Information Collection

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

IC 43011 under ICR 202111-3235-014 · OMB 3235-0410.

⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 3235-0410 can be found here:

Documents and Forms

Documents and forms in this information collection
Document Name	Document Type
Form 2332 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	Form and Instruction
2332 17-H form17-h.pdf www.sec.gov/files/form17-h.pdf	Form and Instruction
2332 17-H form17-h.pdf www.sec.gov/files/form17-h.pdf	Form and Instruction
SEC SORN.pdf SEC -70 SORN	IC Document
SEC SORN.pdf SEC -70 SORN	IC Document
EDGAR PIA 2016.pdf edgar PIA	IC Document
EDGAR PIA 2016.pdf edgar PIA	IC Document

Information Collection (IC) Details

View Information Collection (IC)

IC Title:

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

Agency IC Tracking Number:

Is this a Common Form? No

IC Status: Modified

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 240.17h-2T 17 CFR 240.17h-1T

Information Collection Instruments:

table that charts list of instruments
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

Federal Enterprise Architecture Business Reference Module

Line of Business: Economic Development

Subfunction: Financial Sector Oversight

Privacy Act System of Records

Title: Division of Trading and Markets Records

FR Citation: 83 FR 6892

Number of Respondents: 235

Number of Respondents for Small Entity: 0

Affected Public: Private Sector

Private Sector: Businesses or other for-profits

Percentage of Respondents Reporting Electronically: 88 %

table that charts list of burden
	Approved	Change Due to Adjustment in Agency Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses for this IC	235	-50	285
Annual IC Time Burden (Hours)	5,640	-1,200	6,840
Annual IC Cost Burden (Dollars)	0	0	0

Documents for IC

table that charts IC Documents
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.