Rule 17h-2T (quarterly risk assessment reports & annual financial statements)

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

Documents and Forms

Document Name Document Type
Form Form 17-H Rule 17h-2T (quarterly risk assessment reports & annual financial statements) Form and Instruction
Form 17-H Form 17-H Form17-H (proposed revision).pdf Form and Instruction
Form 17-H Form 17-H Form17-H (proposed revision).pdf Form and Instruction

Information Collection (IC) Details

IC Title:	Rule 17h-2T (quarterly risk assessment reports & annual financial statements)	Agency IC Tracking Number:

Is this a Common Form? No		IC Status: New

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 249.328T

Information Collection Instruments:

Document Type	Form No.	Form Name	Instrument File	URL	Available Electronically?	Can Be Submitted Electronically?	Electronic Capability
Form and Instruction	Form 17-H	Form 17-H	Form17-H (proposed revision).pdf		Yes	No	Fillable Fileable Signable

Line of Business: Economic Development

Subfunction: Financial Sector Oversight

Privacy Act System of Records
Title:	FR Citation:

Number of Respondents: 245	Number of Respondents for Small Entity: 9

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

Percentage of Respondents Reporting Electronically: 100 %

	Requested	Program Change Due to Agency Discretion
Annual Number of Responses for this IC	1,225	1,225
Annual IC Time Burden (Hours)	3,430	3,430
Annual IC Cost Burden (Dollars)	0	0

Documents for IC

Title	Document	Date Uploaded
No associated records found

Blank fields in records indicate information that was not collected or not collected electronically prior to July 2006.