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

Rule 17h-1T requires a broker-dealer to maintain and preserve records regarding the financial and securities activities, and other information concerning the holding company, affiliates and subsidiaries of the broker-dealer that are reasonably likely to have a material impact on the financial or operational condition of the broker-dealer. Rule 17h-2T requires a broker-dealer to file with the Commission quarterly reports and a cumulative year-end report concerning the information required to be maintained and preserved under Rule 17h-1T.

The latest form for 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 expires 2022-02-28 and can be found here.

Latest Forms, Documents, and Supporting Material

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

All Historical Document Collections

202303-3235-032 Comment filed on proposed rule and continue	Revision of a currently approved collection	2023-04-19
202206-3235-023 Approved without change	Extension without change of a currently approved collection	2022-09-13
202111-3235-014 Approved without change	Reinstatement with change of a previously approved collection	2022-04-03
201810-3235-017 Approved without change	Extension without change of a currently approved collection	2018-12-21
201504-3235-004 Approved without change	Extension without change of a currently approved collection	2015-11-10
201205-3235-002 Approved without change	Extension without change of a currently approved collection	2012-09-24
200906-3235-009 Approved without change	Revision of a currently approved collection	2009-09-01
200610-3235-003 Approved without change	Extension without change of a currently approved collection	2006-10-17
200406-3235-021 Approved without change	No material or nonsubstantive change to a currently approved collection	2004-06-17
200405-3235-010 Approved without change	No material or nonsubstantive change to a currently approved collection	2004-05-17
200401-3235-007 Approved without change	Revision of a currently approved collection	2004-01-21
200309-3235-006 Approved without change	Extension without change of a currently approved collection	2003-09-15
200006-3235-014 Approved without change	Extension without change of a currently approved collection	2000-06-28
199708-3235-005 Approved without change	Extension without change of a currently approved collection	1997-08-18
199409-3235-001 Approved without change	Revision of a currently approved collection	1994-09-01
199110-3235-007 Approved without change	New collection (Request for a new OMB Control Number)	1991-10-01