17 CFR 249.328T - Form 17H, Risk assessment report for brokers and dealers pursuant to section 17(h) of the Securities Exchange Act of 1934 and rules thereunder.

Code of Federal Regulations - Title 17: Commodity and Securities Exchanges

Updated to: December 30, 2005

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TITLE 17 - COMMODITY AND SECURITIES EXCHANGES

CHAPTER II - SECURITIES AND EXCHANGE COMMISSION

PART 249 - FORMS, SECURITIES EXCHANGE ACT OF 1934

subpart d - FORMS FOR ANNUAL AND OTHER REPORTS OF ISSUERS REQUIRED UNDER SECTIONS 13 AND 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934

249.328T - Form 17H, 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 17h1T and 17h2T thereunder [240.17h1T and 240.17h2T of this chapter].

[57 FR 32171, July 21, 1992]