Full text of HAITONG INTERNATIONAL SECURITIES (USA) INC.'s X-17A-5 filed 2023-03-31 (period 2022-12-31). 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 , 2022 {1}------------------------------------------------ # **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** # **ANNUAL REPORTS FORM X-17 A-5 PART** Ill **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 01/01/2022 AND EN DI NG \_\_ 1~2/~3\_1~/2\_0\_22 \_\_\_ \_ ## MM/DD/VY **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: Haitong International Securities (USA) Inc. TYPE OF REGISTRANT (check all applicable boxes): MM/DD/VY ~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 (City) (State) PERSON TO CONTACT WITH REGARD TO THIS FILING Sean Forbes (Name) (Area Code - Telephone Number) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this filing\* Mayer Hoffman Mccann CPAs (Name - if individual, state la st, first, middle name) 685 Third Avenue **New York NY** (Address) (City) (State) **10/22/2003** (Date of Registration with PCAOB)(if applicable) FOR OFFICIAL USE ONLY 10018 (Zip Code) 212-351-6012 (Email Address) **10017** (Zip Code) **199** (PCAOB Registration Number, if applicable) \* 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)(l)(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 0MB control number.** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response... 12 SEC FILE NUMBER **8-66566** {2}------------------------------------------------ #### **OATH OR AFFIRMATION** I, Sean M. 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, 2022, is true and correct. I further swear (or affirm) that neither the company nor any partner, offi…Read the full text as markdown