Clarkeson Research Inc. – ‘X-17A-5’ for 12/31/15 – ‘MAT INADEQ RPT’

On:  Thursday, 2/25/16, at 11:30am ET   ·   Effective:  2/25/16   ·   For:  12/31/15   ·   Accession #:  1396610-16-3   ·   File #:  8-67612

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Annual Financial Report by a Broker-Dealer   —   Form X-17A-5
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: X-17A-5     Annual Financial Report by a Broker-Dealer --       HTML      8K 
                          primary_doc.xml                                        
 9: STMT FIN COND  Statement of Financial Condition --               PDF    187K 
                          stmtfincond1                                           
10: STMT FIN COND NOTES  Notes to Statement of Financial Condition   PDF   1.46M 
                          -- stmtfincondnotes1                                   
11: STMT INCOME  Statement of Income -- stmtincome1                  PDF    163K 
 7: STMT CASH FLOW  Statement of Cash Flows -- stmtcashflow1         PDF    201K 
 8: STMT CHG SH EQY  Statement of Changes in Stockholders',          PDF    143K 
                          Partners' or Sole Proprietors' Equity --               
                          stmtchgsheqy1                                          
 6: COMP NET CAP  Computation of Net Capital -- compnetcap1          PDF    233K 
 3: ACCT RPT FIN RPT  Accountant's Report re: Examination of         PDF    628K 
                          Financial Report or Financial Statements               
                          -- acctrptfinrpt1                                      
 4: ANC/OTC AGD PROC  Supplemental Report re: Applying Agreed-Upon   PDF    572K 
                          Procedures for Computing Certain Capital               
                          Charges for OTC Derivatives Dealers --                 
                          ancotcagdproc1                                         
12: MAT INADEQ RPT  Report (or Statement) re: Material               PDF    131K 
                          Inadequacies Found (or Not) Since the                  
                          Date of the Previous Audit --                          
                          matinadeqrpt1                                          
 5: OTHER       Assertions Regarding Exemption Provisions --         PDF    291K 
                          assertions1                                            
 2: OTHER       Report of Independent Registered Public Accounting   PDF    369K 
                          Firm -- acctrptexemprpt1                               

MAT INADEQ RPT   —   Report (or Statement) re: Material Inadequacies Found (or Not) Since the Date of the Previous Audit — matinadeqrpt1

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