BD- SEC Form 17-H

Form 17-H is the Risk Assessment Report for Broker-Dealers that must be filed with the Securities and Exchange Commission (SEC) by all securities brokers.  Broker-dealers are required to disclose the activities of affiliated entities including:  Parent company, holding company or any subsidiary that could impact the operating and financial dealings of the broker-dealer.  Members also downloaded 2020 State Requirements for Broker-Dealer Annual Audited Financial Statements or SEC Form BD or SEC Form Custody.

Version/Update: 3235-0410/January 2010

Total Page Count/Format: 6/.pdf

Source/Author(s): SEC