Fingerprinting Plans of Self-Regulatory Organizations. (17 CFR 240.17f-2(c))

ICR 202011-3235-010

OMB: 3235-0029

Federal Form Document

Forms and Documents
Document
Name
Status
Supplementary Document
2021-02-12
Supplementary Document
2021-02-12
Supporting Statement A
2020-11-20
Supplementary Document
2017-12-15
IC Document Collections
IC ID
Document
Title
Status
34080
Modified
211829
Modified
ICR Details
3235-0029 202011-3235-010
Received in OIRA 201707-3235-011
SEC TM-270-035
Fingerprinting Plans of Self-Regulatory Organizations. (17 CFR 240.17f-2(c))
Extension without change of a currently approved collection   No
Regular 02/12/2021
  Requested Previously Approved
36 Months From Approved 02/28/2021
281,804 285,600
70,451 71,400
7,748,149 7,770,000

Rule 17f-2(c) allows persons required to be fingerprinted pursuant to Section 17(f)(2) of the Securities Exchange Act of 1934 to submit their fingerprints through a registered securities exchange or a national securities association in accordance with a plan submitted to and approved by the Commission.

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

Not associated with rulemaking

  85 FR 77476 12/02/2020
86 FR 9403 02/12/2021
No

2
IC Title Form No. Form Name
Electronic Fingerprint Submissions
Paper Fingerprint Submissions

  Total Request 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 281,804 285,600 0 0 -3,796 0
Annual Time Burden (Hours) 70,451 71,400 0 0 -949 0
Annual Cost Burden (Dollars) 7,748,149 7,770,000 0 0 -21,851 0
No
No
The estimated time burden has decreased from 71,400 to 70,451 due to a decrease in the number of fingerprint sets submitted. The estimated cost burden has decreased from $7,770,000 to $7,748,149 because (even though there has been a slight increase in the cost of processing electronic and hard copy fingerprint cards) there has been both a decrease in the total number of fingerprint sets submitted and a shift away from the use of paper submissions to a greater use of electronic submissions, which are less costly.

$0
No
    No
    No
No
No
No
No
Elizabeth De Boyrie 202 551-5989

  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.
02/12/2021


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