Full text of DE PAOLA TRADING, INC.'s X-17A-5 filed 2021-11-23 (period 2021-09-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNlTEDST ATES SECUIUTIES ANI> EXCHANGECOMM.ISSION Washington, D.C. 20549 # **ANNUAL AUDITED REPORT FORM X-17A-5 PART Il l** | Expires; | October 31, 20:::J3 | |----------|----------------------------| | | Estimated average burden | | | hours per response 12.00 | | | | OMB Number: 3235-0123 OMB APPROVAL I FACING PAGE Information Required of Brokers and Dealers Pursuant to Section **t** 7 of the Securities .Exchange Act of 1934 and RuJe 17a-5 Thereunder REPORT FOR THE PERIOD BEGINNING 10/01/20 AND ENDING 09/30/21 --------------------- MMIDD/YY MMIDDIYY # A. REGISTRANT IDENTIFICATION NAM.E or BROKER-DEALER: DE PAOLA TRADING INC. ADDRESS OF PRI NCIPAL PLACE OF BUSINESS: (Do not usc P.O. Bnx No.) C/0 BAY AT CONSULTING INC., 14 WALL STREET, 20TH FLOOR (No. and Street) (Zip Code) NAME AN D 'fELEPHON E NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT ---------------------------------------- ..... -........ ---·---.. ----- (A rc~ Code - Tclcjlhonc Number) # B. ACCOUNTANT IDENTIFICATION INDEPENDENT PUBL.!C ACCOUNTANT whose opinion is contai ned in this Report \* (City) (State) # RAINES AND FISCHER LLP | NEW YORK | NY | 10017 | |----------|-------------------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------| | (City\ | (State) | (Zip Code) | | | | | | | _ | ________<br>____, | | | jcertified Public Accountant<br>___ | (Name -- i(indil,iduul. stat/! last. first, middle name)<br>Accountant not resident in 'United States or any of its possessions.<br>___<br>_ :fOR OFFICI_AL USE ON~! | *\*Claimsfor exemptionfi·om Jhe requirement that the annual report be covered by the opinion* c~{an *independent pub/i.e account alit must be supported b\_v a statement o((acts and circumstances relied on as the hasisfbr the exemption. See Section 240.17a-5(e){2}* SEC 1410 (11-05) Potential 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. NEW YORK NY 10005 r-QfFICIAL USE ONLY FIRM I.D. NO. '------·---- - -' {1}------------------------------------------------ ## **OATH OR AFFIRMATION** | ----<br>------- ' s\vear (or affirm) that, to the best of<br>!, ~~! ~~~U~~~~ ~~~~~------- -------- | |---------------------------------------------------------------------------------------------…Read the full text as markdown