Information Collection

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

IC 159622 under ICR 199409-3235-001 · OMB 3235-0410.

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Information Collection (IC) Details

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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	17-H				No	No
Form	2332				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	Previously Approved
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

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