Full text of DE PAOLA TRADING, INC.'s X-17A-5/A filed 2023-06-21 (period 2022-09-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | UHJTED STATES<br>SEOJRmEs AND EXOt:ANGE COMMJSSION<br>Washington. D.C. 2054.9 | | | | i<br>j<br>f ~<br>~<br>! | Otl8~1.1:<br>)I\"J:r~3E-:Jill<br>Ga:. 31,2023<br>l ~ao--~ 'i:T.r'e:.<br>; OO.ssp3'~ 12 | | | |--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|----------------|------------------------------|---------|-------------------------|----------------------------------------------------------------------------------------|--|--| | | ANNUAL REPORTS | | | | | | | | | | FORM' X-17A-S | | | | | | | | PART Ill | | | | | | | | FAONGPAGE<br>tnfonnation Required Pursuant to Rules 17a-;5, Ua-12, and l,8a.:7 under the Securities ·Ellc.hange .Act ot 1934 | | | | | | | | | FlUNG FOR THE PERIOD BEGINNING l 0/01/21<br>AND ENDrNG 09/30/22 | | | | | | | | | | | | | | MM/00/'f'( | | | | | | A REGISTRANT II:)ENTTRCATION | | | | | | | NAMEOFRRM: DE PAOLA TRADING 1NG. | | | | | | | | | 1YPE OF REGISTRANT (check aU applicable boxes):<br>u Major .security-based swap participant<br>0 Seruri:ty-based swap dealer<br>!.!.! Broker-dealer<br>:= Check here if respondent is also an OTC Oerivatiws deale | | | | | | | | | ADDRESS OF PRINOPAL PlACE OF BUSINESS: (Oo not use a P.O. box no.) | | | | | | | | | C/0 BAYAT CONSULTING lNC., 14 WALl STREET, 20TH FLOOR. | | | | | | | | | | | {NO. and Street) | | | | | | | NEWYOHK | | NY | | | | | | | {Gty} | | (State) | | | | | | | PERSON TO CONTACT WITH REGARD TO THIS flUNG | | | | | | | | | ALAN KRIM | 516-526-1586 | | | | | | | | (Name) | | (.Mea Code-Telephone Number) | | (EmaiJ Al.idress) | | | | | | | B. ACCOUNTANT IDENTIRCAT10N | | | | | | | INDEPENDENT PUBliC ACCOUNTANT whose reports are contained in this filing~<br>RAINES AND FISCHER LLP | | | | | | | | | (Name -ifindNidual. mte last. first. and middle name! | | | | | | | | | 555 Fifth Ave -<br>Suite 901 | | NEW YORK | | NY | 10017 | | | | {Address) | (City) | | {State} | | {ZipCOOe) | | | | Nov 5~ 2009 | | | 3760 | | | | | | {?CAOB R~istr3tion Number. if opb::a ~e)<br>(Date ofReg:istration with f>CAOB)[af applicab1e)<br>r-<br>FOROFHOALUSC ONLY | | | | | | | | | • da1ms for exemption from the requirement that the annual reports be covered by the reports of an Independent public<br>accountant must be sup…Read the full text as markdown