Rule 17h-1T (17 CFR 240.17h-1T); Risk assessment record-keeping requirements for associated persons of brokers and dealers Rule 17h-2T (17 CFR 240.17h-2T); Risk assessment reporting requirement

Rule 17h-1T (17 CFR 240.17h-1T); Risk assessment record-keeping requirements for associated persons of brokers and dealers Rule 17h-2T (17 CFR 240.17h-2T); Risk assessment reporting requirement

OMB: 3235-0410

IC ID: 43011

Information Collection (IC) Details

View Information Collection (IC)

Rule 17h-1T (17 CFR 240.17h-1T); Risk assessment record-keeping requirements for associated persons of brokers and dealers Rule 17h-2T (17 CFR 240.17h-2T); Risk assessment reporting requirement
 
No Modified
 
Mandatory
 
17 CFR 240.17h-2T 17 CFR 240.17h-1T

Document Type Form No. Form Name Instrument File URL Available Electronically? Can Be Submitted Electronically? Electronic Capability
Form and Instruction 2332 17-H form17-h.pdf https://www.sec.gov/files/form17-h.pdf No   Fillable Printable

Economic Development Financial Sector Oversight

Division of Trading and Markets Records  83 FR 6892

285 0
   
Private Sector Businesses or other for-profits
 
   88 %

  Approved Program Change Due to New Statute Program Change Due to Agency Discretion Change Due to Adjustment in Agency Estimate Change Due to Potential Violation of the PRA Previously Approved
Annual Number of Responses for this IC 285 0 0 -21 0 306
Annual IC Time Burden (Hours) 6,840 0 0 -504 0 7,344
Annual IC Cost Burden (Dollars) 0 0 0 0 0 0

Title Document Date Uploaded
SEC -70 SORN SEC SORN.pdf 12/21/2018
edgar PIA EDGAR PIA 2016.pdf 12/21/2018
            Blank fields in records indicate information that was not collected or not collected electronically prior to July 2006.

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