# OCTAURA SECURITIES TRADINGCO LLC X-17A-5 (2026-03-20) — Broker-dealer annual report - Company: OCTAURA SECURITIES TRADINGCO LLC - Form: X-17A-5 - Filed: 2026-03-20 - Period: 2025-12-31 - Accession: 0001931036-26-000001 - CIK: 1931036 - File #: 8-70933 - Type: Broker-dealer - Material weakness: No - Auditor: Citrin Cooperman & Company LLP - Auditor location: New York, NY - Contact: Joseph Lodato - Phone: 917-748-7055 - Signed by: Joseph Lodato (Chief Compliance Officer) Original filing: https://www.sec.gov/Archives/edgar/data/1931036/000193103626000001/2025_financial_870933.pdf --- {0}------------------------------------------------ (A Limited Liability Company) Year Ended December 31, 2025 (With Report of Inde {1}------------------------------------------------ | | 1-2 | |----------------------------------------------|-----| | | | | | 3 | | | 4 | | Statement of Changes in Member's Equity | 5 | | Statement of Cash | 6 | | | 7-9 | | | | | pursuant to Rule 15c3- | 10 | | | 11 | | or control requirements under SEC Rule 15c3- | | | | 12 | | Rule 15c3- | 13 | {2}------------------------------------------------ ![](_page_2_Picture_0.jpeg) Citrin Cooperman & Company, LLP Certified Public Accountants 50 Rockefeller Plaza New York, NY 10020 T 212.697.1000 F 212.202.5107 citrincooperman.com ## REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Member Octaura Securities TradingCo LLC ### Opinion on the Financial Statements We have audited the accompanying statement of financial condition of Octaura Securities TradingCo LLC as of December 31, 2025, and the related statements of operations, changes in member's equity, and cash flows for the year then ended, and the related notes (collectively referred to as the "financial statements"). In our opinion, the financial statements present fairly, in all material respects, the financial position of Octaura Securities Trading Co LLC as of December 31, 2025, and the results of its operations and its cash flows for the year then ended in conformity with accounting principles generally accepted in the United States of America. ### Basis for Opinion These financial statements are the responsibility of Octaura Securities Trading Co LLC's management. Our responsibility is to express an opinion on Octaura Securities TradingCo LLC's financial statements based on our audit. We are a public accounting firm registered with the Public Company Accounting Oversight Board (United States) ("PCAOB") and are required to be independent with respect to Octaura Securities Trading Co LLC in accordance with the U.S. federal securities laws and the applicable rules and regulations of the Securities and Exchange Commission and the PCAOB. We conducted our audit in accordance with the standards of the PCAOB. Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements ate free of material misstatement, whether due to error or fraud. Our audit included performing procedures to assess the risks of material misstatement of the financial statements, whether due to error or fraud, and performing procedures that respond to those risks. Such procedures included examining, on a test basis, evidence regarding the amounts and disclosures in the financial statements. Our audit also included evaluating the accounting principles used and significant estimates made by management, as well as evaluating the overall presentation of the financial statements. We believe that our audit provides a reasonable basis for our opinion. "Citin Cooperman" is the brand under which Cooperman & Company, L.P, a licensed independent CPA firm, and Citin Cooperman Advisors I.I.C serve diens' business needs. The two firms operate as separate structure. The entities of Citin Cooperman & Company, LLP and Citin Cooperman Advisors LLC are independent member firms of the More North America, Inc. (MNA) Association, which is isself a regional member of Moore Global Nework Limied (MGN).) All the firms assocated with MNA are independentities. Ther mentership in, or association with, MNA should not be construct as constituting or implying any partnership between them. {3}------------------------------------------------ ![](_page_3_Picture_0.jpeg) ### Auditor's Report on Supplemental Information The supplemental information contained in Schedules I and II has been subjected to audit procedures performed in conjunction with the audit of Octaura Securities Trading Co LLC's financial statements. The supplemental information is the responsibility of Octaura Securities TradingCo LLC's management. Our audit procedures included determining whether the supplemental information reconciles to the financial statements or the underlying accounting and other records, as applicable, and performing procedures to test the completeness and accuracy of the information presented in the supplemental information. In forming our opinion on the supplemental information, we evaluated whether the supplemental information, including its form and content, is presented in conformity with 17 C.F.R. (240.17a-5. In our opinion, the supplemental information contained in Schedules I and II is fairly