Rule 17h-1T & Rule 17h-2T

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

Documents and Forms

Document Name Document Type
Form SEC 2332 Rule 17h-1T & Rule 17h-2T Form and Instruction
SEC 2332 17-H Form17-H (proposed revision).pdf www.sec.gov/about/forms/secforms.htm Form and Instruction
SEC 2332 17-H Form17-H (proposed revision).pdf www.sec.gov/about/forms/secforms.htm 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

IC Title:	Rule 17h-1T & Rule 17h-2T	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:

Document Type	Form No.	Form Name	Instrument File	URL	Available Electronically?	Can Be Submitted Electronically?	Electronic Capability
Form and Instruction	SEC 2332	17-H	Form17-H (proposed revision).pdf	http://www.sec.gov/about/forms/secforms.htm	Yes	Yes	Fillable Fileable Signable

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: 245	Number of Respondents for Small Entity: 0

Affected Public: Private Sector	Private Sector: Businesses or other for-profits

Percentage of Respondents Reporting Electronically: 100 %

	Requested	Program Change Due to Agency Discretion	Previously Approved
Annual Number of Responses for this IC	245	10	235
Annual IC Time Burden (Hours)	2,450	-3,190	5,640
Annual IC Cost Burden (Dollars)	0	0	0

Documents for IC

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.