Full text of THE NEW PENFACS INC.'s X-17A-5 filed 2026-02-25 (period 2025-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # PUBLIC UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 | OMB APPROVAL | | |-------------------------------------------------------------------------------------------------------|--| | OMB Number: 3235-0123<br>Expires: Nov. 30, 2026<br>Estimated average burden<br>hours per response: 12 | | | SEC FILE NUMBER | | | 8-67738 | | ## ANNUAL REPORTS FORM X-17A-5 PART III | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | FACING PAGE | | | | | |-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------|------------------------------------------------------------|------------------------------------------|------------------|--------------------------------------------|--| | | | | AND ENDING 12/31/25 | | | | | Filing for the period beginning _01/01/25 | | MM/DD/YY | | | MM/DD/YY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF FIRM: The New PenFacs, Inc. | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>· Broker-dealer Security-based swap dealer<br>Check here if respondent is also an OTC derivatives dealer<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | [] Major security-based swap participant | | | | | 337 Turnpike Road, Suite 203 | | | | | | | | | | (No. and Street) | | | | | | Southborough | | MA | | 01772 | | | | (City) | | (State) | | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | Erik DeGregorio | 508-630-7042 | | | erik@penfacs.com | | | | (Name) | (Area Code - Telephone Number) | | | (Email Address) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>LMHS, P.C. | | | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | 80 Washington Street, Bldg. S Norwell | | | | MA | 02061 | | | (Address) | (City) | | 3373 | (State) | (Zip Code) | | | (Date of Registration with PCAOB)(if applicable) | | FOR OFFICIAL USE ONLY | | | (PCAOB Registration Number, if applicable) | | | * Claims for exemption from the requirement that the annual reports of an independent public | | | | | | | CFR 240.17a-5(e)(1)(ii), if applicable. Persons who a…Read the full text as markdown