Full text of BROKERTEC AMERICAS LLC's X-17A-5 filed 2024-02-29 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # BrokerTec Americas LLC (SEC I.D. No. 8-51803) Statement of Financial Condition and Report of Independent Registered Public Accounting Firm December 31, 2023 {1}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 ## ANNUAL REPORTS FORM X-17A-5 PART III SEC FILE NUMBER | FACING PAGE | |----------------------------------------------------------------------------------------------------------| | nformation Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | Filing for the period beginning 01/01/23 | AND ENDING 12/31/23 | |------------------------------------------|---------------------| | | | MM/DD/YY MM/DD/YY A. REGISTRANT IDENTIFICATION # NAME OF FIRM: BROKERTEC AMERICAS LLC TYPE OF REGISTRANT (check all applicable boxes): Broker-dealer □ Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) ## 300 VESEY STREET, 7TH FLOOR | | (No. and Street) | | | | |------------------------------------------------------------------------------------------------|------------------------------------------------------------|-----------------------------|--------------------------------------------|--| | NEW YORK | | NEW YORK | | | | (City) | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | DAVID CALDERON | 212-299-2223 | david.calderon@cmegroup.com | | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>ERNST & YOUNG LLP | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | 155 N. WACKER DRIVE | CHICAGO | | 60606 | | | (Address) | (City) | (State) | (Zip Code) | | | 10/20/2003 | | 42 | | | | (Date of Registration with PCAOB)(if applicable) | | | (PCAOB Registration Number, if applicable) | | (Date of Registration with PCAOB)(if applicable) FOR OFFICIAL USE ONLY \* Claims for exemption from the requirement that the annual reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-5(e){1)(ii), if applicable. Persons who are to respond…Read the full text as markdown