Full text of RABO SECURITIES USA, INC.'s X-17A-5 filed 2022-02-25 (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 FlEPORTS FORM X-17A-5 PART Ill** SEC FILE NUMBER 8-65525 #### **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 0110112021 | ---------- | AND ENDING 1213112021 | | | | | |-------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------|----------------------------------------------------|-----------------------------|--|--|--| | | -----------<br>MM/DD/YY | | | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | NAME OF FIRM: Rabo Securities USA, Inc. | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>~ Broker-dealer<br>D Check here 1f respondent Is also an OTC derivatives dealer | □ Security-based swap dealer | D Major security-based swap participant | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O box no.) | | | | | | | | 245 Park Avenue, 36th Floor | | | | | | | | | (No and Street) | | | | | | | New York City | New York | | | | | | | (City) | (State) | | (Zip Code) | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | Andrea Martens | (212)-916-3706 | | andrea martens@rabobank com | | | | | (Name) | (Area Code -Telephone Number) | (Email Address) | | | | | | | B. ACCOUNTANT IIDENTIFICATION | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | | PncewaterhouseCoopers LLP | | | | | | | | | (Name- 1f md1v1dual, state laist, first, and middle name) | | | | | | | 300 Madison Avenue | New York | | | | | | | (Address) | (City) | (State) | (Zip Code) | | | | | | | | | | | | | October 20, 2003<br>rte of Reg,mat,oo w,th | | 238<br>(PCAOB Regosnatmo N"m be,, ,f apphca hie) I | | | | | \* Claims for exemption from the 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 See 17 CFR 24017a-5(e)(1)(11), if applicable **Persons who are to respond to the collection of information con1tained in this form are not required to respond unless the form display…Read the full text as markdown