Full text of CATHAY SECURITIES, INC.'s X-17A-5 filed 2023-03-30 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITEDSTATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** 0MB APPROVAL 0MB Number: 3235-0123 Expires: May31,2017 Estimated average burden hours per response ...... 12.00 ## **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** | SEC FILE NUMBER | | |-----------------|--| | 8- 3924 7 | | **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 | 01/01/2022<br>MM/DD/YY | AND ENDING | -----------<br>12/31/2022<br>MM/DD/ Y Y | |------------------------------------------------------------------------------------------------|----------------------------------------------------------------------------------------------|------------|-------------------------------------------------| | | 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.) | | | FIRM I.D. NO. | | 40 wall street, suite-3600 | | | | | | (No. and Street) | | | | New York | New York | | 10005 | | (City) | (State) | | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>Ruseriro Hasan | | | (212)285-2261<br>(Area Code - Telephone Number) | | | B. ACCOUNTANT IDENTIFICATION | | | | 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 Avenue | Flushing | | 11354<br>NY | | (Address) | (City) | (State) | (Zip Code) | | CHECK ONE:<br>[!]<br>Certified Public Accountant<br>B<br>Public Accountant | Accountant not resident in United States or any of its possessions.<br>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)* > **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.** {1}------------------------------------------------ #### **OATH OR AFFIRMATION** | my knowledge and belief the accompanying financial statement and supporting schedules pertaining to the firm of<br>------…Read the full text as markdown