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

ICR 202303-3235-032

OMB: 3235-0410

Federal Form Document

Forms and Documents

Document Name	Status
Form SEC 2332 Rule 17h-1T & Rule 17h-2T Form and Instruction	Modified
Form Form 17-H 2023 proposal to require filing Form 17-H in Inline XBRL – Ongoing Burden Form and Instruction	New
Form Form 17-H Rule 17h-1T – Initial Burden for new respondents (org chart & compliance program) Form and Instruction	New
Form Form 17-H Rule 17h-2T (quarterly risk assessment reports & annual financial statements) Form and Instruction	New
3235-0410 Supporting Statement (2023 Proposal).pdf Supporting Statement A	2023-04-18

IC Document Collections

IC ID	Document Title	Status
43011	Rule 17h-1T & Rule 17h-2T Form and Instruction	Modified
259763	2023 proposal to require filing Form 17-H in Inline XBRL – Ongoing Burden Form and Instruction	New
259762	Rule 17h-1T – Initial Burden for new respondents (org chart & compliance program) Form and Instruction	New
259761	Rule 17h-2T (quarterly risk assessment reports & annual financial statements) Form and Instruction	New