Full text of CATHAY SECURITIES, INC.'s X-17A-5 filed 2026-04-16 (period 2025-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | UNITED STATES<br>SECURITIES AND EXCHANGE COMMISSION<br>Washington, D.C. 20549<br>ANNUAL REPORTS<br>FORM X-17A-5<br>PART III<br>FACING PAGE<br>Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934<br>FILING FOR THE PERIOD BEGINNING 01/01/2025 AND ENDING 12/31/2025<br>MM/DD/YY<br>A. REGISTRANT IDENTIFICATION<br>CATHAY SECURITIES INC<br>NAME OF FIRM:<br>TYPE OF REGISTRANT (check all applicable boxes):<br> Security-based swap dealer<br>Broker-dealer<br>Check here if respondent is also an OTC derivatives dealer<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.)<br>40 WALL ST. SUITE 3600<br>(No. and Street)<br>NY<br>NEW YORK | | QMB APPROVAL<br>OM8 Number: 3235-0123<br>Expires: Nov. 30, 2026<br>Estimated average burden<br>hours per response:<br>ારિ<br>SEC FILE NUMBER<br>8-39247 | |-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------|---------------------------------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | MM/DD/YY | | | | | | | | | | | | | | | | LI Major security-based swap participant | | | | | | | | | | | | | | | | | | | | 10005 | | (State)<br>(City) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | 9296624026<br>XIAOYULI | | SHELL.LICCATHAYSECURITIES.COM | | (Area Code - Telephone Number)<br>(Name) | (Email Address) | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filling | | | | WEI WEI & CO, LLP | | | | (Name - if Individual, state last, first, and middle name) | | | | 133-10 39TH AVE<br>FLUSHING | | | | (Address)<br>(City) | NY | 11354 | | 03…Read the full text as markdown