Full text of HAITONG INTERNATIONAL SECURITIES (USA) INC.'s X-17A-5 filed 2022-04-01 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ ## HAITONG INTERNATIONAL SECURITIES (USA) INC. ### STATEMENT OF FINANCIAL CONDITION DECEMBER 31, 2021 {1}------------------------------------------------ # **ANNUAL REPORTS FORM X‐17A‐5 PART III FACING PAGE Information Required Pursuant to Rules 17a‐5, 17a‐12, and 18a‐7 under the Securities Exchange Act of 1934** REPORT FOR THE PERIOD BEGINNING 01/01/2021 AND ENDING 12/31/2021 MM/DD/YY MM/DD/YY **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: Haitong International Securities (USA) Inc. TYPE OF REGISTRANT (check all applicable boxes): ☒Broker‐dealer ☐Security‐based swap dealer ☐Major security‐based swap participant ☐ Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) 452 Fifth Avenue, 23rd Floor (No. and Street) New York NY 10018 (City) (State) (Zip Code) PERSON TO CONTACT WITH REGARD TO THIS FILING Sean Forbes 212‐351‐6012 (Name) (Area Code – Telephone Number) (Email Address) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this filing\* Marks Paneth LLP (Name – if individual, state last, first, middle name) 685 Third Avenue New York NY 10017 (Address) (City) (State) (Zip Code) 10/20/2003 709 (Date of Registration with PCAOB)(if applicable) (PCAOB Registration Number, if applicable) FOR OFFICIAL USE ONLY **SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** OMB APPROVAL OMB Number: 3235‐0123 Expires: Oct. 31, 2023 Estimated average burden hours per response… 12 SEC FILE NUMBER **8‐66566** **UNITED STATES** \* 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 240.17a‐5(e)(1)(ii), if applicable. **Persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.** {2}------------------------------------------------ ### **OATH OR AFFIRMATION** I, Sean Forbes, swear (or affirm) that, to the best of my knowledge and belief, the financial report pertaining to the firm of Haitong International Securities (USA) Inc., as of December 31, 2021, is true and correct. I further swear (or affirm) that neither the company nor any partner, officer, director, or equivalent person, as the case may be, has any…Read the full text as markdown