Full text of TRC MARKETS LLC's X-17A-5 filed 2022-02-25 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ ### UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMBAPPROVAL OMB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 # **ANNUAL REPORTS FORM X-17A-5 PART Ill** SEC FILE NUMBER 8-69454 FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | FILING FOR THE PERIOD BEGINNING | _____<br>___<br>_.0 1, / 0--1,. / 2-0 2.-.l<br>MM/DD/VY | | AND ENDING 12/ 31/ 2021<br>MM/DD/VY | | |-----------------------------------------------------------------------------------------|------------------------------------------------------------|-----------------------------------------|--------------------------------------------|--| | | A. REGISTRANTIDENTIFICATION | | | | | NAME OF FIRM: TRC Markets LLC | | | | | | TYPE OF REGISTRANT (check all applicable boxes): | | | | | | ro er-dealer<br>D Check here if respondent is also an OTC derivatives dealer | D Security-based swap dealer | D Major security-based swap participant | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | 710 Johnnie Dodds Blvd, Suite 300 | | | | | | | (No. and Street) | | | | | Mt. Pleasant | SC | | 29464 | | | (City) | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Michael Ellman | (646) 541-3934 | mellman@tower-research.com | | | | (Name) | (Area Code-Telephone Number) | | (Email Address) | | | | B. ACCOUNTANTIDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>RSM US LLP | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | 30 South Wacker, Suite 3300 | New York | NY | 10017 | | | {Address) | (City) | (State) | (Zip Code) | | | 9/ 24/ 2003 | | 49 | | | | | | | (PCAOB Registration Number, if applicable) | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | CFR 240.17a-S(e)(l)(ii), if applicable. Persons w ho are t o respond t o t he collection of information contained in this form are not required to respond unless the form displays a currently valid OM B control number. {1}------------------------------------------------ ### **OATH OR AFFIRMATION** I, **Marci Wessels** , swear (or affirm) that, to the best of my knowledge and belief, the fin~ncial report pertaining to the firm of **TRC Markets LLC** as of **oebember 31. 2021** . is true and correct. I further swear (or affirm) that nei…Read the full text as markdown