Full text of CAPLIGHT MARKETS LLC's X-17A-5 filed 2024-02-27 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ #### **SEC ID No. 8-52440 CAPLIGHT MARKETS LLC** STATEMENT OF FINANCIAL CONDITION FOR THE YEAR ENDED DECEMBER 31, 2023 AND REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM {1}------------------------------------------------ # **TABLE OF CONTENTS** | | Page(s) | |---------------------------------------------------------|---------| | Form X-17 A-5 Part III | | | Oath or Affirmation | | | Report of Independent Registered Public Accounting Firm | | | Financial Statements | | | Statement of Financial Condition<br>2 | | | Notes to Statement of Financial Condition 3–5 | | {2}------------------------------------------------ ### **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** OMB Number: 32350123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 OMB APPROVAL > 8-52440 SEC FILE NUMBER # **ANNUAL REPORTS FORM X17A5 PART III** **FACING PAGE** **Information Required Pursuant to Rules 17a5, 17a12, and 18a7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING 01/01/2023 AND ENDING \_12/31/2023 MM/DD/YY MM/DD/YY **A. REGISTRANT IDENTIFICATION** # NAME OF FIRM: CAPLIGHT MARKETS LLC TYPE OF REGISTRANT (check all applicable boxes): Brokerdealer Securitybased swap dealer Major securitybased swap participant Check here if respondent is also an OTC derivatives dealer □ □ ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) # 1160 BATTERY STREET EAST Suite 100 | CA | | | |------------------------------------------------------------|------------------------|--------------------------------------------| | | | 94111 | | (State) | | (Zip Code) | | | | | | 751-4422 | mchung@dfppartners.com | | | (Area Code – Telephone Number) | (Email Address) | | | B. ACCOUNTANT IDENTIFICATION | | | | (Name – if individual, state last, first, and middle name) | | | | Hamilton<br>Square | NJ | 08690 | | | (State) | (Zip Code) | | | | | | | | (PCAOB Registration Number, if applicable) | | | | | | | FOR OFFICIAL USE ONLY | 3598 | accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a5(e)(1)(ii), if applicable. **Persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.** {3}------------------------------------------------ #### **OATH OR AFFIRMATION** | I, Javier Avalos |…Read the full text as markdown