Full text of OTCEX, LLC's X-17A-5 filed 2024-03-28 (period 2023-12-31). 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: Nov. 30, 2026 Estimated average burden hours per response: 12 sec file number 8-69129 ## 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 | [II.ING FOR THE PERIOD BEGINNING 01/01/23 | | AND ENDING 12/31/23 | |-------------------------------------------|----------|---------------------| | | MM/DD/YY | MM/DD/YY | A. REGISTRANT IDENTIFICATION name of firm: OTCex, LLC TYPE OF REGISTRANT (check all applicable boxes): ■ 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 a P.O. box no.) # 608 5TH AVENUE, SUITE 602 | | (No. and Street) | | | |---------------------------------------------------------------|------------------------------------------------------------|-----------------|--------------------------------------------| | NEW YORK | NY | | 10020 | | (City) | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | KEITH GEORGE | 212-668-8700 | | KGEORGE@ACISECURE.COM | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | MAZARS USA LLP | (Name - if individual, state last, first, and middle name) | | | | 60 CROSSWAYS PARK DRIVE WEST, SUITE 301 WOODBURY | | NY | 11797 | | | (City) | (State) | (Zip Code) | | October 8, 2003 | | 339 | | | (Address)<br>(Date of Registration with PCAOB)(if applicable) | | | (PCAOB Registration Number, if applicable) | \* 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. {1}------------------------------------------------ #### OATH OR AFFIRMATION | 1. | MAHESH VITTAL | | | |----|---------------|--|--| |----|---------------|--|--| , swear (or affirm) that, to the best of my knowledge and belief, the financial report pertaining to the firm of OTCex, LLC , as of 12/31 2 023 , is true and corre…Read the full text as markdown