Full text of HUATAI SECURITIES (USA), INC.'s X-17A-5 filed 2022-04-01 (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 OMB APPROVAL OMB Number: 3235-0123 Expires: October 31, 2023 Estimated average burden hours per resPonse ... 12.00 SEC FILE NUMBER 8 - 70231 ### **ANNUAL AUDITED REPORT FORM X-17 A-5 PART Ill** | | FACING PAGE<br>Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | |---------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------|-------------------------------|-------------------------------------------|--|--| | | | | | | | | REPORT FOR THE PERIOD BEGINNI G | ____<br>0_1_/0_1_12_0_2_1 | ____<br>AND E DING | ___<br>____<br>1_21_3_1_12_0_21 | | | | | MM/DD/YYYY | | MM/DD/YYYY | | | | | A. REGISTRANT IDENTIFICATION | | | | | | AME OF FIRM: | | Huatai Securities (USA), Inc. | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>0 Security-based swap dealer<br>X Broker-dealer<br>0 Check here if respondent is also an OTC derivatives dealer | 0 Major security-based swap participant | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | | | | | 10 HUDSON YARDS, 41ST FLOOR | | | | | | | (No. and Street) | | | | | | NEW YORK | NY | | 10001 | | | | (City) | (State) | | (Zip Code) | | | | PERSON TO CO TACT WITH REGARD TO THIS FILING | | | | | | | (Name) | (Area Code -- Telephone No.) | (Email Address) | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | INDEPE DENT PUBLIC ACCOUNTANT whose reports are contained in this tiling* | | | | | | | Citrin Cooperman & Company, LLP | | | | | | | (Name - if individual. state last. first. and middle name) | | | | | | 50 Rockefeller Plaza | New York | NY | 10020 | | | | (Address) | (City) | (State) | (Zip Code) | | | | 11/ 2/2005 | | | 2468 | | | | (Date of Registration with PCAOB)(if applicable) | | | (PCAOB Registration umber, 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 acco11111am 11111s1 be s11ppor1ed by a s1a1e111el/f of fac1s and circ11111s1ances relied 011 as 1he basis of 1he exemp1io11. See* 17 CFR 240. I 7a-5(e)(l}{il), if appllcable. Persons who ar…Read the full text as markdown