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

Forms and Documents

Document Name	Status
Form SEC 2332 Rule 17h-1T & Rule 17h-2T Form and Instruction	Modified
Form SEC 2332 2023 proposal to require filing Form 17-H in Inline XBRL – Ongoing Burden Form and Instruction	Modified
Form Form 17-H Rule 17h-1T – Initial Burden for new respondents (org chart & compliance program) Form and Instruction	Unchanged
Form Form 17-H Rule 17h-2T (quarterly risk assessment reports & annual financial statements) Form and Instruction	Modified
3235-0410 Supporting Statement (2025) Final.pdf Supporting Statement A	2025-06-16

IC Document Collections

IC ID	Document Title	Status
43011	Rule 17h-1T & Rule 17h-2T Form and Instruction	Modified
259763	2023 proposal to require filing Form 17-H in Inline XBRL – Ongoing Burden Form and Instruction	Modified
259762	Rule 17h-1T – Initial Burden for new respondents (org chart & compliance program) Form and Instruction	Unchanged
259761	Rule 17h-2T (quarterly risk assessment reports & annual financial statements) Form and Instruction	Modified

ICR Details

OMB Control No: 3235-0410	ICR Reference No: 202501-3235-027
Status: Received in OIRA	Previous ICR Reference No: 202303-3235-032
Agency/Subagency: SEC	Agency Tracking No: TM
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
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular	Date Submitted to OIRA: 06/17/2025

	Requested	Previously Approved
Expiration Date	11/30/2025	11/30/2025
Responses	2,413	235
Time Burden (Hours)	7,716	5,640
Cost Burden (Dollars)	0	0

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Abstract: 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. 2025 Revision: The Commission has adopted a rule amendment to require Form 17-H to be filed in the Commission's Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system.

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Authorizing Statute(s): US Code: 15 USC 78w Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 78q(h) Name of Law: Securities Exchange Act of 1934
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
3235-AL85	Final or interim final rulemaking	90 FR 7250	01/21/2025

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Federal Register Notices & Comments

Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 4

IC Title	Form No.	Form Name
2023 proposal to require filing Form 17-H in Inline XBRL – Ongoing Burden	SEC 2332	Form 17-H
Rule 17h-1T & Rule 17h-2T	SEC 2332	17-H
Rule 17h-1T – Initial Burden for new respondents (org chart & compliance program)	Form 17-H	Form 17-H
Rule 17h-2T (quarterly risk assessment reports & annual financial statements)	Form 17-H	Form 17-H

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ICR Summary of Burden

	Total Request	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	2,413	235	0	2,178	0	0
Annual Time Burden (Hours)	7,716	5,640	0	2,076	0	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Changing Regulations

Burden decreases because of Program Change due to Agency Discretion: Yes

Burden Reduction Due to: Changing Regulations

Short Statement: The Commision has adopted an electronic filing requirement for this rule. The changes to burdens for this ICR are discussed in more detail in the attached Supporting Statement.

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Annual Cost to Federal Government: $0

Does this IC contain surveys, censuses, or employ statistical methods? No

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     Yes

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     Yes

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? No

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Common Form ICR:  No

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On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

(iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and

(vi) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.

Certification Date: 06/17/2025

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