Full text of DNB MARKETS, INC.'s X-17A-5 filed 2022-02-28 (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** | ANNUAL<br>REPORTS | | | | |-------------------|--|--|--| | FORM<br>X-17A-5 | | | | | PART<br>Ill | | | | | 0MB APPROVAL | |-----------------------------| | 0MB Number: 3235-0123 | | Expires:<br>Oct. 31, 2023 | | Estimated<br>average burden | | hours per response:<br>12 | SEC FILE NUMBER | | PART<br>Ill | | |-------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------|---------------------------------------------------------| | | FACING PAGE<br>Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities | Exchange Act of 1934 | | FILING FOR THE PERIOD BEGINNING | 01/01/2021 | AND ENDING 12/31/2021 | | | MM/DD/YY | MM/DD/VY | | | A. REGISTRANT IDENTIFICATION | | | Markets,<br>DNB<br>NAME OF FIRM: | Inc. | | | TYPE OF REGISTRANT (check all applicable boxes):<br>A<br>Broker-dealer<br>if<br>respondent<br>Check here<br>D<br>ADDRESS OF PRINCIPAL<br>81st<br>Hudson<br>Yards,<br>30 | []Security-based<br>D<br>swap dealer<br>is also an OTC derivatives<br>dealer<br>PLACE OF BUSINESS: (Do not<br>use a P.O.<br>Floor | security-based<br>swap participant<br>Major<br>box no.) | | | {No. and Street) | | | York<br>New | NY | 10001 | | (City) | {State) | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | Felkowski<br>Brian | 212-681-3935 | brian.felkowski@dnb.no | | {Name) | Code -<br>(Area<br>Telephone Number) | (Email Address) | | | B. ACCOUNTANT IDENTIFICATION | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports | are contained | in this<br>filing* | Citrin Cooperman & Company LLP (Name -if individual, state last, first, and middle name) <sup>50</sup> Rockefeller Plaza New York NY 10020 (Address) 11/02/2005 (City) 2468 (State) (Zip Code) **(PCAOB Registcatioo Norn bee,** if **applicable)** <sup>I</sup> **FOR OFFICIAL USE ONLY** rte of Regimatioo with PCAOB)(if applicable) \* Claims for exemption from the requirementthat the annual reports be covered by the reports of an independent public accountant must be supported by <sup>a</sup> statement offacts and circumstances relied on as the basis of the exemption. See <sup>17</sup> CFR 240.17a-5(e)(1)(ii), if applicable. **Pers…Read the full text as markdown