| Text of Recommendation | Finalize steps deemed feasible and prudent and, as necessary, (a) require broker-dealers to electronically file with the Commission annual reports and risk assessment reports, and (b) raise the capital threshold for reporting under the 17-H rules. |
|---|---|
| Recommendation Number | 2 |
| Recommendation Status | Closed |
| Significant Recommendation | Yes |
| Recommendation Questioned Costs | $0 |
| Recommendation Funds for Better Use | $0 |
| Submitting OIG | |
|---|---|
| Linked Report |