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Form 17HQCON Filings

SEC Form 17HQCON is a confidential quarterly Form 17-H filing used by certain broker-dealers to submit required risk assessment information to the SEC through EDGAR.Submission. .

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What Is SEC Form 17HQCON?

SEC Form 17HQCON is the EDGAR submission type used for the confidential broker-dealer quarterly Form 17-H report required under Exchange Act temporary risk assessment reporting rules, including Rule 17h-2T.

This filing is submitted by covered broker-dealers to report risk assessment information concerning each “Material Associated Person,” as defined under the temporary rules, and related financial and risk data required by Form 17-H.

Form 17HQCON is filed confidentially (non-public) via EDGAR and is part of the SEC’s broker-dealer risk assessment reporting framework, with a separate annual submission type used for the year-end Form 17-H report.

Key elements typically found in SEC Form 17HQCON include:

  • Covered broker-dealer identification information
  • Reporting period (fiscal quarter start and end dates)
  • Information on each Material Associated Person covered by the report
  • Risk management, financial, and exposure-related information required by Form 17-H
  • Required supporting schedules, exhibits, and attachments (as applicable)
  • Confidential EDGAR submission consistent with Form 17-H requirements

SEC Form 17HQCON Filing Deadlines

SEC Form 17HQCON follows quarterly timing requirements under Rule 17h-2T. The quarterly Form 17-H report is generally due within 60 calendar days after the end of each fiscal quarter, with specific provisions for year-end materials where applicable.

Filing Stage Timeline Details
Reporting Period End End of fiscal quarter Information is reported for the broker-dealer’s fiscal quarter covered by the filing
Form 17HQCON Filing Within 60 calendar days after quarter-end Filed confidentially on EDGAR as the quarterly Form 17-H report
Cumulative Year-End Financial Statements (if filed separately) Within 105 calendar days of the fiscal year-end Certain cumulative year-end financial statements may be submitted separately, as permitted under the rule
Amendments (Form 17HQCON/A) As needed Used to update or correct a previously filed quarterly confidential Form 17-H submission

Key Things to Know About Form 17HQCON Filing Rules

  • Confidential (Non‑Public) Filing: Form 17HQCON is a confidential submission type for the quarterly Form 17‑H risk assessment report and is not intended for public dissemination.
  • Rule‑Based Quarterly Requirement: The quarterly report timing and content requirements are driven by Exchange Act Rule 17h‑2T and the Form 17‑H instructions, including reporting related to Material Associated Persons.
  • Electronic EDGAR Submission: Covered broker‑dealers submit this report through EDGAR using the 17HQCON form type (and 17HQCON/A for amendments), consistent with EDGAR Filer Manual form indexes and filing workflows.
  • Year‑End Materials May Follow a Separate Timing Provision: While the quarterly Form 17‑H report is due within 60 days after quarter‑end, certain cumulative year‑end financial statements may be filed separately within 105 days after fiscal year‑end when permitted.
  • Amendments Are Event‑Driven: If information changes or corrections are required, an amended confidential quarterly Form 17‑H report is submitted using the amendment form type.

To track confidential quarterly risk assessment reports under Section 17(h) of the Securities Exchange Act of 1934, our platform helps you monitor filings such as Form 17HQCON and Form 17HACON, which provide regulators with non‑public information on broker‑dealer risk exposures and affiliate relationships. These forms can be retrieved through the SEC’s EDGAR system. For a step-by-step walkthrough, see the process of accessing SEC filings via EDGAR.

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