Risk Assessment Recordkeeping And Reporting Requirements For Associated Persons Of Brokers And Dealers (17 Cfr 240.1t And 17 Cfr 240.17h-2t)

RISK ASSESSMENT RECORDKEEPING AND REPORTING REQUIREMENTS FOR ASSOCIATED PERSONS OF BROKERS AND DEALERS (17 CFR 240.1T AND 17 CFR 240.17H-2T)

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Documents and Forms

Document Name Document Type

no available documents/forms check other ICs listed under this ICR

Information Collection (IC) Details

IC Title:	RISK ASSESSMENT RECORDKEEPING AND REPORTING REQUIREMENTS FOR ASSOCIATED PERSONS OF BROKERS AND DEALERS (17 CFR 240.1T AND 17 CFR 240.17H-2T)	Agency IC Tracking Number:

Is this a Common Form? No		IC Status: Migrated

Obligation to Respond: Mandatory

CFR Citation:

Information Collection Instruments:

Document Type	Form No.	Form Name	Instrument File	URL	Available Electronically?	Can Be Submitted Electronically?	Electronic Capability
Form	FORM 17-H				No	No

Line of Business:

Subfunction:

Privacy Act System of Records
Title:	FR Citation:

Number of Respondents: 250	Number of Respondents for Small Entity: 0

Affected Public: Private Sector	Private Sector: Businesses or other for-profits

Percentage of Respondents Reporting Electronically: 0 %

	Approved	Program Change Due to Agency Discretion
Annual Number of Responses for this IC	1,000	1,000
Annual IC Time Burden (Hours)	6,000	6,000
Annual IC Cost Burden (Dollars)	0	0

Documents for IC

Title	Document	Date Uploaded

Blank fields in records indicate information that was not collected or not collected electronically prior to July 2006.