Report as of the last day of the fiscal quarter. This Form is to be filed within 60 calendar days of the end of each fiscal quarter by brokers and dealers concerning each Material Associated Person (as defined in Temporary Rules 17h-1T and 17h-2T).

Jun 22, 2022 · 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...

The Securities and Exchange Commission today 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.

Jul 21, 1992 · § 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.

Aug 11, 2020 · 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 …

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.

(A) Method (s) for monitoring and controlling financial and operational risks to it resulting from the activities of any of its associated persons, other than a natural person;

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.”

Mar 15, 2024 · SEC Form 17-H, officially named the risk assessment report for broker-dealers, is a regulatory filing mandated by the Securities and Exchange Commission (SEC) for securities brokers operating in the United States.

Jul 1, 2020 · Exchange Act Rules 17h-1T and 17h-2T provide recordkeeping and reporting requirements for certain broker-dealers that are part of a holding company structure. The updated thresholds are intended to reduce the number of broker-dealers subject to the rules without materially increasing risk.