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

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.

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Extension without change of a currently approved collection 2022-09-13
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Reinstatement with change of a previously approved collection 2022-04-03
Approved without change
Extension without change of a currently approved collection 2018-12-21
Approved without change
Extension without change of a currently approved collection 2015-11-10
Approved without change
Extension without change of a currently approved collection 2012-09-24
Approved without change
Revision of a currently approved collection 2009-09-01
Approved without change
Extension without change of a currently approved collection 2006-10-17
Approved without change
No material or nonsubstantive change to a currently approved collection 2004-06-17
Approved without change
No material or nonsubstantive change to a currently approved collection 2004-05-17
Approved without change
Revision of a currently approved collection 2004-01-21
Approved without change
Extension without change of a currently approved collection 2003-09-15
Approved without change
Extension without change of a currently approved collection 2000-06-28
Approved without change
Extension without change of a currently approved collection 1997-08-18
Approved without change
Revision of a currently approved collection 1994-09-01
Approved without change
New collection (Request for a new OMB Control Number) 1991-10-01

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