Line4

Search line4.ai

In forceBroker-dealersLast checked 13 November 2026

Broker-dealer risk assessment report (Form 17-H)

A regulatory return listed by the U.S. Securities and Exchange Commission (SEC), United States.

Form 17-H lets the SEC monitor a broker-dealer's wider corporate group for the kind of financial difficulty that can spread from an affiliate or holding company to the broker-dealer itself; the Risk Assessment Program it supports was created after the 1990 collapse of Drexel Burnham Lambert. Source

Official title: Form 17-H: Risk Assessment Report for Brokers and Dealers

The facts

Who files
Generally, a broker-dealer that is part of a holding company structure and either holds customer funds or securities, or has Regulatory Capital (equity plus subordinated debt) of more than $20 million. A broker-dealer with Regulatory Capital under $250,000, or one that trades solely in mutual funds, is exempt. Source
How often
Quarterly. Source
Deadline
Within 60 calendar days after the end of each fiscal quarter; the fourth-quarter report is also due within 60 calendar days of the fiscal year-end, and the cumulative year-end financial statements may instead be filed separately within 105 calendar days of the fiscal year-end. Source
Format
PDF, Other. Must be filed with the Commission electronically on EDGAR, following the EDGAR Filer Manual and Regulation S-T, and as an Interactive Data File; a September 2026 Commission order exempted Item 4 of the form from the Inline XBRL tagging part of that requirement specifically. Source
How it is filed
Filing routes recorded for the SEC: EDGAR (Electronic Data Gathering, Analysis, and Retrieval); Investment Adviser Registration Depository (IARD) and Private Fund Reporting Depository (PFRD); Central Registration Depository (CRD). See how firms file with the SEC.
Status
In forceItem 4 of Form 17-H was, with the Part III annual report of Form X-17A-5, exempted from the Inline XBRL tagging requirement by a Commission order of 11 September 2026 (Release 34-106339); the underlying EDGAR/electronic-filing requirement from the December 2024 rule (Release 33-11342) still applies. Source
Legal basis
Group
Broker-dealers

Templates (0)

The library lists no templates for this return.

Form 17-H's required content (an organisational chart, risk management policy information, consolidating and consolidated financial statements, and securities/financial-product position data for each Material Associated Person) is described on an SEC office page in prose, not as a numbered list of named parts, so no breakdown is given here. Source

Validation rules

No published validation rules were found for this return. No published catalogue of Form 17-H edit checks was found on sec.gov. Source

Public data

No published data from this return was found. Form 17-H is not public. A September 2026 Commission order states that 'the entirety of Form 17-H' is non-public, citing 17 CFR 240.17h-2T(e). Source

Official documents (3)

The SEC's own files, with the size and SHA-256 fingerprint of each as downloaded on 13 November 2026, so anyone can tell whether a copy is the same version.

Sources

Every page and document this return's facts were read from.

Knowing exactly what is collected, in what format and under which rules is the first step to real-time supervision. Line4 builds SupTech software for financial regulators that runs checks like these as each return arrives.

Line4's own text, and the way Line4 has collected and arranged these records, are free to reuse under CC BY 4.0. Please credit: “Source: Line4 regulatory submissions library (CC BY 4.0), https://www.line4.ai”. The facts themselves belong to no one. The regulators' document titles, template names, quoted terms and documents belong to them and are not covered by this licence: see SEC's reuse terms. This describes what regulators publish. It is not legal or regulatory advice: always rely on the regulator's own text. Not affiliated with or endorsed by any regulator.

Last checked 13 November 2026.