Full text of MIDDLE MARKET TRANSACTIONS, INC.'s X-17A-5 filed 2022-02-25 (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 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 # **ANNUAL REPORTS FORM X-17A-5 PART** Ill | | SEC FILE NUMBER | | |--|-----------------|--| | 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 01/ 01/2021 | | MM/DD/VY | AND ENDING | | 12/31/<br>2021<br>MM/DD/VY | |-------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|--------------------------------|------------|-----------------|-------------------------------------------| | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF FIRM: MIDDLE MARKET TRANSACTIONS INC. | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>X Broker-dealer<br>D Check here if respondent is also an OTC derivatives dealer | □ Security-based swap dealer | | | | □ Major security-based swap participant | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | 1401 S BRENTWOOD BLVD., SUITE 915 | | | | | | | | | (No. and Street) | | | | | St. Louis | | | MO | | 63144 | | (City) | | (State) | | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | Patrick C Nolan | 217-429-0202 | | | | pnolan@middlemarkettransactions.com | | (Name) | | (Area Code - Telephone Number) | | (Email Address) | | | | 8. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT w hose reports are contained in this filing*<br>Kerber, Eck & Braeckel LLP | | | | | | | | {Name - if individual, state last, first, and middle name) | | | | | | 3200 Robbins Road | Springfield | | | IL | 62704 | | (Address) | | (City) | | (State) | (Zip Code) | | 10/<br>22/ 2003 | | | | | 718 | | T"<br>of R,g;w,uoo w;th PCAOB}Of appl;cable) | | FOR OFFICIAL USE ONL y | | | [PCAOB R,g;w,i;a, Nombe,, ;f applkable) I | | | | | | | | | • 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-S(e)(l)(ii), if applicable. Perso…Read the full text as markdown