Full text of TRADESTATION SECURITIES, INC.'s X-17A-5 filed 2023-05-30 (period 2023-03-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ Statement of Financial Condition March 31, 2023 (With Report of Independent Registered Public Accounting Firm Thereon) Filed pursuant to Rule 17a-5(e)(3) Under the Securities Exchange Act of 1934 and CFTC Regulation 1.10(g) As a Public Document {1}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: Expires: Estimated average burden hours per response: SEC FILE NUMBER # ANNUAL REPORTS FORM X-17A-5 PART III | FACING PAGE<br>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 ______________________<br>MM/DD/YY | | MM/DD/YY | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | | NAME OF FIRM: _______________________________________________________________________ | | | | | | | | | 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) | (State) | | (Zip Code) | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | | _____________________________________________________________________________________ | | | | | | | | | (Name) | (Area Code – Telephone Number) | (Email Address) | | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>_____________________________________________________________________________________ | | | | | | | | | | (Name – if individual, state last, first, and middle name) | | | | |…Read the full text as markdown