Full text of NATIONAL BANK OF CANADA FINANCIAL INC.'s X-17A-5 filed 2024-12-23 (period 2024-10-31). 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: Nov. 30, 2026 Estimated average burden hours per response: 12 ## **ANNUAL REPORTS FORM X-17A-5 PART** Ill | SEC FILE NUMBER | |-----------------| | | | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | FACING PAGE | | | | | | |----------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|-----------------------------------------|----------------------|-----------------------------------------------|--|--| | FILING FOR THE PERIOD BEGINNING 11/01/23 | | | AND ENDING 10/31 /24 | | | | | | MM/DD/VY | | | MM/DD/VY | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | NAME oF FIRM : National Bank of Canada Financial Inc. | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>l:!l Broker-dealer<br>D Check here if respondent is also an OTC derivatives dealer | □ Security-based swap dealer | □ Major security-based swap participant | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | | 65 East 55th Street, 8th Floor | | | | | | | | | (No. and Street) | | | | | | | New York | | New York | | 10022 | | | | (City) | (State) | | | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | Yuri Grabovsky | 212.632.8523 | | | yuri.grabovsky@nbf-us.com | | | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Crowe LLP | | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | 485 Lexington Ave, Floor 11 | New York | | New York 10017 | | | | | (Address) | (City) | | (State) | (Zip Code) | | | | 9/24/03 | | 173 | | | | | | r<br>te of Re<,t,at;oo with PCAOBJ(• a,ollcable) | | | | I<br>{PCAOB Reglrt,atioo Nombe,, • applkabl•J | | | | | 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…Read the full text as markdown