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.
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 can be found here.
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Form and Instruction |
Form and Instruction |
Form and Instruction |
Form and Instruction |
Form and Instruction |
Form and Instruction |
Supporting Statement A |
Supplementary Document |
Supplementary Document |
 XBRL US Ltr RE SEC Agency Information Collection on Extension Rules 17h-1T and 17h-2T.pdf (document unavailable)Public Comments |
Supplementary Document |
Rule 17h-1T & Rule 17h-2T Rule 17h-1T & Rule 17h-2T
Federal Enterprise Architecture: Economic Development - Financial Sector Oversight
| Form SEC 2332 | 17-H | www.sec.gov/about/forms/secforms.htm | Form and instruction |
Review document collections for all forms, instructions, and supporting documents - including paper/printable forms.