Full text of CATHAY SECURITIES, INC.'s X-17A-5/A filed 2023-04-05 (period 2022-12-31). 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** | 0MB APPROVAL | | |--------------------------|----| | 0MB Number: 3235-0123 | | | Expires: Oct. 31, 2023 | | | Estimated average burden | | | hours per response: | 12 | SEC FILE NUMBER 8-39247 ## **ANNUAL REPORTS FORM X-17A-5 PART** Ill **FACING PAGE** **Information Required Pursuant to Rules 17a-S, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING **O 1/01/2022** AND ENDING **12/31/2022** MM/DD/VY MM/DD/VY **A. REGISTRANT IDENTIFICATION** # NAME OF FIRM: CATHAY SECURITIES INC TYPE OF REGISTRANT (check all applicable boxes): [!] Broker-dealer D Security-based swap dealer D Major security-based swap participant D Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) # 40 Wall Streeet, Suite-3600 | | (No. and Street) | | | |-------------------------------------------------|------------------------------------------------------------------------------------------------------------------------------------------|-----------------|----------------------| | New York | | New York | | | (City) | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | Ruserim Hasan | 212-285-2261 | | csi@cathaysecinc.com | | (Name) | (Area Code - Telepho ne Number) | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | Wei & Wei Co., LLP | INDEPENDENT PU BLIC ACCOUNTANT whose reports are contained in this filing*<br>(Name - if individual, state last, first, and middle name) | | | | 133-10 39th Avenue | Flushing | NY | 11354 | | (Address) | (City) | (State) | (Zip Code) | | | | 2388 | | | lte<br>of Reg;~,atioa w;th PCAOB)(ff apPlkable) | | | | | | 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-5{e)(l)(ii), if applicable. **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** | | | swear (or affirm) that, to the best of my knowledge and belief, the<br>I, RUSERIM H…Read the full text as markdown