Full text of C&C TRADING L.L.C.'s X-17A-5 filed 2021-03-01 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ #### UNITED ST ATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ANNUAL AUDITED REPORT FORM X-17A-5 PART III FACING PAGE OMB NUlllber: 3235-0123. Expires: October 31, 20 Estimated average burden Hours per response ... OMB Al.>PROVAL 12.00. SEC FILE NUMBER 8- 48631 Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | 01/0112020<br>MM/DD I Y V<br>~-----------------<br>A. REGISTRANT IDENTIFICATION | AND ENDING | MMIDDIYY<br>OFFICIAL USE ONLY | |---------------------------------------------------------------------------------|------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | FIRM I. O.<br>NO. | | | | | | | | | | (No, and Street) | | | | CT | | | | (Slate) | | | | | | | | | | 10022 | | (City) | {Stale) | {Zip Code) | | | | | | | New York | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.)<br>(Zip Code)<br>NAME AND TELEPHONE NUMBER OF PERSON TO CONT ACT IN REGARD TO THIS REPORT<br>(212)433-5470<br>(Area Code, T~ Number)<br>B. ACCOUNT ANT IDENTIFCATION<br>INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report*<br>New York | *\*Claims fbr exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 240.17a-S(e)(2).* --~- SEC 1410 ( 11-05) Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form {1}------------------------------------------------ # displays a currently valid OMS control number. OATH OR AFFIRMATION | I, | William Charlton Ill | | | , swear (or affinn) that, to the best of | |-----------------|-----------------------------------------------------------------------------------------|------|------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| | | | | | my k…Read the full text as markdown