17 CFR 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.

Regulations last checked for updates: May 21, 2024

Title 17 - Commodity and Securities Exchanges last revised: May 01, 2024

View all text of Subpart D [§ 249.306 - § 249.447]

§ 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.

This form shall be used by brokers and dealers in reporting information to the Commission concerning certain of their associated persons pursuant to section 17(h) of the Securities Exchange Act of 1934 [15 U.S.C. 78q(h)] and Rules 17h-1T and 17h-2T thereunder [§§ 240.17h-1T and 240.17h-2T of this chapter].

[57 FR 32171, July 21, 1992] Editorial Note:For Federal Register citations affecting Form 17-H, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.govinfo.gov.

authority: 15 U.S.C. 78a

cite as: 17 CFR 249.328T