Full text of HAITONG SECURITIES USA LLC's X-17A-5 filed 2022-03-29 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ ### HAITONG SECURITIES USA LLC STATEMENT OF FINANCIAL CONDITION AND REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM DECEMBER 31, 2021 {1}------------------------------------------------ ### UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ### ANNUAL REPORTS FORM X-17A-5 PART III FACING PAGE #### Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | REPORT FOR THE PERIOD BEGINNING 01/01/2021 | | AND ENDING | | |------------------------------------------------|--|------------|--| |------------------------------------------------|--|------------|--| MM/DD/YY MM/DD/YY #### A. REGISTRANT IDENTIFICATION NAME OF FIRM: Haitong Securities USA LLC TYPE OF REGISTRANT (check all applicable boxes): □Security-based swap dealer �Broker-dealer □ 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.) | 452 Fifth Avenue, 23" Floor | | | |----------------------------------------------|--------------------------------|--------------------------------| | | (No. and Street) | | | New York | NY | 10018 | | (City) | (State) | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | Sean Forbes | 212-351-6012 | HTUS.Sean.Forbes@us.htisec.com | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | B. Accountant Identification | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this filing\* #### Marks Paneth LLP | (Name - if individual, state last, first, middle name) | | | | |--------------------------------------------------------|-----------------------|---------|--------------------------------------------| | 685 Third Avenue | New York | NY | 10017 | | (Address) | (City) | (State) | (Zip Code) | | 10/20/2003 | | | 709 | | (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 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 contained in this form are not required to respond unless the form displays a currently valid OMB control number. OMB APPROVAL OMB…Read the full text as markdown