Full text of IOI CAPITAL AND MARKETS, LLC's X-17A-5/A filed 2024-02-28 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ | UNITED STATES | | | | 0MB APPROVAL | | |---------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------|---------------------------------------|---------------------------|--------------------------------------------|--| | SECURITIES AND EXCHANGE COMMISSION | | | 0MB Number: 3235-0123 | | | | Washington, D.C. 20549 | | | Expires: Nov. 30, 2026 | | | | | | | Estimated average burden | | | | | | | hours per response: 12 | | | | | ANNUAL REPORTS | | | | | | FORM X-17A-5 | | | | SEC FILE NUMBER | | | PART Ill | | | | 8-70045 | | | | FACING PAGE | | | | | | | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | | | ___<br>REPORT FOR THE PERIOD BEGINNING<br>01/01/2023<br>AND EN DI NG_---=-c12=-/-'-31=/-=2-'---'02=3<br>_<br>MM/DD/VY<br>MM/DD/VY | | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF FIRM: IOI Capital and Markets LLC | | | | | | | TYPE OF REGISTRANT (check all applicable boxes): | | | | | | | ~Broker-dealer | Security-based swap dealer | Major security-based swap participant | | | | | □ Check here if respondent is also an OTC derivatives dealer | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | | | | | | | 8 Greenway Plaza, Suite 1515 | | | | | | (No. and Street) | | | | | | Houston | TX | | | 77046 | | | (City) | | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | Rashad Kurbanov | 832-426-4242 | | rashad_kurbanov@iownit.us | | | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | | BF Borgers CPA PC | | | | | | | | (Name - if individual, state last, first, middle name) | | | | | | 5400 W Cedar Ave | | co | | 80226 | | | (Address) | (City) | (State) | | (Zip Code) | | | 05/11/2010 | | 5041 | | | | | (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…Read the full text as markdown