Retention of Fingerprint Cards (17 CFR 240.17f-2(d))

ICR 201407-3235-004

OMB: 3235-0028

Federal Form Document

Forms and Documents
Document
Name
Status
Supporting Statement A
2014-12-17
IC Document Collections
IC ID
Document
Title
Status
34076
Modified
ICR Details
3235-0028 201407-3235-004
Historical Active 201106-3235-015
SEC TM-270-036
Retention of Fingerprint Cards (17 CFR 240.17f-2(d))
Extension without change of a currently approved collection   No
Regular
Approved without change 12/22/2014
Retrieve Notice of Action (NOA) 11/24/2014
Prior to renewal of this collection, SEC will consider consolidating this collection with 3235-0029.
  Inventory as of this Action Requested Previously Approved
12/31/2017 36 Months From Approved 12/31/2014
318,000 0 318,000
10,600 0 10,600
119,000 0 119,000

Rule 17f-2(d)(1) requires covered entities to keep the processed fingerprint card or any appropriate substitute record together with any information received from the Attorney General for the duration of that person's employment or relationship with the organization and for a period of not less than three years after termination of that person's employment or relationship with the organization. However, subparagraph (2) of the rule permits a self-regulatory organization that is also the covered entities' designated examining authority to store and maintain the records required to be kept by this rule. Subparagraph (3) permits the required records to be maintained on microfilm.

US Code: 15 USC 78a et seq. Name of Law: Securities Exchange Act of 1934
  
None

Not associated with rulemaking

  79 FR 42844 07/23/2014
79 FR 59871 10/03/2014
No

1
IC Title Form No. Form Name
Retention of Fingerprint Cards (17 CFR 240.17f-2(d))

  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 318,000 318,000 0 0 0 0
Annual Time Burden (Hours) 10,600 10,600 0 0 0 0
Annual Cost Burden (Dollars) 119,000 119,000 0 0 0 0
No
No

$0
No
No
No
No
No
Uncollected
Lauren Sprague 202 551-5616

  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.
11/24/2014


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