SEC Form 17-H

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DEFINITION of '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.

INVESTOPEDIA EXPLAINS 'SEC Form 17-H'

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."

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