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

ICR 199110-3235-003

OMB: 3235-0034

Federal Form Document

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Document
Name
Status
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ICR Details
3235-0034 199110-3235-003
Historical Active 198812-3235-007
SEC
FINGERPRINTING REQUIREMENTS FOR SECURITIES PROFESSIONALS (17 CFR 240.17F-2(A))
Revision of a currently approved collection   No
Regular
Approved without change 12/30/1991
Retrieve Notice of Action (NOA) 10/01/1991
  Inventory as of this Action Requested Previously Approved
11/30/1994 11/30/1994 12/31/1991
525,000 0 127,400
262,500 0 63,700
0 0 0

RULE 17F-2(A) REQUIRES THAT SECURITIES PROFESSIONALS BE FINGERPRINTED. THIS REQUIREMENT SERVES TO: (1) IDENTIFY SECURITY RISK PERSONNEL, (2) ALLOW AN EMPLOYER TO MAKE FULLY INFORMED EMPLOYMENT DECISIONS, AND (3) DETER POSSIBLE WRONGDOERS FROM SEEKING EMPLOYMENT IN THE SECURITIES INDUSTRY. PARTNERS, DIRECTORS, OFFICERS, AND EMPLOYEES OF EXCHANGES, BROKERS, DEALERS, TRANSFER AGENTS AND CLEARING AGENCIES ARE

None
None


No

1
IC Title Form No. Form Name
FINGERPRINTING REQUIREMENTS FOR SECURITIES PROFESSIONALS (17 CFR 240.17F-2(A)) RULE NO., FOR 17 CFR, PARA., 240.17F-2(A), RULE, 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 525,000 127,400 0 397,600 0 0
Annual Time Burden (Hours) 262,500 63,700 0 198,800 0 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
Yes
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.
10/01/1991


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