In the event a broker or dealer is associated with one or more other registered brokers or dealers, each broker or dealer is required to file a separate Form 17-H. The Commission may exempt from the filing requirements all brokers or dealers associated with a broker or dealer that has been designated a “Reporting Broker or Dealer.”
SEC.gov | SEC Updates Filing Threshold to Rule 17h Reporting ...
2020年6月29日 · Today’s order updates this threshold for the first time and provides an exemption from the 17h Rules for broker-dealers with capital between $20 million to $50 million so long as the broker-dealer maintains less than $1 billion in total assets.
SEC Form 17-H: What It Is and how It Works - Investopedia
2022年6月22日 · The term SEC Form 17-H refers to a form that must be filed by all securities brokers with the Securities and Exchange Commission (SEC). This form, called the Risk Assessment Report for...
Annual and amended filings may differ slightly, however the tips shown in this document can also be used for those 17(H) Forms. Populate Filer CIK and Filer CCC with the information associated with the firm’s filing. Unless you are submitting a TEST Filing, you can select “LIVE.”
eCFR :: 17 CFR 249.328T -- Form 17-H, Risk assessment report for ...
1992年7月21日 · § 249.328T Form 17-H, Risk assessment report for brokers and dealers pursuant to section 17 (h) of the Securities Exchange Act of 1934 and rules thereunder.
17 CFR 240.17h-1T -- Risk assessment recordkeeping …
§ 240.17h-1T Risk assessment recordkeeping requirements for associated persons of brokers and dealers. (a) Requirement to maintain and preserve information.
The SEC updates filing threshold to Rule 17h reporting requirements for ...
2020年8月11日 · On June 29, 2020, the U.S. Securities and Exchange Commission (SEC) issued an order to update the filing threshold for broker-dealers’ Form 17-H filings made pursuant to Exchange Act Rules 17h-1T and Rule 17h-2T (SEC Release No. 2020-147) which is …
十六进制数17H是多少？ - 百度知道
2019年12月26日 · 17H的H是十六进制的意思（hexadecimal)。换算成十进制即是1*16+7=23。
17 CFR § 240.17h-2T - LII / Legal Information Institute
The Form 17-H for the fourth fiscal quarter shall be filed within 60 calendar days of the end of the fiscal year. The cumulative year-end financial statements required by section 240.17h-1T may be filed separately within 105 calendar days of the end of the fiscal year.
In the event a broker or dealer is associated with one or more other registered brokers or dealers, each broker or dealer is required to file a separate Form 17-H. The Commission may exempt from the filing requirements all brokers or dealers associated with a broker or dealer that has been designated a “Reporting Broker or Dealer.”