Full text of JAMES T. BORELLO & CO.'s X-17A-5/A filed 2022-11-23 (period 2022-09-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ ### JAMES T. BORELLO & CO ## FINANCIAL STATEMENTS AND REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM PURSUANTTO RULE l7a-5 SEPTEMBER30,2022 {1}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C.20549 > ANNUAT REPORTS FORM X-17A-5 PART III OMB APPROVAL OMB Number: 3235-OI2l Expires: Oct. 3f,2023 Estimated average burden hours per response: l2 SEC FILE NUMBER | ln<br>fo<br>io<br>at<br>Re<br>ire<br>d<br>Pu<br>t<br>L<br>nt<br>Ru<br>les | FA<br>C<br>IN<br>G<br>P<br>AG<br>E<br>, l<br>-L<br>nd<br>7a<br>-5<br>1<br>8a<br>-7 | nd<br>th<br>Se<br>rit<br>ie<br>Ex | f<br>A<br>19<br>34<br>ct<br>o | | |----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|---------------------------------------------------------------------------------------------------------------|----------------------------------------------------------------------------------------------|---------------------------------------|--| | 2,<br>7a<br>ch<br>rm<br>n<br>o<br>a<br>u<br>er<br>e<br>qu<br>rs<br>ua<br>cu<br>s<br>an<br>ge<br>1<br>0<br>1<br>0<br>1<br>1<br>2<br>0<br>2<br>1<br>9<br>1<br>3<br>0<br>1<br>2<br>0<br>2<br>2 | | | | | | pE<br>R<br>D<br>ro<br>H<br>E<br>F<br>oR<br>BE<br>GT<br>NN<br>TN<br>G<br>FT<br>LT<br>NG<br>r | A<br>M<br>M/<br>DD<br>/Y<br>Y | 0<br>N<br>D<br>EN<br>DT<br>NG | M<br>M/<br>DD<br>/Y<br>Y | | | A<br>. R<br>EG | IS<br>TR<br>A<br>NT<br>I F<br>IC<br>AT<br>DE<br>NT<br>I | IO<br>N | | | | T<br>B<br>O<br>S<br>N<br>A<br>M<br>E<br>F<br>F<br>T<br>R<br>M<br>:J<br>A<br>M<br>E<br>o | R<br>E<br>L<br>L<br>O<br>&<br>C | O | | | | (c<br>he<br>ck<br>ll<br>pl<br>ic<br>ab<br>le<br>O<br>F<br>G<br>IS<br>TY<br>PE<br>RE<br>TR<br>AN<br>T<br>a<br>ap<br>E<br>B<br>k<br>d<br>l<br>D<br>ro<br>e<br>r-<br>e<br>a<br>e<br>r<br>S<br>it<br>ba<br>d<br>ec<br>ur<br>y-<br>se<br>sw<br>E<br>if<br>de<br>h<br>nt<br>C<br>he<br>ck<br>lso<br>de<br>riv<br>re<br>sp<br>on<br>is<br>OT<br>C<br>er<br>e<br>a<br>a<br>n | b<br>):<br>ox<br>es<br>n<br>V<br>aj<br>d<br>le<br>ea<br>r<br>ap<br>de<br>ale<br>at<br>ive<br>r<br>s | rit<br>ba<br>d<br>o<br>r<br>se<br>cu<br>y-<br>se<br>sw | tic<br>i<br>nt<br>p<br>ar<br>pa<br>ap…Read the full text as markdown