Full text of DE PAOLA TRADING, INC.'s X-17A-5 filed 2023-01-17 (period 2022-09-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITED STATES SECURJTIES AND EXOI.AHGE COMMISSJON Washington. D.C. 20549 | CMa Ntn-ber:3B"":Xrill | |-------------------------| | El;:m!s.: Ga. 31, 4!2'3 | | ~~c;e!b<s0e1 | | f:o<s:;pe-~ i2 | | | # ANNUAl REPORTS FORM X-17A-5 PART Ill FACNGPAGE lnfonnation Required Pursuant to RWes 17a-S\* 17a-12, and 18a-7 under the Seariies Elrc:bange Act of1.934 RUNG FOR THE PERIOD BEGINNING 10/01/21 MM/00/YY MM/00/YY AND ENDING . 09/30/22 A. REGISTRANT lDENTIACATION # NAME OF RRM: DE PAOLA TRADING INC. TYPE OF REGISTRANT {check all applicable boxes): 1-1 Brok.er-dealer 0 Security-based swap dealer 0 Major security-based swap parti<:ipant 0 Check here if respondent is also an OTC del:ivatilles dealer- ADDRESS OF PRINOPAl PLACE OF BUSINESS: (Do not use a P.O. box no.) | C/0 BAYAT CONSULTING INC., 14 WALL STREET, 20TH FLOOR | | | | | | | | |-------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------|---------|-------------------------------------------|--|--|--|--| | {No. and Street) | | | | | | | | | NEW YORK | NY | | | | | | | | (City} | (State} | | (Zip Code) | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FlUNG | | | | | | | | | ALAN KRIM | 516-526-1586 | | alanJoim@depaola-amexcom | | | | | | (Name) | (Area Code- Telephone Numbef-) | | (Email Address) | | | | | | | B. ACCOUNTANT IDENllACATION | | | | | | | | INDEPENDENT PUBliC ACCOUNT ANT whose reports are contained in this filing•<br>RAINES AND FISCHER LLP<br>(Name- if indiVidual, state last. first. and middle name) | | | | | | | | | 555 Fifth Ave-<br>Suite 901 | NEW YORK | NY | 10017 | | | | | | (Address) | (City) | {State} | (Zip Code) | | | | | | Nov 5, 2009 | | 3760 | | | | | | | {Date of Registration with PCAOB)rrf applicable) | | | (PCAOB Registrotion Numbef-. if pp!.~bie} | | | | | | FOR OFAClAl USC ONLY | | | | | | | | | | | | | | | | | | • Oaims for exemption from the requirement that the a.nnual reports be covered by the reports of an independent public | | | | | | | | accountant must be .supported by a statement of facts and drcumstance:s refied on as the basis of the exemption. See 17 CfR 240.17a-S(e){1){ii). if applicable. Persons who are to respond to the coUec:tion *ol* infonnation contained in this form are not required to respond unless the form displays a a.arrendyvailid OMB c:ontrol number. {1}----------------…Read the full text as markdown