Information Collection Request
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
ICR 202303-3235-032 · OMB 3235-0410 · Received in OIRA
⚠️ Notice: This information collection may be outdated. More recent filings for OMB 3235-0410 can be found here:
Forms and Documents
| Document | Type | Status | Availability |
|---|---|---|---|
 Form SEC 2332 Rule 17h-1T & Rule 17h-2T |
Form and Instruction | Modified | Repair queued |
| Form Form 17-H 2023 proposal to require filing Form 17-H in Inline XBRL – Ongoing Burden |
Form and Instruction | New | Repair queued |
| Form Form 17-H Rule 17h-1T – Initial Burden for new respondents (org chart & compliance program) |
Form and Instruction | New | Repair queued |
| Form Form 17-H Rule 17h-2T (quarterly risk assessment reports & annual financial statements) |
Form and Instruction | New | Missing upstream |
 3235-0410 Supporting Statement (2023 Proposal).pdf |
Supporting Statement A | Uploaded 2023-04-18 | Repair queued |
IC Document Collections
| IC ID | Collection | Type | Status | Form |
|---|---|---|---|---|
| 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 | New | |
| 259762 | Rule 17h-1T – Initial Burden for new respondents (org chart & compliance program) |
Form and Instruction | New | |
| 259761 | Rule 17h-2T (quarterly risk assessment reports & annual financial statements) |
Form and Instruction | New |
ICR Details
| Status | Received in OIRA |
|---|---|
| Agency/Subagency | SEC |
| OMB Control No | 3235-0410 |
| Type of Information Collection | Revision of a currently approved collection |
| Previous ICR Reference No | 202206-3235-023 |
| Agency Tracking No | TM-270-359 |
| Date Submitted to OIRA | 1969-12-31 |
| Requested Expiration Date | 1969-12-31 |