Notice pursuant to Rule 17f-2(e)(17 CFR 240.17f-2(e))

OMB 3235-0031

OMB 3235-0031

Rule 17f-2(e) requires members of national securities exchanges, brokers, dealers, registered transfer agents, and registered clearing agencies that claim an exemption from the fingerprint requirements of Rule 17f-2 to prepare and maintain a statement supporting their claim for exemption and specifies the information that must be included in these statements.

The latest form for Notice pursuant to Rule 17f-2(e)(17 CFR 240.17f-2(e)) expires 2023-11-30 and can be found here.

Latest Forms, Documents, and Supporting Material
All Historical Document Collections
Approved without change
Extension without change of a currently approved collection 2020-09-21
Approved without change
Extension without change of a currently approved collection 2017-08-23
Approved without change
Extension without change of a currently approved collection 2014-09-29
Approved without change
Extension without change of a currently approved collection 2011-08-23
Approved without change
Extension without change of a currently approved collection 2008-05-13
Approved without change
Extension without change of a currently approved collection 2005-06-09
Approved without change
Extension without change of a currently approved collection 2002-06-04
Approved without change
Extension without change of a currently approved collection 1999-07-06
Approved without change
Extension without change of a currently approved collection 1996-09-01
Approved without change
Revision of a currently approved collection 1993-08-04
Approved without change
Revision of a currently approved collection 1990-11-19
Approved without change
Revision of a currently approved collection 1987-10-05
Approved without change
Revision of a currently approved collection 1984-07-11
Approved without change
Revision of a currently approved collection 1982-05-03
Approved without change
New collection (Request for a new OMB Control Number) 1981-07-21

© 2021 OMB.report | Privacy Policy