---------|---------------------------------------------------|--| | REPORT FOR THE PERIOD BEGINNING01/01/2020 | | | AND ENDING 12/31/2020 | | | | MM/DD/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF BROKER-DEALER: CATHAY SECURITIES INC | | OFFICIAL USE ONLY | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.)<br>185 CANAL STREET, SUITE-303 | | | FIRM 1.D. NO. | | | | (No. and Street) | | | | | NEW YORK | NEW YORK | | 10013 | | | (City) | (State) | | (Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>RUSERIM HASAN | B. ACCOUNTANT IDENTIFICATION | | ( 212) 285-2261<br>(Area Code - Telephone Number) | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report*<br>Wei Wei & Co, LLP | | | | | | | (Name - if individual, state last, first, middle name) | | | | | 133-10 39th | Flushing | NY | 11354 | | | (Address) | (City) | (State) | (Zip Code) | | | CHECK ONE:<br>Iv' I<br>Certified Public Accountant | | | | | | Public Accountant | Accountant not resident in United States or any of its possessions. | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | *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)* **Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid 0MB control number.** SEC 1410 (11-05) {1}------------------------------------------------ #### **OATH OR AFFIRMATION** | I, RUSERIM S. HASAN | | , swear (or affirm) that, to the best of | |--------------------------------------------------------------------------------------------------------------------------------…Read the full text as markdown