Form 17-H Risk assessment report for brokers and dealers 2025

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The document is a Form 17-H issued by the United States Securities and Exchange Commission, which outlines the Risk Assessment Reporting Requirements for brokers and dealers. It includes instructions for filing financial and organizational information, risk management policies, legal proceedings, and financial statements related to Material Associated Persons. The form must be submitted quarterly or annually, detailing various securities positions, off-balance sheet risks, funding sources, and real estate investments.

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What are the reporting requirements for FINRA broker-dealers?

FINRA Rule 4530 requires firms to report specified events; quarterly statistical and summary information regarding written customer complaints; and copies of specified criminal and civil actions. FINRA Rule 4530 was modeled after former [NASD Rule 3070] and former [NYSE Rule 351].

What are the recordkeeping requirements for broker-dealers?

The length of time your broker must keep records depends on the type of record. For example, brokers must retain blotters (records containing details of all purchases and sales of securities) for at least six years. But they must keep copies of trade confirmations for only three years.

Do broker dealers file with the SEC?

Brokers generally must register with the SEC and become members of the Financial Industry Regulatory Authority (FINRA).

What is the form for a broker-dealer?

Form BD is the Uniform Application for Broker-Dealer Registration. Broker-Dealers must file this form to register with the Securities and Exchange Commission, the self-regulatory organizations, and jurisdictions through the Central Registration Depository (CRD) system, operated by FINRA.

What financial reporting is required for broker dealers?

Annual Reports. Every broker or dealer registered pursuant to Section 15 of the Securities Exchange Act of 1934 (SEA) is required to file an annual report as specified under SEA Rule 17a-5(d). Members must submit their annual reports to FINRA in electronic form through FINRAs Firm Gateway.

What are the compliance requirements for broker-dealers?

Broker-dealers are obligated to comply with AML regulations to prevent and report suspicious transactions and money laundering activities. These regulations include the Bank Secrecy Act (BSA) and the USA Patriot Act, which require the maintenance of customer identification and transaction monitoring procedures.

Do broker-dealers register with SEC or FINRA?

2:09 3:19 And adhering to various regulatory standards. To learn more check out these links which you canMoreAnd adhering to various regulatory standards. To learn more check out these links which you can click in the description.

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

Form 17-H Risk assessment report for brokers and dealers 2025

Here's how it works

How to edit Form 17-H Risk assessment report for brokers and dealers in PDF format online

Complete this form in 5 minutes or less

Got questions?

What are the reporting requirements for FINRA broker-dealers?

What are the recordkeeping requirements for broker-dealers?

Do broker dealers file with the SEC?

What is the form for a broker-dealer?

What financial reporting is required for broker dealers?

People also ask

What are the compliance requirements for broker-dealers?

Do broker-dealers register with SEC or FINRA?

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

Related links

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Form 17-H Risk assessment report for brokers and dealers 2025

Here's how it works

How to edit Form 17-H Risk assessment report for brokers and dealers in PDF format online

Complete this form in 5 minutes or less

Got questions?

What are the reporting requirements for FINRA broker-dealers?

What are the recordkeeping requirements for broker-dealers?

Do broker dealers file with the SEC?

What is the form for a broker-dealer?

What financial reporting is required for broker dealers?

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People also ask

What are the compliance requirements for broker-dealers?

Do broker-dealers register with SEC or FINRA?

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

Related links

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