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

⚠️ Notice: This information collection may be referencing outdated material. More recent filings for OMB 3235-0410 can be found here:

Documents and Forms

Document Name Document Type
Form 2332 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 Form and Instruction
2332 17-H form17-h.pdf www.sec.gov/files/form17-h.pdf Form and Instruction
SEC SORN.pdf SEC -70 SORN IC Document
EDGAR PIA 2016.pdf edgar PIA IC Document

Information Collection (IC) Details

View Information Collection (IC)

IC Title:	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	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	2332	17-H	form17-h.pdf	https://www.sec.gov/files/form17-h.pdf	No		Fillable Printable

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: 285	Number of Respondents for Small Entity: 0

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

Percentage of Respondents Reporting Electronically: 88 %

	Approved	Change Due to Adjustment in Agency Estimate	Previously Approved
Annual Number of Responses for this IC	285	-21	306
Annual IC Time Burden (Hours)	6,840	-504	7,344
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.