Fingerprinting requirements for securities professionals. (17 CFR 240.17f-2(a))

ICR 200008-3235-004

OMB: 3235-0034

Federal Form Document

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Document
Name
Status
No forms / supporting documents in this ICR. Check IC Document Collections.
IC Document Collections
ICR Details
3235-0034 200008-3235-004
Historical Active 199707-3235-013
SEC
Fingerprinting requirements for securities professionals. (17 CFR 240.17f-2(a))
Extension without change of a currently approved collection   No
Regular
Approved without change 10/17/2000
Retrieve Notice of Action (NOA) 08/02/2000
  Inventory as of this Action Requested Previously Approved
10/31/2003 10/31/2003 10/31/2000
550,000 0 525,000
275,000 0 262,500
13,475,000 0 12,863,000

Rule 17f-2(a) requires that all securities professionals be fingerprinted. This requirement serves to: (1) identify security risk personnel; (2) allow employers 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 included.

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 550,000 525,000 0 0 25,000 0
Annual Time Burden (Hours) 275,000 262,500 0 0 12,500 0
Annual Cost Burden (Dollars) 13,475,000 12,863,000 0 0 612,000 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.
08/02/2000


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