1. LawStack
  2. Title 17 - Commodity and Securities Exchange
  3. Chapter II - SECURITIES AND EXCHANGE COMMISSION
  4. Part 249 - FORMS, SECURITIES EXCHANGE ACT OF 1934
  5. Subpart D - Forms for Annual and Other Reports of Issuers Required Under Sections 13 and 15(d) of the Securities Exchange Act of 1934
  6. 17 CFR § 249.328T
17 CFR § 249.328T
Form 17-H, Risk assessment report for brokers and dealers pursuant to section 17(h) of the Securities Exchange Act of 1934 and rules thereunder
April 15, 2021
CFR

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 17h-1T and 17h-2T thereunder [§§240.17h-1T and 240.17h-2T of this chapter].

[57 FR 32171, July 21, 1992]

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§ 249.327 Form 13H, Information required on large traders pursuant to Section 13(h) of the Securities Exchange Act of 1934 and rules thereunder
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§ 249.330 Form N-CEN, annual report of registered investment companies

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