Full text of WYSER-PRATTE & CO., INC.'s X-17A-5 filed 2024-03-29 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ ### UNITED ST A TES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 # ANNUAL REPORTS FORM X-17 A-5 PART III 0MB APPROVAL 0MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 > SEC FILE NUMER 8- 43418 **FACING PAGE** Informa tion Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 FILING FOR THE PERIOD BEGfNNfNG **01/01/23** ANDENDING **12/31/23** MM/DD/YY MM/DD/YY # **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: Wyser-Pratte & Co., Inc. TYPE OF REGISTRANT (check all applicable boxes): ~ Broker-dealer D Security-based swap dealer D Major security-based swap participant D Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCfPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | B. ACCOUNT ANT IDENTIFICATION | | | |----------------------------------------------|--------------------------------|---------------------------------|--| | (Name) | (Area Code - Telephone Number) | (Email Address) | | | Howard Spindel | (561) 420-0842 | hspi ndel@integrated. solutions | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | (City) | (State) | (Zip Code) | | | Mt. Kisco | NY | 10549 | | | | (No. and SLreet) | | | EisnerAmper LLP | (Name - if individual, state last. first. and middle name) | | | | | | |------------------------------------------------------------|----------|---------|--------------------------------------------|--|--| | 733 Third Avenue | New York | NY | 10017 | | | | (Address) | (City) | (State) | (Zip Code) | | | | 9/29/2003 | | 274 | | | | | (Date of Registration with PCAOB)(ifapplicable) | | | (PCAOB Registration Number, if applicable) | | | **FOR OFFICIAL** USE **ONLY** • Claims for exemption from Jhe requirement that the annual reports be covered by the reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. Sec 17 CFR 240. I 7a-5(e)( I )(ii), if applicable. Persons who are to respond to the collection of in fo rmation contained in this form are not r equired to respond unless the fo rm displays a currently valid 0MB control number. {1}------------------------------------------------ #### AFFIRMATION I, Scott Principi , swear (or affirm) that, to the best of my knowledge and belief, the financial report pertaining to Wyser-Pratte & Co., Inc. as of 12/31/23 , is true and correct. I further swe…Read the full text as markdown