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What are the rules 17h 1T and 17h 2T?

The collection of information required by Rules 17h1T and 17h2T, collectively referred to as the risk assessment rules, is necessary to enable the Commission to monitor the activities of a broker-dealer affiliate whose business activities are reasonably likely to have a material impact on the financial or

What is the rule 17a 5 for broker-dealer?

17a-5(b)(5) Whenever any national securities exchange or registered national securities association takes any action which causes any broker or dealer which is a member of such exchange or association to cease to be a member in good standing of such exchange or association or when such exchange or association learns of

What are the rules 17h 1T and 17h 2T?

The collection of information required by Rules 17h1T and 17h2T, collectively referred to as the risk assessment rules, is necessary to enable the Commission to monitor the activities of a broker-dealer affiliate whose business activities are reasonably likely to have a material impact on the financial or

What is Section 15 of the Exchange Act for brokers and dealers?

Under Section 15 of the Securities Exchange Act of 1934, most brokers and dealers must register with the SEC and join a self-regulatory organization, or SRO.

What is the SEC rule for electronic recordkeeping?

Rule 17a-4 currently requires a broker-dealer to maintain and preserve electronic records exclusively in a non-rewriteable, non-erasable format (also known as a write once, read many (WORM) format).

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Who has to file 17h?

In the event a broker or dealer is associated with one or more other registered brokers or dealers, each broker or dealer is required to file a separate Form 17-H.

What is 17h filing?

Certain broker-dealers must file SEC Form 17-H with the Securities and Exchange Commission. The form requires brokers to provide financial information about their risk profile, including financial statements and information about any legal issues they face.

What companies are required to file an annual report with the SEC?

The Securities and Exchange Commission (SEC) requires public companies, certain company insiders, and broker-dealers to file periodic financial statements and other disclosures. Finance professionals and investors rely on SEC filings to make informed decisions when evaluating whether to invest in a company.

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What are the rules 17h 1T and 17h 2T?

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What are the rules 17h 1T and 17h 2T?

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What is the SEC rule for electronic recordkeeping?

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