Full text of DNB MARKETS, INC.'s X-17A-5 filed 2023-03-01 (period 2022-12-31). 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, <sup>2023</sup> Estimated average burden hours per response: 12 **ANNUAL REPORTS FORM X-17A-5 PART** Ill SEC FILE NUMBER **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 **<sup>O</sup> 1/01/2022** MM/DD/YY AND ENDING **12/31/2022** MM/DD/YY **A. REGISTRANT IDENTIFICATION** AME or»a,. DNB Markets, Inc. TYPE OF REGISTRANT (check all applicable boxes): [s] Broker-dealer []Security-based swap dealer D Check here if respondent is also an OTC derivatives dealer □ Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use <sup>a</sup> P.O. box no.) 30 Hudson Yards, 81 st Floor (No. and Street) New York **NY** 10001 {City) PERSON TO CONTACT WITH REGARD TO THIS FILING {State) (Zip Code) Brian Felkowski 212-681-3935 brian.felkowski@dnb.no {Name) (Area Code -Telephone Number) {Email Address) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* Citrin Cooperman & Company LLP (Name -if individual, state last, first, and middle name) <sup>50</sup> Rockefeller Plaza New York **NY** 10020 (State) (Zip Code) 2468 **(PCAOB Reg;,1cat;oa N,mbec,** ;f **apphcable(** <sup>I</sup> {City) **FOR OFFICIAL USE ONLY** Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public (Address) 11/02/2005 ( r• of Reg;~caUoa w;th PCAOB)(;f apphcable) accountant must be supported by <sup>a</sup> statement of facts and circumstances relied on as the basis of the exemption. See <sup>17</sup> CFR 240.17a-5(e)(1)(ii), if applicable. **Persons who are to respond to the collection ofinformation contained in this form are not required to respond unless the form displays <sup>a</sup> currently valid 0MB control number.** {1}------------------------------------------------ #### **OATH OR AFFIRMATION** | | that,<br>the<br>of<br>my knowledge and belief,<br>the<br>to<br>best<br>swear (or affirm)<br>I, Theodore s. Jadick, Jr. | |----------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| | | pertaining<br>of<br>as of<br>report<br>to<br>the<br>financial<br>f…Read the full text as markdown