Full text of REGULUS FINANCIAL GROUP, LLC's X-17A-5 filed 2021-03-01 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # **FINANCIAL STATEMENTS** **FOR YEAR ENDED DECEMBER 31ST, 2020** {1}------------------------------------------------ ## **FINANCIAL STATEMENTS** ## **DECEMBER 31ST, 2020** #### **CONTENTS** | Annual Audited Report Form X-17a-5 Part III .…………………………….………… 3-4 | |-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| | Independent Auditor's Report .……………………………………………………………. 5-6 | | Statement of Financial Condition .……………………………………….…………….…… 7 | | Statement of Income .……………………………………………………………….…… 8 | | Statement of Changes in Members' Equity .………………………………….….……… 9 | | Statement of Cash Flows ……………….………………….……10 | | Notes to Financial Statements .…………………………………………………………. 11-18 | | Supplementary Schedules: | | Schedule I – Computation of Net Capital Under Rule 15c3-1 of the<br>Securities and Exchange Commission……………………………………… 20 | | Schedule II – Computation for Determination of Reserve Requirements<br>Under Rule15c3-3 of the Securities and Exchange Commission ………… 21 | | Schedule III – Information for Possession or Control Requirements<br>Under Rule15c3-3 of the Securities and Exchange Commission 22 | | Other Reports: | | Independent Registered Public Accounting Firm Report Required Under PCAOB<br>Attestation Standard No. 2 for a Broker-Dealer<br>Exempt from SEC Rule 15c3-3 ………………………………………………… 23 | | Regulus Financial Group, LLC Exemption Report ………………………………… 24 | | Independent Accountant's Agreed-Upon Procedures Report on<br>Schedule of Assessment and Payments .…………………………………. 25-26 | | Forms SIPC-7 – General Assessment Reconciliation .…………………………… 27-28 | {2}------------------------------------------------ UNITED STATES SECURITIES ANDEXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0123 Expires: October 31, 2023 Estimated average burden hours per response .. . . . . . 12.00 # ANNUAL AUDITED REPORT FORM X-17A-5 PART III | SEC FILE NUMBER | |-----------------| | 8-68275 | FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | AND ENDING 12/31/2020<br>REPORT FOR THE PERIOD BEGINNING 01/01/2020 | | | | |-----------------------------------------------------------------------------------------|--------------------------------------------------------|---------|-----------------------…Read the full text as markdown