Full text of BOC INTERNATIONAL (USA) INC.'s X-17A-5 filed 2022-03-01 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # BOC INTERNATIONAL (USA) INC. AUDITED FINANCIAL STATEMENTS DECEMBER 31, 2021 CONFIDENTIAL TREATMENT REQUESTED {1}------------------------------------------------ # BOC INTERNATIONAL (USA) INC. REPORT PURSUANT TO RULE 17a-5(d) DECEMBER 31, 2021 {2}------------------------------------------------ # BOC INTERNATIONAL (USA) INC. FINANCIAL STATEMENTS DECEMBER 31, 2021 # CONTENTS | Facing Page - Oath or Affirmation | 1-2 | |-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------| | Report of Independent Registered Public Accounting Firm | 3 | | Statement of Financial Condition | 4 | | Statement of Operations | 5 | | Statement of Changes in Stockholder's Equity | 6 | | Statement of Changes in Liabilities Subordinated to the claims of general<br>creditors | 7 | | Statement of Cash Flows | 8 | | Notes to Financial Statements | 9-21 | | Supplementary Information: | | | Computation of Net Capital Pursuant to Rule 15c3-1<br>of the Securities and Exchange Commission | 23 | | Computation for Determination of the Reserve<br>Requirements and Information Relating to Possession<br>Or Control Requirements for Brokers and Dealers<br>Pursuant to Rule 15c3-3 | 24 | | Supplementary Report of Independent Auditor: | | | Report of Independent Registered Public Accounting Firm | 26 | | Exemption Report Pursuant to Rule 17a-5 | 27 | {3}------------------------------------------------ ## **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** OMB APPROVAL OMB Number: ϯϮϯϱͲϬϭϮϯ Expires: KĐƚ͘ϯϭ͕ϮϬϮϯ Estimated average burden hours per response: # **ANNUAL REPORTS FORM X-17A-5 PART III** 8-66662 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 _____________________ AND ENDING ______________________ | 01/01/21 | | 12/31/21 | |------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|---------|--------------------------------------------| | | MM/DD/YY | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | BOC International (USA) Inc.<br>NAME OF FIRM: ____________________________…Read the full text as markdown