Full text of EMU SECURITIES LLC's X-17A-5 filed 2020-02-21 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ Financial Statements and Supplementary Schedules Pursuant to Rule 17a-5 under the Securities Exchange Act of 1934 December 31, 2019 {1}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 0MB APPROVAL 0MB Number: 3235-0 123 Expires: August 31, 2020 Estimated average burden hours per response . .. 12.00 8-69725 SEC FILE NUMBER ### **ANNUAL AUDITED REPORT FORM X-17A-5 PARTIIl** #### **FACING PAGE** **Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | REPORT FOR THE PERIOD BEGINNfNG | -~<br>O~l~/0~1~1~9 /<br>MM/DD/YY | ___<br>AND ENDING | 12/3<br>1/19<br>MM/DD/YY | |--------------------------------------------------------------------------|--------------------------------------------------------|-------------------|--------------------------------| | | A. REGISTRANT IDENTIFICA TIO | | | | ~ DEALER:<br>NAME OF BROKER | | | | | EMU Securities LLC | | | OFFICIAL USE ONLY | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM ID. NO. | | | 39 Broadway -<br>Suite 3300<br>(No. and Street) | | | | New York | NY | | 10006 | | (City) | (State) | | (Zip Code) | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | | | Fredric Obsbaum | | | (212) 509-7800 | | | | | (Area Code -<br>Telephone No.) | | | B. ACCOUNT ANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | YSL & Associates LLC | | | | | (Name - if individual, state last, first, middle name) | | | | 11 Broadway Suite 700 | New York | NY | 10004 | | (Address) | (City) | (State) | (Zip Code) | | CHECK ONE: | | | | | [!] Certified Public Accountant | | | | | D<br>Public Accountant | | | | | D<br>Accountant not resident in United States or any of its possessions. | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | *\*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See section 240. I 7a-5(e)(2).SEC* 1410 (3-91) {2}------------------------------------------------ # **EMU Securities LLC TABLE OF CONTENTS** #### **This** report\*\* contains (check all applicable boxes): - **[x]** Report of Independent Registered Public Accoun…Read the full text as markdown