Full text of DE PAOLA TRADING, INC.'s X-17A-5/A filed 2023-07-14 (period 2022-09-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | | UNITED STATES | | | CHIB APPROVAL | | |------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|---------|------------------------------------------------------|--------------------------------------------|--| | SECURITIES AND EXCHANGE COMMISSION | | | ORD FUTURE 3755-J173 | | | | | Washington, D.C. 20549 | | Expires: Coc. 31. 2002<br>Estimated avestage burches | | | | | | | SESSES PES FESCOLLSE 12 | | | | | ANNUAL REPORTS | | SEC FRE THUNGER | | | | | FORM X-17A-5 | | 8-67586 | | | | | PART III | | | | | | | | | | | | | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Eachange Act of 1934 | FACING PAGE | | | | | | FILING FOR THE PERIOD BEGINNING 10/01/21<br>AND ENDING U9/30/22 | | | | | | | | | | | | | | | Mha/DD/YY | | BDA/DD/TT | | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF FIRM: DE PAOLA TRADING INC. | | | | | | | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>@ Broker-dealer @ Security-based swap dealer Major security-based swap participant | | | | | | | Check here if respondent is also an OTC derivatives dealer | | | | | | | | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | CIO 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 FILING | | | | | | | AI AN KRIM | 516-526-1586 | | alan knim@depacta-amex.com | | | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | | | 8. ACCOUNTANT IDENTIFICATION | | | | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | RAINES AND FISCHER LLP | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | 555 Fifth Ave - Suite 901 | NEW YORK | NY | | 10017 | | | (Address) | (City) | (State) | | (Zip Code) | | | Nov 5, 2009 | | 3760 | | | | | (Date of Registration with PCAOB)(if applicable) | | | | (PCAOB Registration Number, if applicable) | | | | 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…Read the full text as markdown