Full text of MARCO POLO SECURITIES INC.'s X-17A-5 filed 2022-04-04 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ ### **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 # **ANNUAL REPORTS FORM X-17 A-5 PART Ill** SEC FILE NUMBER 8-51480 **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** | FILING FOR THE PERIOD BEGINNING | ----------<br>1l1/<br>2021 | AND ENDING | | -----------<br>121311<br>202 1 | | |----------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------------------------------|------------------------------------------------------------|-----------------|--------------------------------|--| | | MWDDNY | | | MWDDNY | | | | A. REGISTRANT IDENTIFICATION | | | | | | ----------------------------------<br>Marco Polo Securities, Inc.<br>NAME OF FIRM: | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>D Security-based swap dealer<br>00 Broker-dealer<br>□ Check here if respondent is also an OTC derivatives dealer | | D Major security-based swap participant | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | 1230 Avenue of the Americas, 16th floor | | | | | | | | (No. and Street) | | | | | | New York City | | NY | | 10020 | | | (City) | (State) | | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | Alex Mack | 917-923-1478 | amack@mpsecurities.com | | | | | (Name) | (Area Code -Telephone Number) | | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Raich Ende Malter & Co. LLP | | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | 1375 Broadway, 15th floor | New York | | NY | 10018 | | | (Address) | (City) | | (State) | (Zip Code) | | | 06/23/2004 | | | 50 | | | | | | | | | | | * Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public | FOR OFFICIAL USE ONLY | | | | | accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-S(e)(l)(ii), if applicable. **Persons who are to respond to the collection of information contained in this form are not required to respond unless t…Read the full text as markdown