stated, in all material respects, in relation to the financial statements as a whole. We have served as Octaura Securities TradingCo LLC's auditor since 2023. New York, New York March 19, 2026 "Citin Cooperman" is the brand under which Cooperman & Company, J.I.P, a licensed independent CPA firm, and Citin Cooperman Advisors I.I.C serve dens' business recess. The two firms operate as separate in an alternative practice stucture. The entities of Citin Cooperman & Company, LLP and Citin Cooperman Advisors L.C are independent member firms of the M.N.) Associon, which is issel a regonal menber of More Global Network Limited (MGN).). M the firms associted with MN/ are independently over and managed entities. Ther membership with, MVA should not be construct as constituting or implying any partnership between them. {4}------------------------------------------------ | 5 | | |---------------|--------------| | | | | Cash | \$10,140,325 | | | 11,318 | | Other Assets | 953 | | | \$
6 | | | | | Due to Member | \$7,286,046 | | | 86 | | | 866 | | | | See accompanying notes to the s. {5}------------------------------------------------ | \$11,318 | | |-----------|--| | 265,286 | | | 276,604 | | | | | | 2,720,656 | | | 893,074 | | | 264,565 | | | 255,706 | | | 166,337 | | | 97,579 | | | | | | (\$ | | | | | See accompanying notes to the . {6}------------------------------------------------ # Octaura Securities TradingCo LLC (A Limited Liability Company) # Statement of Changes in Member's Equity for the year ended december 31, 2025 | Balance - January 1, 2025 | \$987,863 | |-----------------------------------|--------------------------| | Capital Contributions
Net loss | 6,000,000
(4,121,313) | | Balance - December 31, 2025 | \$2,866,550 | See accompanying notes to the financial statements. {7}------------------------------------------------ | | 5 | | |-------------------------------------------------------|---------------|--| | a | | | | Net loss | (\$4,121,313) | | | Adjustments to reconcile net loss to
net cash
: | | | | | | | | Accounts
ble | (11,318) | | | Due to member | 4,382,881 | | | Other assets | 8,036 | | | | | | | a | | | | | 6,000,000 | | | a | | | | Net increase in cash | 6,258,286 | | | | 3,882,039 | | | Cash, beginning of year | | | See accompanying notes to the . {8}------------------------------------------------ - . The Company is a registered broker-dealer and is a member of both , Inc. . The Company operates an electronic trading system . As a limited liability company, the Member is not liable s of the Company ha s ounts at the date of the s -step The Company facilitates -dealer clients. The Company earns and pricing schedule. Interest income is accrued as it is earned. manage . {9}------------------------------------------------ The Company considers factors such as historical experience, credit quality, age of balances and current and future for credit losses. The Company has no current expected losses and thus, no corded as of December 31, 2025. - thus does 5. 5. date based interest such amounts in tax expense and income taxes payable. The Company engaged in a single line of business as a broker-CLOs. decision maker ("CODM") , predominately in the the CODM uses taining capital adequacy. The Company's o measure The segment net income (loss), As of December 31, 2025, t {10}------------------------------------------------ # S 5 limit of \$250,000. The Company's uninsured amount at December 31, 2025 9,890,325. The credit risk on cash. Pursuant to an expense sharing agreement , the Company reimburses the Member for allocated salaries, rent and certain other expenses paid for by the Member. These are updated periodically, and determined based on percentages ended December 31, 2025, \$4,382,881 of expenses ere allocated from the Member. 893,074 of Technology, \$240,670 of 97,579 166,337 of Rent and Occupancy, and \$264,565 of General At December 31, 2025, \$7,286,046 due to the Member. The Company incurred a loss for the period ended December 31, 2025. The Member has represented that they through at least one year subsequent to the date of the report of the independent and the accompanying - the Company ceases The Company is subject to the Rule 15c3-1 (the "Rule"). Company is 6 of aggregate indebtedness. At December 31, 2025 \$2,854,279 capital of \$485,736 or 6 of aggregate indebtedness by \$2,368,543. Aggregate indebtedness at December 31, 2025, totaled \$7,286,046 255.27%. The Company may be subject to claims and of no since December 31, 2025 , and determined that there are no material . {11}------------------------------------------------ | \$
