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

OMB 3235-0034

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.

The latest form for Rule 17f-2(a): Fingerprinting Requirements for Securities Professionals expires 2022-04-30 and can be found here.

Latest Forms, Documents, and Supporting Material

Document Name
3235-0034 2021-24423.pdf Supplementary Document
3235-0034.pdf Supplementary Document
DGL REVISED 2021 Rule 17f-2(a) - Supporting Statements.pdf Supporting Statement A
30 day notice for Rule 17f-2(a).pdf Supplementary Document
60 day notice for 17f-2(a).pdf Supplementary Document
Fingerprinting Requirements

All Historical Document Collections

202110-3235-012 Approved with change	Extension without change of a currently approved collection	2022-01-11
201810-3235-018 Approved with change	Extension without change of a currently approved collection	2018-12-19
201509-3235-003 Approved without change	Extension without change of a currently approved collection	2015-10-21
201208-3235-009 Approved without change	Revision of a currently approved collection	2012-08-16
200909-3235-011 Approved without change	Extension without change of a currently approved collection	2009-10-21
200610-3235-008 Approved without change	Revision of a currently approved collection	2006-12-11
200312-3235-006 Approved without change	Extension without change of a currently approved collection	2003-12-12
200008-3235-004 Approved without change	Extension without change of a currently approved collection	2000-08-02
199707-3235-013 Approved without change	Extension without change of a currently approved collection	1997-07-31
199408-3235-006 Approved without change	Extension without change of a currently approved collection	1994-08-08
199110-3235-003 Approved without change	Revision of a currently approved collection	1991-10-01
198812-3235-007 Approved without change	Reinstatement with change of a previously approved collection	1988-12-07
198508-3235-034 Approved without change	Revision of a currently approved collection	1985-08-08
198407-3235-004 Approved without change	Revision of a currently approved collection	1984-07-11
198308-3235-009 Approved with change	No material or nonsubstantive change to a currently approved collection	1983-08-16
198107-3235-011 Approved without change	New collection (Request for a new OMB Control Number)	1981-07-21