OMB control number
Rule 17f-2(a): Fingerprinting Requirements for Securities Professionals
OMB 3235-0034 · SEC.
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 2027-12-31 and is listed under ICR 202407-3235-018.
Latest Forms, Documents, and Supporting Material
| Document | Type |
|---|---|
 89 FR 88841 (OMB 3235-0034).pdf | Supplementary Document |
| 89 FR 68226 (OMB 3235-0034).pdf | Supplementary Document |
| Supporting Statement_Rule 17f-2(a) 2024 DGL REVISED.pdf | Supporting Statement A |
 Fingerprinting Requirements |
Information collection |