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

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
89 FR 65421 (OMB 3235-0029).pdf	Supplementary Document	Uploaded 2024-08-09	Repair queued
89 FR 48476 (OMB 3235-0029).pdf	Supplementary Document	Uploaded 2024-08-09	Repair queued
Supporting Statement_Rule 17f-2(c) 2024 DGL REVISED.pdf	Supporting Statement A	Uploaded 2024-05-31	Repair queued
3235-0029 30 Day Notice.pdf	Supplementary Document	Uploaded 2021-02-12	Repair queued
3235-0029 60 Day Notice.pdf	Supplementary Document	Uploaded 2021-02-12	Repair queued
DST Comment Letter re Fingerprinting Process Information Collection for SEC 17f-2 Nov_6_17.pdf	Supplementary Document	Uploaded 2017-12-15	Repair queued

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
34080	Electronic Fingerprint Submissions		Modified
211829	Paper Fingerprint Submissions		Modified

ICR Details

OMB Control No: 3235-0029	ICR Reference No: 202405-3235-011
Status: Active	Previous ICR Reference No: 202011-3235-010
Agency/Subagency: SEC	Agency Tracking No: TM-270-035
Title: Fingerprinting Plans of Self-Regulatory Organizations. (17 CFR 240.17f-2(c))
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 09/27/2024
Retrieve Notice of Action (NOA)	Date Received in OIRA: 08/09/2024
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	09/30/2027	36 Months From Approved	10/31/2024
Responses	278,455	0	281,804
Time Burden (Hours)	69,614	0	70,451
Cost Burden (Dollars)	8,830,195	0	7,748,149

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Abstract: 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.

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Authorizing Statute(s): US Code: 15 USC 78a et seq. Name of Law: Securities Exchange Act of 1934
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	89 FR 48476	06/06/2024
30-day Notice:	Federal Register Citation:	Citation Date:
	89 FR 65421	08/09/2024
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 2

table that charts list of burden

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

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ICR Summary of Burden

table that charts list of burden

	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	278,455	281,804	0	0	-3,349	0
Annual Time Burden (Hours)	69,614	70,451	0	0	-837	0
Annual Cost Burden (Dollars)	8,830,195	7,748,149	0	0	1,082,046	0

Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: The estimated time burden decreased from 70,451 to 69,614 due to a decrease in the number of fingerprint sets submitted. The estimated cost burden increased from $7,748,149 to $8,830,195 because there has been an increase in the cost of processing electronic fingerprint submissions, even though 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.

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Annual Cost to Federal Government: $0

Does this IC contain surveys, censuses, or employ statistical methods? No

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     No

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? No

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Common Form ICR:  No

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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:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(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;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

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.

Certification Date: 08/09/2024

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