SEC Form 17-H

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.

BREAKING DOWN '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."

RELATED TERMS
  1. SEC Form 2-A

    A filing with the Securities and Exchange Commission (SEC) required ...
  2. SEC Form N-CSR

    A form completed by registered management investment companies ...
  3. SEC Form NSAR-U

    An annual filing with the Securities and Exchange Commission ...
  4. SEC Form 10

    A filing with the Securities and Exchange Commission (SEC), also ...
  5. SEC Form S-4

    A filing with the Securities and Exchange Commission (SEC) by ...
  6. SEC Form SB-2

    A filing with the Securities and Exchange Commission (SEC) required ...
Related Articles
  1. Investing

    Popular Resources for Equity Research and Analysis: Chapter 2: The SEC Website

    Second to the company investor relations sites is the direct SEC website at www.sec.gov. Investors can learn quite a bit about the securities industry from the SEC. The forms page, which details ...
  2. Investing

    How A Company Files With The SEC

    Filing with the SEC is not as complicated as you might thing -- just be meticulous about following the steps.
  3. Markets

    SEC Filings: Forms You Need To Know

    The forms companies are required to file provide a clear view of their histories and progress.
  4. Trading

    Using Public SEC Filings To Analyze Companies

    Reports from the Securities and Exchange Commission provide investors with an edge in determining the investment value of companies. Learn what to look for in these financial reports.
  5. Investing

    Policing The Securities Market: An Overview Of The SEC

    Find out how this regulatory body protects the rights of investors.
  6. Markets

    Speed Read SEC Filings For Hot Stock Picks

    SEC forms can be a real headache. Find out how to make your research more efficient - and more effective.
  7. Markets

    Data Mining For Investors

    Being an informed investor is extremely important, but where and how do you get the data for your research?
  8. Markets

    Understanding the SEC

    The SEC's triple mandate of investor protection, maintenance of orderly markets and facilitation of capital formation makes it a vital player in capital markets.
  9. Investing

    How To Efficiently Read An Annual Report

    Learn how to read between the lines and decipher the actual condition of a company.
  10. Markets

    EDGAR: Investors' One-Stop-Shop For Company Filings

    You can learn a lot about any listed company through this system - if you know how to use it.
RELATED FAQS
  1. Where can I find a company's annual report and its SEC filings?

    Thanks to the Internet, finding financial reports is easier than ever. Nowadays, every reputable company has an investor ... Read Answer >>
  2. How can I get a free mutual fund prospectus?

    Obtain a free copy of a mutual fund prospectus from the dealer or use one of these online resources to download an electronic ... Read Answer >>
  3. When must a company announce earnings?

    The Securities & Exchange Commission (SEC) requires companies to file earnings reports no later than 45 days after the end ... Read Answer >>
  4. How often do mutual funds report their holdings?

    Learn how mutual funds are required by the Securities and Exchange Commission to disclose their portfolio holdings on a quarterly ... Read Answer >>
  5. Does a company have to notify its investors when it faces legal proceedings?

    Not necessarily. The SEC guidelines do not require businesses to publicize legal proceedings if these proceedings are a part ... Read Answer >>
  6. How does FINRA differ from the SEC?

    With all the financial organizations out there, knowing what they all do can be as complicated as knowing where to invest. ... Read Answer >>
Hot Definitions
  1. Dove

    An economic policy advisor who promotes monetary policies that involve the maintenance of low interest rates, believing that ...
  2. Cyclical Stock

    An equity security whose price is affected by ups and downs in the overall economy. Cyclical stocks typically relate to companies ...
  3. Front Running

    The unethical practice of a broker trading an equity based on information from the analyst department before his or her clients ...
  4. After-Hours Trading - AHT

    Trading after regular trading hours on the major exchanges. The increasing popularity of electronic communication networks ...
  5. Omnibus Account

    An account between two futures merchants (brokers). It involves the transaction of individual accounts which are combined ...
  6. Weighted Average Life - WAL

    The average number of years for which each dollar of unpaid principal on a loan or mortgage remains outstanding. Once calculated, ...
Trading Center