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Form 17-H (SEC Form 2332) Risk Assessment Report for Brokers and Dealers
What Is Form 17-H (SEC Form 2332)?
This is a legal form that was released by the U.S. Securities and Exchange Commission on January 1, 2010 and used country-wide. As of today, no separate filing guidelines for the form are provided by the issuing department.
FAQ
Q: What is Form 17-H?
A: Form 17-H is a Risk Assessment Report for Brokers and Dealers.
Q: What is SEC Form 2332?
A: SEC Form 2332 is the specific form number for Form 17-H.
Q: Who is required to file Form 17-H?
A: Brokers and Dealers are required to file Form 17-H.
Q: What is the purpose of Form 17-H?
A: The purpose of Form 17-H is to assess and report on the financial and operational risks faced by brokers and dealers.
Q: What information is included in Form 17-H?
A: Form 17-H includes information about the broker or dealer's financial condition, risk management practices, and compliance with regulations.
Q: When is Form 17-H due?
A: Form 17-H is due annually, within 60 calendar days of the end of the fiscal year.
Form Details:
- Released on January 1, 2010;
- The latest available edition released by the U.S. Securities and Exchange Commission;
- Easy to use and ready to print;
- Yours to fill out and keep for your records;
- Compatible with most PDF-viewing applications;
- Fill out the form in our online filing application.
Download a printable version of Form 17-H (SEC Form 2332) by clicking the link below or browse more documents and templates provided by the U.S. Securities and Exchange Commission.
Download Form 17-H (SEC Form 2332) Risk Assessment Report for Brokers and Dealers
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