Full text of CATHAY SECURITIES, INC.'s X-17A-5 filed 2022-03-01 (period 2021-12-31). 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. 20S49** | ANNUAL REPORTS | | | |----------------|--|--| | FORM X-17A-5 | | | | PART Ill | | | | 0MB APPROVAL | | |--------------------------|--| | 0MB Number: 3235-0123 | | | Expires: Oct. 31, 2023 | | | Estimated average burden | | | hours per response: 12 | | SEC FILE NUMBER | | PART Ill | | 8-39247 | |-------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------|-----------------------------------------|---------------------------------------------| | | | | | | | FACING PAGE<br>Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | FILING FOR THE PERIOD BEGINNING O 1/01/2021 | | AND ENDING 12/31/2021 | | | | MM/DD/VY | | MM/DD/VY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF FIRM: CATHAY SECURITIES INC | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>~ Broker-dealer<br>D Check here if respondent is also an OTC derivatives dealer | D Security-based swap dealer | D Major security-based swap participant | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | 185 CANAL STREET, SUITE-303 | | | | | | (No. and Street) | | | | NEW YORK | NEW YORK | | 10013 | | (City) | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | RUSERIM<br>HASAN | (212) 285-2261 | | csi@cathaysecinc.com | | (Name) | (Area Code -Telephone Number) | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | Wei Wei & Co, LLP | | | | | | (Name - if individual, state last, first, and middle name) | | | | 133-10 39th Avenue | Flushing | NY | 11354 | | (Address) | (City) | (State)<br>2388 | (Zip Code) | | rte of Reglstrntloo with PCAOB)l;f applicable) | | | (PCAOB Regls<rntloo N,mbec, • applicable) I | | | FOR OFFICIAL USE ONLY | | | \* 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 240.17a-S(e)(l)(ii), if applicable. **Persons who are to respond to the collection of informatio…Read the full text as markdown