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

Forms and Documents

Document Name	Status
Form SEC 2332 Rule 17h-1T & Rule 17h-2T Form and Instruction	Modified
Form SEC 2332 2024 Amendments to require filing Form 17-H in Inline XBRL – Ongoing Burden Form and Instruction	Modified
Form Form 17-H Rule 17h-1T – Initial Burden for new respondents (org chart & compliance program) Form and Instruction	Modified
Form Form 17-H Rule 17h-2T (quarterly risk assessment reports & annual financial statements) Form and Instruction	Modified
3235-0410 Supporting Statement, (2025 Extension).pdf Supporting Statement A	2025-11-24
20251124_3235-0410_2025-20739_90 FR 53015_30-Day Submission Notice.pdf.pdf Supplementary Document	2025-11-24
20250912_3235-0410_2025-17590_90 FR 44277_60-Day Collection Notice.pdf Supplementary Document	2025-09-12

IC Document Collections

IC ID	Document Title	Status
43011	Rule 17h-1T & Rule 17h-2T Form and Instruction	Modified
259763	2024 Amendments to require filing Form 17-H in Inline XBRL – Ongoing Burden Form and Instruction	Modified
259762	Rule 17h-1T – Initial Burden for new respondents (org chart & compliance program) Form and Instruction	Modified
259761	Rule 17h-2T (quarterly risk assessment reports & annual financial statements) Form and Instruction	Modified

ICR Details

OMB Control No: 3235-0410	ICR Reference No: 202509-3235-002
Status: Received in OIRA	Previous ICR Reference No: 202501-3235-027
Agency/Subagency: SEC	Agency Tracking No: TM
Title: 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
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular	Date Submitted to OIRA: 11/24/2025

	Requested	Previously Approved
Expiration Date	36 Months From Approved	11/30/2025
Responses	2,383	2,413
Time Burden (Hours)	7,620	7,716
Cost Burden (Dollars)	0	0

---

Abstract: Rule 17h-1T requires a covered broker-dealer to maintain and preserve records regarding the financial and securities activities, and other information concerning the holding company, affiliates, and subsidiaries of the broker-dealer that are reasonably likely to have a material impact on the financial or operational condition of the broker-dealer. Rule 17h-2T requires a covered broker-dealer to file with the Commission quarterly reports and a cumulative year-end report concerning the information required to be maintained and preserved under Rule 17h-1T.

---

Authorizing Statute(s): US Code: 15 USC 78w Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 78q(h) Name of Law: Securities Exchange Act of 1934
  

Citations for New Statutory Requirements: None

---

Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

---

Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	90 FR 44277	09/12/2025
30-day Notice:	Federal Register Citation:	Citation Date:
	90 FR 53015	11/24/2025
Did the Agency receive public comments on this ICR? Yes

---

Number of Information Collection (IC) in this ICR: 4

IC Title	Form No.	Form Name
2024 Amendments to require filing Form 17-H in Inline XBRL – Ongoing Burden	SEC 2332	Form 17-H
Rule 17h-1T & Rule 17h-2T	SEC 2332	17-H
Rule 17h-1T – Initial Burden for new respondents (org chart & compliance program)	Form 17-H	Form 17-H
Rule 17h-2T (quarterly risk assessment reports & annual financial statements)	Form 17-H	Form 17-H

---

ICR Summary of Burden

	Total Request	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	2,383	2,413	0	-30	0	0
Annual Time Burden (Hours)	7,620	7,716	0	-96	0	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion: Yes

Burden Reduction Due to: Miscellaneous Actions

Short Statement: The estimated burden decreased slightly due to a small decrease in the estimated number of respondents. The estimated burdens are discussed in more detail in the attached Supporting Statement.

---

Annual Cost to Federal Government:

Does this IC contain surveys, censuses, or employ statistical methods? No

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     Yes

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     Yes

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? No

---

Common Form ICR:  No

---

On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

(iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and

(vi) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.

Certification Date: 11/24/2025

---