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

ICR 202011-3235-011

OMB: 3235-0028

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
IC Document Collections
IC ID
Document
Title
Status
34076
Modified
ICR Details
3235-0028 202011-3235-011
Received in OIRA 201707-3235-012
SEC TM-270-036
Retention of Fingerprint Cards (17 CFR 240.17f-2(d))
Extension without change of a currently approved collection   No
Regular 02/12/2021
  Requested Previously Approved
36 Months From Approved 02/28/2021
265,200 285,600
8,840 9,520
39,000 42,000

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

  85 FR 77476 12/02/2020
86 FR 9414 02/12/2021
No

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

  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 265,200 285,600 0 0 -20,400 0
Annual Time Burden (Hours) 8,840 9,520 0 0 -680 0
Annual Cost Burden (Dollars) 39,000 42,000 0 0 -3,000 0
No
No
The overall burden decreased due to the decrease in the number of entities subject to the recordkeeping requirements of the Rule 17f-2(d) (4200 to 3900).

$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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