SEC Seeks Public Input on Broker-Dealer Risk Assessment Rules Information Collection
September 14, 2025
September 14, 2025
WASHINGTON, Sept. 14 (TNSFRinfo) -- The Securities and Exchange Commission is seeking comments on an information collection regarding broker-dealer risk assessment rules.
Rule 17h-1T requires a covered broker-dealer to maintain and preserve records and information regarding entities associated with them. This applies to the financial and securities activities of the holding company, affiliates, and subsidiaries that are likely to have a material impact on the financial or operationa . . .
Rule 17h-1T requires a covered broker-dealer to maintain and preserve records and information regarding entities associated with them. This applies to the financial and securities activities of the holding company, affiliates, and subsidiaries that are likely to have a material impact on the financial or operationa . . .