Rule 17f-2(a): Fingerprinting Requirements for Securities Professionals

ICR 202110-3235-012

OMB: 3235-0034

Federal Form Document

Forms and Documents
Document
Name
Status
Supplementary Document
2022-01-11
Supplementary Document
2022-01-11
Supporting Statement A
2021-10-25
Supplementary Document
2018-12-20
Supplementary Document
2018-12-20
IC Document Collections
IC ID
Document
Title
Status
34097
Unchanged
ICR Details
3235-0034 202110-3235-012
Received in OIRA 201810-3235-018
SEC TM-3235-0034
Rule 17f-2(a): Fingerprinting Requirements for Securities Professionals
Extension without change of a currently approved collection   No
Regular 01/11/2022
  Requested Previously Approved
36 Months From Approved 04/30/2022
289,780 289,780
144,890 144,890
0 0

Rule 17f-2(a) requires that all securities personnel 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, broker-dealers, transfer agents, and clearing agencies are included.

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

Not associated with rulemaking

  86 FR 62234 11/09/2021
87 FR 1462 01/11/2022
No

1
IC Title Form No. Form Name
Fingerprinting Requirements

  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 289,780 289,780 0 0 0 0
Annual Time Burden (Hours) 144,890 144,890 0 0 0 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0
No
No

$0
No
    No
    No
No
No
No
No
Jimmy McNamara 202 551-6001

  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.
01/11/2022


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