Form 17HACON Filings
SEC Form 17HACON is a confidential annual filing used by certain broker-dealers to submit a Form 17-H risk assessment report to the Securities and Exchange Commission (SEC).
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| ID | Form | Filer Name | Filing Agent | Date | Actions | |
|---|---|---|---|---|---|---|
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What Is SEC Form 17HACON?
SEC Form 17HACON is an annual confidential submission type on EDGAR Filing for Form 17-H, the Risk Assessment Report for Brokers and Dealers, filed pursuant to Exchange Act Rule 17h-2T.
This filing is used by covered broker-dealers to report information about their business activities, financial condition, and risks relating to affiliates and material associated persons, as required under the SEC’s risk assessment rules.
Form 17HACON is not a public filing and is intended for regulatory oversight. It is submitted annually, while quarterly Form 17-H reports are submitted under a separate EDGAR submission type.
Key elements typically found in SEC Form 17HACON include:
- Broker-dealer identifying information and fiscal period covered
- Risk assessment information required by Form 17-H and Rule 17h-2T
- Information concerning material associated persons, as applicable
- Organisational chart exhibits reflecting associated persons and affiliates
- Cumulative year-end financial statement exhibits, as required
- Other exhibits and supporting schedules required by Form 17-H instructions
SEC Form 17HACON Filing Deadlines
SEC Form 17HACON follows annual timing requirements tied to the broker-dealer’s fiscal year-end. These timelines are used for the annual Form 17-H submission, which is filed confidentially through EDGAR.
| Filing Stage | Timeline | Details |
| Annual Period End | End of fiscal year | The annual report covers the broker-dealer’s fiscal year and related year-end information |
| Form 17HACON Filing | Within 60 calendar days of the fiscal year end | Annual Form 17-H submission is filed confidentially on EDGAR (submission type 17HACON) |
| Year-End Financial Statements (if filed separately) | Within 105 calendar days of the fiscal year end | Certain cumulative year-end financial statement exhibits may be filed separately if permitted |
| Amendments | As needed | Amendments are filed when required using the corresponding amendment submission type |
Key Things to Know About Form 17HACON Filing Rules
- Confidential Filing Status: Form 17HACON is submitted as a confidential Form 17-H report and is not publicly available through EDGAR.
- Covered Broker-Dealers Only: The annual Form 17-H requirement applies to broker-dealers that meet the coverage thresholds under Rule 17h-2T and related SEC guidance.
- Annual vs. Quarterly Variants: Annual Form 17-H reports are filed using 17HACON, while quarterly Form 17-H reports are filed using a separate quarterly submission type.
- Exhibit and Format Requirements: Filers must follow the Form 17-H instructions and the EDGAR requirements for exhibits and structured submission formats, including the submission of required supporting documents.
- EDGAR Submission Type Matters: Form 17HACON is the EDGAR submission form type specifically designated for the confidential annual Form 17-H report, with amendments filed under the related amendment type.
To track confidential risk assessment reports under Section 17(h) of the Securities Exchange Act of 1934, our platform helps you monitor filings such as Form 17HACON (annual) and Form 17HQCON (quarterly), which provide regulators with non‑public information on broker‑dealer risk exposures and affiliate relationships. Visit our SEC Filer Directory to view the full list of SEC filers.
