30-Day Notice

Federal Register / Vol. 89, No. 217 / Friday, November 8, 2024 / Notices
SECURITIES AND EXCHANGE
COMMISSION
[SEC File No. 270–034, OMB Control No.
3235–0034]

ddrumheller on DSK120RN23PROD with NOTICES1

Submission for OMB Review;
Comment Request; Extension: Rule
17f–2(a)
Upon Written Request, Copies Available
From: Securities and Exchange
Commission, Office of FOIA Services,
100 F Street NE, Washington, DC
20549–2736.
Notice is hereby given that pursuant
to the Paperwork Reduction Act of 1995
(44 U.S.C. 3501 et seq.) (‘‘PRA’’), the
Securities and Exchange Commission
(‘‘Commission’’) has submitted to the
Office of Management and Budget
(‘‘OMB’’) a request for approval of
extension of the previously approved
collection of information provided for in
Rule 17f–2(a) (17 CFR 240.17f–2(a)),
under the Securities Exchange Act of
1934 (15 U.S.C. 78a et seq.).
Rule 17f–2(a) (Fingerprinting
Requirements for Securities
Professionals) requires that securities
professionals be fingerprinted. This
requirement serves to identify securityrisk personnel, to allow an employer to
make fully informed employment
decisions, and to deter possible
wrongdoers from seeking employment
in the securities industry. Partners,
directors, officers, and employees of
exchanges, brokers, dealers, transfer
agents, and clearing agencies are
included.
The Commission staff estimates that
approximately 4,480 respondents will
submit an aggregate total of 289,780 new
fingerprint cards each year or
approximately 65 fingerprint cards per
year per registrant. The staff estimates
that the average number of hours
necessary to complete a fingerprint card
is one-half hour. Thus, the total
estimated annual burden is 144,890
hours for all respondents (289,780 times
one-half hour). The average internal cost
of compliance per hour is
approximately $310. Therefore, the total
estimated annual internal cost of
compliance for all respondents is
$44,915,900 (144,890 times $310).
This rule does not involve the
collection of confidential information.
An agency may not conduct or
sponsor, and a person is not required to
respond to, a collection of information
under the PRA unless it displays a
currently valid OMB control number.
The public may view background
documentation for this information
collection at the following website:
www.reginfo.gov. Find this particular

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information collection by selecting
‘‘Currently under 30-day Review—Open
for Public Comments’’ or by using the
search function. Written comments and
recommendations for the proposed
information collection should be sent
within 30 days of publication of this
notice by December 9, 2024 to (i)
www.reginfo.gov/public/do/PRAMain or
MBX.OMB.OIRA.SEC_desk_officer@
omb.eop.gov, and (ii) Austin Gerig,
Director/Chief Data Officer, Securities
and Exchange Commission, c/o Tanya
Ruttenberg, 100 F Street NE,
Washington, DC 20549, or by sending an
email to: [email protected].
Dated: November 4, 2024.
Vanessa A. Countryman,
Secretary.
[FR Doc. 2024–25920 Filed 11–7–24; 8:45 am]
BILLING CODE 8011–01–P

SECURITIES AND EXCHANGE
COMMISSION
[SEC File No. 270–199, OMB Control No.
3235–0199]

Submission for OMB Review;
Comment Request Extension: Rule
17a–5(c)
Upon Written Request, Copies
Available From: Securities and
Exchange Commission, Office of FOIA
Services, 100 F Street NE, Washington,
DC 20549–2736.
Notice is hereby given that pursuant
to the Paperwork Reduction Act of 1995
(‘‘PRA’’) (44 U.S.C. 3501 et seq.), the
Securities and Exchange Commission
(‘‘Commission’’) has submitted to the
Office of Management and Budget
(‘‘OMB’’) a request for approval of
extension of the previously approved
collection of information provided for in
Rule 17a–5(c), (17 CFR 240.17a–5(c)),
under the Securities Exchange Act of
1934 (15 U.S.C. 78a et seq.).
Rule 17a–5(c) generally requires
broker-dealers who carry customer
accounts to provide statements of the
broker-dealer’s financial condition to
their customers. Paragraph (c)(5) of Rule
17a–5 provides a conditional exemption
from this requirement. A broker-dealer
that elects to take advantage of the
exemption must publish its statements
on its website in a prescribed manner,
and must maintain a toll-free number
that customers can call to request a copy
of the statements.
The purpose of the Rule is to ensure
that customers of broker-dealers are
provided with information concerning
the financial condition of the firm that
may be holding the customers’ cash and
securities. The Commission, when

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adopting the Rule in 1972, stated that
the goal was to ‘‘directly’’ send a
customer essential information so that
the customer could ‘‘judge whether his
broker or dealer is financially sound.’’
The Commission adopted the Rule in
response to the failure of several brokerdealers holding customer funds and
securities in the period between 1968
and 1971.
The Commission estimates that
approximately 153 broker-dealer
respondents carrying approximately 272
million public customer accounts incur
a burden of approximately 327,444
hours per year to comply with the Rule.
An agency may not conduct or
sponsor, and a person is not required to
respond to, a collection of information
under the PRA unless it displays a
currently valid OMB control number.
The public may view background
documentation for this information
collection at the following website:
www.reginfo.gov. Find this particular
information collection by selecting
‘‘Currently under 30-day Review—Open
for Public Comments’’ or by using the
search function. Written comments and
recommendations for the proposed
information collection should be sent
within 30 days of publication of this
notice by December 9, 2024 to (i)
www.reginfo.gov/public/do/PRAMain or
MBX.OMB.OIRA.SEC_desk_officer@
omb.eop.gov, and (ii) Austin Gerig,
Director/Chief Data Officer, Securities
and Exchange Commission, c/o Tanya
Ruttenberg, 100 F Street NE,
Washington, DC 20549, or by sending an
email to: [email protected].
Dated: November 4, 2024.
Vanessa A. Countryman,
Secretary.
[FR Doc. 2024–25921 Filed 11–7–24; 8:45 am]
BILLING CODE 8011–01–P

SECURITIES AND EXCHANGE
COMMISSION
[SEC File No. 270–489, OMB Control No.
3235–0541]

Proposed Collection; Comment
Request; Extension: Rule 606 of
Regulation NMS
Upon Written Request, Copies Available
From: Securities and Exchange
Commission, Office of FOIA Services,
100 F Street NE, Washington, DC
20549–2736.
Notice is hereby given that, pursuant
to the Paperwork Reduction Act of 1995
(44 U.S.C. 3501 et seq.) (‘‘PRA’’), the
Securities and Exchange Commission
(‘‘Commission’’) is soliciting comments
on the existing collection of information

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