Rule 17h-2T (quarterly risk assessment reports & annual financial statements)

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: 259761

Information Collection (IC) Details

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Rule 17h-2T (quarterly risk assessment reports & annual financial statements)
 
No New
 
Mandatory
 
17 CFR 249.328T

Document Type Form No. Form Name Instrument File URL Available Electronically? Can Be Submitted Electronically? Electronic Capability
Form and Instruction Form 17-H Form 17-H Form17-H (proposed revision).pdf Yes No Fillable Fileable Signable

Economic Development Financial Sector Oversight

 

245 9
   
Private Sector Businesses or other for-profits
 
   100 %

  Requested 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 1,225 0 1,225 0 0 0
Annual IC Time Burden (Hours) 3,430 0 3,430 0 0 0
Annual IC Cost Burden (Dollars) 0 0 0 0 0 0

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