Full text of C&C TRADING L.L.C.'s X-17A-5 filed 2020-03-02 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ llNrnm STATES SECORrITES AND EXCHANGE COMMISSmN **Washington,** D.C. 20549 [ 0MB, N~~~e~PR0~~~5~. 01 Expires: August 31, 2 Estimated average burden f,lours per response. . , . i2.00 # ANNUAL AUDITED REPORT FORM X-17 A-5 PARTIU | | | SEC FILE NUMBER | |------|-------|-----------------| | | | | | ুই - | 19638 | | FACING PAGE foformation **Required** ofUrokcrs and Deakrs P1usmrnt to Section 17 ofthe Securities **Exchange** Act of 1934 and Ruic l 7a-5 Thereunder | REPORT FOR THE PERIOD BEGINNING | ----------<br>(H/(H/2iH9 | AND ENDING | MMiUD/YY | | |--------------------------------------------------------------------------------------------------------------------------------------------------------------|---------------------------------------------------------------------------------------------------------------------------------|---------------|-------------------|--| | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: | | | OFF!C!AL USE ONLY | | | C & C Trading, LI£ | | | FIRMLD NO, | | | ADDRESS OF PRJNCIPA.L PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | | | | 71 Arch Street (ht Floor) | | | | | | | | | | | | | CT | | | | | (C,ty) | | | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTA.Cr IN REGARD TO THIS REPORT | | | | | | Wimam Charlton rn | | (212)433-5470 | | | | | | | | | | | B. ACCOlJNTANT IDENTIFCATION | | | | | INDEPENDENT PUBLJC ACCOUNTANT whose opinion is contained in this Report*<br>PKF O'Cmmor Davies, LLP | New York | New York | 10022 | | | | | | | | | l<br>_<br>CHECK ONE;<br>~ Certified Public Accountant<br>[J<br>Public Accountant<br>D<br>Accountant not resident in United States or any of its possessions. | | | | | | | | | | | | | *Claims for izyemptionfi'om the requirement that !he annual report be covered by the opinion <fan independent public accountant | | | | *\*Claims for izyemptionfi'om the requirement that !he annual report be covered by the opinion <fan independent public accountant must be supported by a statement of/ilcts and circumstances relied on as the basis for the exemption* Sec *Section 2,.JO.* J *7a-5(c)(2).* > Potential persons who are to respond to the collection of information contained in this form are not required to respond un!ess the form displays a currently valid OMS control number. SEC i 4 i O (06-02) {1}------------------------------------------------ # OATH OR **AFFIRMATION** | | | , sw<:ar {oi' affirm) thaL to the best of | | |----------…Read the full text as markdown