OMB.report

Federal forms, ICRs, and supporting documents

OMB control number

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 · SEC.

OMB 3235-0410

Rule 17h-1T requires a covered 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 covered 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 2029-01-31 and is listed under ICR 202509-3235-002.

Latest Forms, Documents, and Supporting Material

Latest forms, documents, and information collections
DocumentType
Form SEC 2332 17-HForm and Instruction
Form SEC 2332 Rule 17h-1T & Rule 17h-2TForm and Instruction
Form SEC 2332 Form 17-HForm and Instruction
Form SEC 2332 2024 Amendments to require filing Form 17-H in Inline XBRL – Ongoing BurdenForm and Instruction
Form Form 17-H Form 17-HForm 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 Form 17-HForm and Instruction
Form Form 17-H Rule 17h-2T (quarterly risk assessment reports & annual financial statements)Form and Instruction
3235-0410 Supporting Statement, (2025 Extension).pdfSupporting Statement A
20251124_3235-0410_2025-20739_90 FR 53015_30-Day Submission Notice.pdf.pdfSupplementary Document
20251124_3235-0410_2025-20739_90 FR 53015_30-Day Submission Notice.pdf.pdf Supplementary Document
XBRL US Ltr RE SEC Agency Information Collection on Extension Rules 17h-1T and 17h-2T.pdfPublic Comments
20250912_3235-0410_2025-17590_90 FR 44277_60-Day Collection Notice.pdfSupplementary Document
20250912_3235-0410_2025-17590_90 FR 44277_60-Day Collection Notice.pdf Supplementary Document
Rule 17h-1T & Rule 17h-2T Form and Instruction
Rule 17h-1T & Rule 17h-2T Form and Instruction
2024 Amendments to require filing Form 17-H in Inline XBRL – Ongoing Burden Form and Instruction
2024 Amendments 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-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
Rule 17h-2T (quarterly risk assessment reports & annual financial statements) Form and Instruction

All Historical Document Collections

Historical document collections
ReferenceFilingReceivedConcludedAction
202509-3235-002 Extension without change of a currently approved collection 2025-11-24
202501-3235-027 Revision of a currently approved collection 2025-06-17
202303-3235-032 Revision of a currently approved collection 2023-04-19 Comment filed on proposed rule and continue
202206-3235-023 Extension without change of a currently approved collection 2022-09-13 Approved without change
202111-3235-014 Reinstatement with change of a previously approved collection 2022-04-03 Approved without change
201810-3235-017 Extension without change of a currently approved collection 2018-12-21 Approved without change
201504-3235-004 Extension without change of a currently approved collection 2015-11-10 Approved without change
201205-3235-002 Extension without change of a currently approved collection 2012-09-24 Approved without change
200906-3235-009 Revision of a currently approved collection 2009-09-01 Approved without change
200610-3235-003 Extension without change of a currently approved collection 2006-10-17 Approved without change
200406-3235-021 No material or nonsubstantive change to a currently approved collection 2004-06-17 Approved without change
200405-3235-010 No material or nonsubstantive change to a currently approved collection 2004-05-17 Approved without change
200401-3235-007 Revision of a currently approved collection 2004-01-21 Approved without change
200309-3235-006 Extension without change of a currently approved collection 2003-09-15 Approved without change
200006-3235-014 Extension without change of a currently approved collection 2000-06-28 Approved without change
199708-3235-005 Extension without change of a currently approved collection 1997-08-18 Approved without change
199409-3235-001 Revision of a currently approved collection 1994-09-01 Approved without change
199110-3235-007 New collection (Request for a new OMB Control Number) 1991-10-01 Approved without change

OMB Details

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

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight

Information collection instruments
FormNameElectronic accessType
Form SEC 233217-Hwww.sec.gov/about/forms/secforms.htmForm and instruction

Review document collections for all forms, instructions, and supporting documents - including paper/printable forms.