Full text of HANDELSBANKEN MARKETS SECURITIES, INC.'s X-17A-5 filed 2023-02-23 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ (A Wholly-Owned Subsidiary of Svenska Handelsbanken AB) FINANCIAL STATEMENTS AND REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM DECEMBER 31, 2022 {1}------------------------------------------------ | | UNITED STATES | | | | | |-----------------------------------------------------------------------------------------------------------|--------------------------------|--------------------------------------------------------|----------------------------------------|-------------------------------------------------|--------------------------------------------| | SECURITIES AND EXCHANGE COMMISSION | | | | OMB APPROVAL | | | | Washington, D.C. 20549 | | | OMB Number: 3235-0123<br>Expires: Oct. 31, 2023 | | | | | | Estimated average burden | | | | | | | | hours per response: 12 | | | | ANNUAL REPORTS | | | | | | | FORM X-17A-5 | | | | SEC FILE NUMBER | | PART III | | | | 8-48279 | | | | | FACING PAGE | | | | | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | | | REPORT FOR THE PERIOD BEGINNING | 01/01/2022<br>MM/DD/YY | AND ENDING | 12/31/2022<br>MM/DD/YY | | | | | A. | REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: Handelsbanken Markets Securities, Inc. | | | | | | | TYPE OF REGISTRANT (check all applicable boxes): | | | | | | | ☒Broker-dealer | ☐Security-based swap dealer | | ☐Major security-based swap participant | | | | ☐ Check here if respondent is also an OTC derivatives dealer | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | | | | | | | 900 Third Avenue – 17th Floor | | | | | | | (No. and Street) | | | | | New York | | NY | | | 10022 | | (City) | | (State) | | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | Richard Sobel | 212-751-4422 | | | rsobel@dfppartners.com | | | (Name) | (Area Code – Telephone Number) | | | (Email Address) | | | | B. | ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | | | Regen, Benz & MacKenzie, C.P.A's P.C. | | | | | | | (Name – if individual, state last, first, middle name) | | | | | 57 West 38th Street, 3rd Floor | New York | | NY | | 10018 | | (Address) | (City) | | (State) | | (Zip Code) | | 09/15/2004 | | | | | 1152 | | (Date of Registration with PCAOB)(if applicable) | | | | | (PCAOB Registration Number, if applicable) | | | | FOR OFFICIAL USE ONLY | | | | | |…Read the full text as markdown