Full text of THE TAVENNER COMPANY's X-17A-5 filed 2023-03-27 (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 MM/DD/YY MM/DD/YY OMB APPROVAL OMB Number: Expires: Estimated average burden hours per response: SEC FILE NUMBER # ANNUAL REPORTS FORM X-17A-5 PART III A. REGISTRANT IDENTIFICATION FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 FILING FOR THE PERIOD BEGINNING \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ AND ENDING \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ # NAME OF FIRM: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ | NAME OF FIRM: _______________________________________________________________________<br>TYPE OF REGISTRANT (check all applicable boxes):<br>Broker-dealer<br>Security-based swap dealer<br>Major security-based swap participant<br>Check here if respondent is also an OTC derivatives dealer | |-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | _____________________________________________________________________________________ | | (No. and Street) | | _____________________________________________________________________________________ | | (City)<br>(State)<br>(Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | _____________________________________________________________________________________ | | (Name)<br>(Area Code – Telephone Number)<br>(Email Address) | | B.<br>ACCOUNTANT IDENTIFICATION | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | _____________________________________________________________________________________ | | (Name – if individual, state last, first, and middle name) | | _____________________________________________________________________________________ | | (Address)<br>(City)<br>(State)<br>(Zip Code) | | _____________________________________________________________________________________ | | (Date of Registration with PCAOB)(if applicable)<br>(PCAOB Registration Number, if applicable) | | FOR OFFICIAL USE ONLY | \* Claims for exemption from the requirement that the annual r…Read the full text as markdown