Full text of RACE ROCK CAPITAL LLC's X-17A-5 filed 2023-02-17 (period 2022-12-31). 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 OMB APPROVAL OMB Number: 3235-0123 Expires: Oct. 31, 2023 E h # ANNUAL REPORTS FORM X-17A-5 PART III | AU11621 UUL. JL, LVG2<br>stimated average burden | | |--------------------------------------------------|--| | ours per response:<br>12 | | | SEC FILE NUMBER | | | 8-68528 | | | | | | | 01/01/2022 | | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934<br>12/31/2022 | | | | |----------------------------------------------------------------------------------------------------|------------------------------------------------------------------------|-----------------|-------------------------------------------------------------------------------------------------------------------------|--------------------------------------------|--|--| | FILING FOR THE PERIOD BEGINNING | | AND ENDING | | | | | | | MM/DD/YY | | | MM/DD/YY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | NAME OF FIRM: | RACE ROCK CAPITAL LLC | | | | | | | TYPE OF REGISTRANT (check all applicable boxes): | | | | | | | | Broker-dealer<br>Check here if respondent is also an OTC derivatives dealer | L Security-based swap dealer _ _ Major security-based swap participant | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.)<br>7 WAINWRIGHT ROAD, UNIT #99 | | | | | | | | | (No. and Street) | | | | | | | WINCHESTER | | MA | | 01890 | | | | (City) | | (State) | | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | KIMBERLY NEELY | 978-270-5055 | | | kimberlyneely22@gmail.com | | | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>MICHAEL T. REMUS CPA | | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | PO BOX 2555 | | HAMILTON SQUARE | NJ | 08690 | | | | (Address)<br>02/23/10 | (City) | 3598 | (State) | (Zip Code) | | | | (Date of Registration with PCAOB)(if applicable) | | | | (PCAOB Registration Number, if applicable) | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | Persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. {1}-------------------------------------…Read the full text as markdown