Full text of OTR GLOBAL TRADING LLC's X-17A-5 filed 2022-02-14 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITED ST ATES** 0MB APPROVAL **SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden **ANNUAL REPORTS FORM X-17A-S PART** III **FACING PAGE** hours pef fesponse: 12 SEC FILE NUMER 8- 67147 **Information Required Pursuant** to **Rules 17a-S, 17a-12,** and **18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING **0 1/01 /21** MM/DD/YY AND ENDING **12/31 /21** - ------- - MM/DD /YY **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: OTR Global Trading LLC TYPE OF REGISTRANT (check all applicable boxes): ~ Broker-dealer D Security-based swap dealer D Major security-based swap participant D Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 4 Manhattanville Road (No. and Street) Purchase NY (City) (State) PERSON TO CONT ACT WITH REGARD TO THIS FILING 10577 (Zip Code) Del Johnson (914) 908-3960 del.johnson@otrglobal.com (Name) (Area Code - Telephone Number) (Email Address) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNT ANT whose reports are contained in this filing\* WithumSmith+Brown, PC (Name - if individual, state last, first, and middle name) 200 Jefferson Park Suite 400 Whippany NJ (Address) (City) (State) 07981-1070 (Zip Code) (Date of Registration with PCAOB)(if applicable) (PCAOB Registration Number, ifapplicable) **FOR OFFICIAL USE ONLY** \* 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. l 7a-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.** {1}------------------------------------------------ # **This filing\*\* contains (check all applicable boxes):** - IX! (a) Statement of financial condition. - IX! (b) Notes to unconsolidated or consolidated statement of financial condition, as applicable. - D (c) Statement of income (loss) or, if there is other comprehensive income in the period(s) presented, a statement of comprehensive income (as defined in§ 210.1-02 of Regulation **S-X).** - D ( d) Statement of cash flows. - D ( e) Statement of changes in stockholders' or p…Read the full text as markdown