866 | | |-----------|--| | 12,271 | | | \$ | | | 485,736 | | | | | | 7,286,046 | | | 255.27% | | | 5,000 | | | \$485,736 | | | | | March 16, 2026. {12}------------------------------------------------ # Octaura Securities TradingCo LLC (A Limited Liability Company) # Schedule II Computation for determination of reserve requirements and information relating to possession or control requirements under SEC Rule 15c3-3 of the Securities and Exchange Commission FOR THE YEAR ENDED DECEMBER 31, 2025 The Company's business activities are limited to operating an electronic trading system that facilitates transactions in collateralized loans obligations (CLOs) and the Company (1) did not directly receive, hold, or otherwise owe funds or securities for or to customers; (2) did not carry accounts of or for customers; and (3) did not carry PAB accounts (as defined in SEC Rule 15c3-3) throughout the most recent fiscal year without exception. Accordingly, the Company has no obligations under SEC Rule 15c3-3. {13}------------------------------------------------ ![](_page_13_Picture_0.jpeg) Citrin Cooperman & Company, LLP Certified Public Accountants 50 Rockefeller Plaza New York, NY 10020 T 212.697.1000 F 212.202.5107 citrincooperman.com ### REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Member Octaura Securities TradingCo LLC We have reviewed managements, included in the accompanying Exemption Report pursuant to SEC Rule 17a-5, in which (1) Octaura Securities Trading Co LLC did not claim an exemption under paragraph (k) of 17 C.F.R. §240.15c3-3, and (2) Octaura Securities TradingCo LLC is filing this Exemption Report relying on Footnote 74 of the SEC Release No. 34-70073 adopting amendments to 17 C.F.R. § 240.17a-5 because Octaura Securities TradingCo LLC limits its business activities to operating an electronic trading system that facilitates transactions in collateralized loans obligations (CLOs) and the Company; (1) did not directly or indirectly receive, hold, or otherwise owe funds or securities for or to customers, (2) did not carry accounts of or for customers, and (3) did not carry PAB accounts (as defined in Rule 15c3-3) throughout the most recent fiscal year without exception. Octaura Securities Trading Co LLC's management is responsible for compliance with the provisions contemplated by Footnote 74 of SEC Release No. 34-70073 adopting amendments to 17 C.F.R. § 240.17a-5 and related SEC Staff Frequently Asked Questions and its statements. Our review was conducted in accordance with the standards of the Public Company Accounting Oversight Board (United States) and, accordingly, included inquiries and other required procedures to obtain evidence about Octaura Securities Trading Co LLC's compliance with the exemptions. A review is substantially less in scope than an examination, the objective of which is the expression of an opinion on management's statements. Accordingly, we do not express such an opinion. Based on our review, we are not aware of any material modifications that should be made to management's statements referred to above for them to be fairly stated, in all material respects, based upon Octaura Securities Trading Co LLC's business activities contemplated by Footnote 74 of the SEC Release No. 34-70073 adopting amendments to 17 C.F.R. § 240.17a-5, and related SEC Staff Frequently Asked Questions. New York, New York March 19, 2026 "Citin Cooperman" is the brand under which Cooperman & Company, J.I.P, a licensed independent CPA firm, and Citin Cooperman Advisors LLC serve dients' business needs. The two firms operate as separate in an alternative practices of Citin Cooperman & Company, I.I.P and Citin Cooperman Advisors LLC are independent member firms of the MNA) Associon, which is issel a regonal member of Moore Global Network Limited (MGN).). All the firms associted with MN/ are independently over and managed entities. Ther membership with, MN/1 should not be construct as constituting or implying any partnership between them. {14}------------------------------------------------ # Octaura Securities TradingCo LLC Rule 15c3-3 Exemption Report Octaura Securities TradingCo LLC (the "Company") is a registered broker-dealer subject to Rule 17a-5 promulgated by the Securities and Exchange Commission (17 C.F.R. §240.17a-5, "Reports to be made by certain brokers and dealers"). This Exemption Report was prepared as required by 17 C.F.R. § 240.17a-5(d)(1) and (4). To the best of our knowledge and belief, we state the following: - 1) The Company does not claim an exemption under paragraph (k) of 17 C.F.R. § 240 15c3-3, and - 2) The Company is filing this Exemption Report relying on Footnote 74 of the SEC Release No. 34-70073 adopting amendments to 17 C.F.R. § 240.17a-5 because the Company limits its business activities to operating an electronic trading system that facilitates transactions in collateralized loans obligations (CLOs); and the Company (1) did not directly or indirectly receive, hold, or otherwise owe funds or securities for or to customers; (2) did not carry accounts of or for customers; and (3) did not carry PAB accounts (as defined in Rule 15c3-3) throughout the most recent fiscal year without exception. Octaura Securities TradingCo LLC I, Jason Cohen, swear (or affirm) that, to my best knowledge and belief, this Exemption Report is true and correct. -DocuSianed by: Jason (ohen By: ้านี้เคิดให้กับอีกด้วย Title: Chief Operating Officer Date: March 19, 2026 Source: SEC EDGAR via Adviser Search (https://search.stillhousedata.com). Agents: see https://search.stillhousedata.com/llms.txt.