Full text of SDR CAPITAL MARKETS, INC.'s X-17A-5/A filed 2022-03-03 (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** **ANNUAL REPORTS** # **FORM X-17A-5** SEC FILE NUMBER 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 **8-69430** **FACING PAGE** **PART** Ill **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** | NG<br>O<br>O<br>G<br>G<br>FI<br>LI<br>F<br>R<br>TH<br>E<br>PE<br>RI<br>D<br>BE<br>IN<br>N<br>IN | 0<br>:.1/<br>_0l<br>./_2<br>0_2<br>_1 _<br>:.<br>_<br>_<br>_ | G<br>A<br>N<br>D<br>EN<br>D<br>IN<br>_<br>_ | 12_<br>/_3<br>1_/<br>_2<br>0_<br>2_<br>1 _<br>_<br>_<br>_<br>_ | | |----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------|----------------------------------------------------------------------------|--| | | M<br>M<br>/0<br>0/<br>YY | | M<br>M/<br>DD<br>/Y<br>Y | | | | A<br>. R<br>EG<br>IS<br>TR<br>A<br>NT<br>ID<br>EN<br>TI | FI<br>C<br>A<br>TI<br>O<br>N | | | | N<br>A<br>M<br>E<br>O<br>F<br>FI<br>R<br>M<br>S<br>_D_<br>R_C<br>_it_<br>al_<br>M_<br>: _<br>_a.<br>cp<br>a_r<br>_ | _k_<br>L_L<br>_C<br>et_<br>s,_<br>_<br>_<br>_<br>_<br>_ | _<br>_<br>_<br>_<br>_<br>_<br>_ | _<br>_<br>_<br>_<br>_<br>_<br>_<br>_<br>_ | | | TY<br>PE<br>O<br>F<br>RE<br>G<br>IS<br>TR<br>AN<br>T<br>(c<br>he<br>ck<br>ll<br>pl<br>a<br>ap<br>I<br>J<br>D<br>B<br>ke<br>de<br>al<br>S<br>it<br>ba<br>ro<br>r-<br>er<br>ec<br>ur<br>y-<br>Ch<br>if<br>k h<br>de<br>nt<br>is<br>lso<br>ec<br>er<br>e<br>re<br>sp<br>on<br>a<br>a<br>n | ic<br>ab<br>le<br>b<br>):<br>ox<br>es<br>d<br>d<br>le<br>se<br>sw<br>ap<br>ea<br>r<br>OT<br>C<br>de<br>riv<br>at<br>ive<br>s d<br>le<br>ea<br>r | D<br>M<br>aj<br>it<br>ba<br>o<br>r s<br>ec<br>ur<br>y- | d<br>tic<br>i<br>nt<br>se<br>sw<br>ap<br>p<br>ar<br>pa | | | AD<br>DR<br>ES<br>S<br>O<br>F<br>PR<br>IN<br>C<br>IP<br>A<br>L<br>PL<br>AC<br>E<br>O<br>F<br>BU | SI<br>NE<br>SS<br>: {<br>Do<br>ot<br>n<br>u<br>se<br>a | P<br>.O<br>. b<br>)<br>ox<br>n<br>o. | | | | P<br>kw<b…Read the full text as markdown