FINGERPRINTING REQUIREMENTS FOR SECURITIES PROFESSIONALS (17 CFR 240.17F-2(A))

ICR 198107-3235-011

OMB: 3235-0034

Federal Form Document

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ICR Details
3235-0034 198107-3235-011
Historical Active
SEC
FINGERPRINTING REQUIREMENTS FOR SECURITIES PROFESSIONALS (17 CFR 240.17F-2(A))
New collection (Request for a new OMB Control Number)   No
Regular
Approved without change 09/14/1981
Retrieve Notice of Action (NOA) 07/21/1981
The agency will examine this information requirement to determine the extent to which the requirements of the Privacy Act of 1974 apply, e.g. is a privacy notice (section (e)(3) required to be provided to th respondents?
  Inventory as of this Action Requested Previously Approved
09/30/1984 09/30/1984
123,149 0 0
61,575 0 0
0 0 0

RULE 17F-2(A), WHICH WAS ADOPTED BY THE COMMISSION ON MARCH 16, 1976, REQUIRES THAT SECURITIES PROFESSIONALS BE FINGERPRINTED. THIS REQUIRE MENT SERVES (1) TO IDENTIFY SECURITY RISK PERSONNEL, (2) TO ALLOW AN PLOYER TO MAKE FULLY-INFORMED EMPLOYMENT DECISIONS AND (3) TO DETER POSSIBLE WRONGDOERS FROM SEEKING EMPLOYMENT IN THE SECURITIES INDUSTRY

None
None


No

1
IC Title Form No. Form Name
FINGERPRINTING REQUIREMENTS FOR SECURITIES PROFESSIONALS (17 CFR 240.17F-2(A))

  Total Approved Previously Approved Change Due to New Statute Change Due to Agency Discretion Change Due to Adjustment in Estimate Change Due to Potential Violation of the PRA
Annual Number of Responses 123,149 0 0 0 123,149 0
Annual Time Burden (Hours) 61,575 0 0 0 61,575 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No

$0
No
No
Uncollected
Uncollected
Uncollected
Uncollected

  No

On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).
The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:
 
 
 
 
 
 
 
    (i) Why the information is being collected;
    (ii) Use of information;
    (iii) Burden estimate;
    (iv) Nature of response (voluntary, required for a benefit, or mandatory);
    (v) Nature and extent of confidentiality; and
    (vi) Need to display currently valid OMB control number;
 
 
 
If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.
07/21/1981


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