Full text of NATIONAL BANK OF CANADA FINANCIAL INC.'s X-17A-5 filed 2023-12-22 (period 2023-10-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITED sTATEs SECURITIES AND EXCHANGE COMM¡SSION Washington, D.C.20549 #### ANNUAL REPORTS #### FORM X-17A-5 #### PART III FACING PAGE lnformation Required Pursuant to Rules 17a-5, L7a-12, and 18a-7 under the Securities Exchange Act of <sup>1934</sup> FTLTNG ;OR THE PERTOD BËGrNNrNG,l 1 la1 <sup>122</sup> AND END|NG 1Aß1/23 MM/DDIYY MM/DDAY A. REGISTRANT IÐENTIFICATION # NAME oF r,\*r. National Bank of Canada Financial lnc. TYPE OF REGISTRANT {check all applicabte boxes): El Broker-dealer I Security-based swap dealer n Check here if respondent is also an OTC derivatives dealer I Ma¡or security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a p,O. box no.) ### 655 East 55th Street, Bth Floor | | (No. and Street) | | | | | |----------------------------------------------------------------------------------------|------------------------------------------------------------|----------|---------------------------|---------------------|--| | New York | | New York | | 10022<br>(zip Code) | | | (City) | | (state) | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | Yuri Grabovsky<br>212.632.8523 | | | yuri.grabovsky@nbf-us.com | | | | (Name) | {Area Code - Telephone Number) | | {Email Address) | | | | | B. ACCOUNTANT ¡DENTIFICATION | | | | | | INDEPENÐENT PUBLIC AccoUNTANT whose reporrs are contained in this filing*<br>Crowe LLP | | | | | | | | {Name - if índividual, state last, first, and middle name} | | | | | | 485 Lexington Ave, Floor 11 New York | | | New York 14017 | | | | {Address} | (citvl | | (stare) | (zip code) | | | gt24t03 | | | 173 | | | | (Dãte of<br>with | | | {PCAOB Reg¡strat¡on | | | FOR OFFICIAL USE ONtY i Claims for exemption from the requ¡rement that the ånnual accountant must be supported by a statement of facts and cFR 240.17a-s(e)(1)(ii), if applicable. reports be covered by the reports of an independent public circumstances relied on as the basis of the exemption. See 17 Fersons who are to respond to the collection ol information contained in this form are not required to respond unless the form displays a currently valid OMB Eontrol nqmber. OMB APPROVAT OMB Number:3235-0123 Ëxpires: Nov.30,202õ gstirnãted average burden hours per response: l2 SEC FILE NUMBER {1}------------------------------------------------ #### OATH OR AFFIRMATION | l, yuri Gralol/s¡y | swear {or affirm) that, to the best of my knowledge and belief, the | |-------------------…Read the full text as markdown