Full text of RABO SECURITIES USA, INC.'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}------------------------------------------------ | UNITED STATES | |--------------------------------------| | SECURITIES AND EXCI-IANGE COMMISSION | | Washington, D.C. 20549 | 0MB APPROVAL 0MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 > SEC FILE NUMBER 8-65525 # **ANNUAL REPORTS FORM X-17A-5 PART** Ill **FACING PAGE** | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | FACING PAGE | | | | |-------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|-----------------------------------------|-----------------|------------------------------------------| | 01/01 /2:3<br>AND ENDING _1_2_/_3_1 _/2_3 | | | | | | FILING FOR THE PERIOD BEGINNING | MM/DD/YY | | | __<br>_<br>MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | | NAME oF FIRM: Rabo Securities USA, Inc. | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>0 Broker-dealer<br>D Check here if respondent is also an OTC derivatives dealer | □ Security-based swap dealer | □ 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 | New York | | | 10167 | | (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 IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>PricewaterhouseCoopers LLP | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | 214 N. Tryon St., Suite 4200 | Charlotte | | NC | 28202 | | (Address) | (City) | | (State) | (Zip Code) | | October 20, 2003 | | 238 | | | | rte of'"""""'" w;th PCAOB)(;f appll~blel | | | | IPCAOB Reg;,tralioo Nombec, If appU~bl•I | | | FOR OFFICIAL USE ONLY | | | | | * 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 Z40.17a-S(e)(1)(ii), if applicable. Persons who are to respond to the collection of information contained in thi…Read the full text as markdown