Risk Assessment Report For Brokers And Dealers For 17h
Download a blank fillable Risk Assessment Report For Brokers And Dealers For 17h in PDF format just by clicking the "DOWNLOAD PDF" button.
Open the file in any PDF-viewing software. Adobe Reader or any alternative for Windows or MacOS are required to access and complete fillable content.
Complete Risk Assessment Report For Brokers And Dealers For 17h with your personal data - all interactive fields are highlighted in places where you should type, access drop-down lists or select multiple-choice options.
Some fillable PDF-files have the option of saving the completed form that contains your own data for later use or sending it out straight away.
ADVERTISEMENT
1
2
3
4
5
6United States
OMB APPROVAL
OMB
Number:
3235-0410
Securities and Exchange Commission
Expires: December 31, 2018
Washington, D.C. 20549
Estimated average burden
hours per response . . . . . . . 6
FORM 17-H
RISK ASSESSMENT REPORT FOR BROKERS AND DEALERS
PART I
Risk Assessment Reporting Requirements for Brokers and Dealers
NAME OF REPORTING BROKER-DEALER
SEC FILE NO. ___________________
_
12
____________________________________________
CRD NO.
_
________________________ _
14
16
ADDRESS OF PRINCIPAL PLACE OF BUSINESS
____________________________________________________________________________________
18
FIRM I.D. NO.
____________________________________________
FILING TYPE:
20
(Check Appropriate Boxes)
FOR PERIOD BEGINNING (MM/DD/YY)
QUARTERLY ANNUAL
AMENDED
______________________________________________
22
26
28
30
AND ENDING (MM/DD/YY)
______________________________________________
24
NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT
______________________________________________
32
NAME(S) OF MATERIAL ASSOCIATED PERSONS CONTAINED IN THIS REPORT:
______________________________________________
34
____________________________________
36
______________________________________________
____________________________________
38
40
______________________________________________
42
NAME OF ASSOCIATED BROKER-DEALER(S) NOT FILING (If applicable)
________________________________________________
____________________________________
44
46
______________________________________________
____________________________________
48
50
______________________________________________
52
ATTENTION
Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. § 1001 and 15
U.S.C. § 78ff(a).
Intentional misstatements or omissions of facts may also result in civil fines and other sanctions pursuant to Section
20 of the Securities Exchange Act of 1934.
The person signing this report represents hereby that all information contained in this Form is true, correct and
complete. It is understood that all information in this Form is considered an integral part of this Form and that the
submission of any amendment represents that all unamended information remains true, correct and complete as
previously filed.
Pursuant to the Securities Exchange Act of 1934, the undersigned has caused this report to be signed on its behalf in
the City of
__________________
and State of
_______________
on the
___
day of
____________,
20
___.
__________________________________________
(Name of Broker-Dealer)
________________________________________________________________________________________
(Signature and Title of Person Duly Authorized to Submit This Report)
Persons who respond to the collection of information contained in this form are not required to
SEC 2332 (1-10)
respond unless the form displays a currently valid OMB control number.
ADVERTISEMENT
0 votes
Related Articles
Related forms
Form Op-182 - Vending Machine Report Cigarette Distributors And Dealers - Department Of Revenue Services
Financial
Centrally Assessed Report For Private Car Line Companies Data For Year Ending December 31, 2007
Financial
Related Categories
Parent category: Legal