SEC Form 17-H



A report that is filed by a securities broker-dealer with the Securities and Exchange Commission, disclosing its business activities related to risk assessment. Required reporting includes a copy of the current organizational chart, copies of all risk management and related policies, information related to any legal proceedings and financial statements.


Reporting and filing requirements of SEC form 17-H are covered under section 20 of the Securities Exchange Act of 1934. The SEC tracks the filing status of all firms, but only reviews the 17-H form filings of six major dealers in detail under the program, because they have the highest number of customer accounts and therefore have been deemed "material firms."

  1. Broker-Dealer

    A person or firm in the business of buying and selling securities, ...
  2. Securities And Exchange Commission ...

    A government commission created by Congress to regulate the securities ...
  3. Risk

    The chance that an investment's actual return will be different ...
  4. Securities Act Of 1933

    A federal piece of legislation enacted as a result of the market ...
  5. Electronic Data Gathering, Analysis ...

    The electronic filing system created by the Securities and Exchange ...
  6. Securities Exchange Act Of 1934

    The Securities Exchange Act of 1934 was created to provide governance ...
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