This blog originally appeared on Workiva.com.

Key takeaways

• ➢ Form 17-H is the confidential risk assessment report that broker-dealers with more than $1 billion in assets and $50 million in capital must file electronically with the U.S. Securities and Exchange Commission.

• ➢ In 2026, the SEC granted relief from an iXBRL^TM requirement for Form 17-H that would have taken effect in 2027.

• ➢ Companies can use the Workiva platform to prepare 17-H reports (17HQCON and 17HACON). 

Since June 2025, large broker-dealers have been required to electronically file Form 17-H, a risk assessment filed to the SEC.

Broker-dealers can prepare this form within the secure Workiva platform, which enables teams to control who can see and edit the confidential information in Form 17-H as well as link to other financial and risk information within their Workiva workspaces. 

The Workiva platform’s powerful, yet simple, end-to-end filing experience

The Workiva platform was designed to take the stress out of data management and reporting. It streamlines and simplifies 17-H reporting requirements.

• ► Simplify data integration: Forget manual entry (unless your team prefers it!). The Workiva platform allows you to easily bring your data into reports in multiple ways, whether you pull in data from Excel, link data from elsewhere in the Workiva platform via unified data, or enter it directly.

• ► Use an intuitive Part II template: Workiva provides a Part II template designed to help you easily report your data with real-time validation. The template is flexible and may already align with your existing internal data structures, reducing the learning curve.

• ► File with confidence: You can preview and error-check your 17-H reports before you even perform a test filing to EDGAR^®. This means fewer surprises and a smoother submission process. Say goodbye to tedious EDGAR screenshots and ad-hoc web applications. Workiva maintains a complete record of your Part I and Part II data and all exhibits for collaboration and review prior to submission. And when you’re ready to file, you can submit your filing directly from the Workiva platform and have a permanent, accessible record of your report and EDGAR activity.

• ► Roll forward with resolve: Your 17-H reporting isn’t a one-time event. The Workiva platform allows you to maintain a chain of filings and data, so you only need to change what needs to be updated.

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EDGAR^® and SEC^® are trademarks of the U.S. Securities and Exchange Commission. Workiva Inc.’s products and services are not affiliated with or approved by the U.S. Securities and Exchange Commission.
XBRL^®, iXBRL^TM, and Inline XBRL^TM are trademarks of XBRL International, Inc. All rights reserved. The XBRL™/^® standards are open and freely licensed by way of the XBRL International License Agreement.