Form 17-H Form 17-H Form 17-H

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

Form17-H (proposed revision)

Rule 17h-1T – Initial Burden for new respondents (org chart & compliance program)

OMB: 3235-0410