Full text of CVC FUNDING, LLC's X-17A-5 filed 2022-02-14 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITED STATES** OMB Number: 3235-0123 **SECURITIES AND EXCHANGE COMMISSION** Expires: October 31, 2023 **Washington, D.C. 20549** Estimated average burden | OMB APPROVAL | | | | |--------------------------|--|--|--| | | | | | | | | | | | | | | | | hours per response 12.00 | | | | | | | | | | | | | | | | | | | ### **ANNUAL AUDITED REPORT** SEC FILE NUMBER **FORM X-17A-5 8 - 69650 PART III** | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | FACING PAGE | | | | | |---------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|-----------------|--------------------------------------------|--|--| | REPORT FOR THE PERIOD BEGINNING | 01/01/2021 | AND ENDING | 12/31/2021 | | | | | MM/DD/YYYY | | MM/DD/YYYY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF FIRM: | CVC FUNDING LLC | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>X Broker-dealer<br>☐ Security-based swap dealer<br>☐ Check here if respondent is also an OTC derivatives dealer | ☐ Major security-based swap participant | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | | | | | | 712 FIFTH AVE, 45TH FL<br>(No. and Street) | | | | | | NEW YORK | NY | | 10019 | | | | (City) | (State) | | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | (Name) | (Area Code -- Telephone No.) | (Email Address) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | | MAZARS USA LLP | | | | | | | (Name – if individual, state last, first, and middle name) | | | | | | 135 West 50th Street | New York | NY | 10020 | | | | (Address) | (City) | (State) | (Zip Code) | | | | 10/8/2003 | | | 339 | | | | (Date of Registration with PCAOB)(if applicable) | | | (PCAOB Registration Number, if applicable) | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | *\*Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-5(e)(1)(ii), if applicable.* *Persons who are to respond to the collection of information containe…Read the full text as markdown