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SEC RIN: 3235-AH06 Publication ID: Fall 2010 
Title: Risk Assessment Recordkeeping and Reporting Requirement 
Abstract: The Risk Assessment Recordkeeping and Reporting Requirements, which became effective September 30, 1992, following notice and comment, were adopted as temporary rules pursuant to the Market Reform Act of 1990. These rules contain recordkeeping and reporting requirements with regard to "material associated persons" of broker-dealers in order to evaluate the potential risks affiliates may pose to the registered broker-dealer. The Division is considering recommending that the Commission propose amendments to update rule requirements and replace the temporary rules. 
Agency: Securities and Exchange Commission(SEC)  Priority: Substantive, Nonsignificant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Proposed Rule Stage 
Major: Undetermined  Unfunded Mandates: No 
CFR Citation: 17 CFR 240.17h-1T    17 CFR 240.17h-2T   
Legal Authority: 15 USC 78a(h)   
Legal Deadline:  None
Action Date FR Cite
NPRM  06/00/2011    
Regulatory Flexibility Analysis Required: Undetermined  Government Levels Affected: None 
Federalism: No 
Included in the Regulatory Plan: No 
RIN Data Printed in the FR: No 
Agency Contact:
Michael Coe
Assistant Director, Division of Trading and Markets
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-4875