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

Forms and Documents

Document Name	Status
3235-0029 30 Day Notice.pdf Supplementary Document	2021-02-12
3235-0029 60 Day Notice.pdf Supplementary Document	2021-02-12
DGL REVISED 2020 17f-2(c) Supporting Statement (004).pdf Supporting Statement A	2020-11-20
DST Comment Letter re Fingerprinting Process Information Collection for SEC 17f-2 Nov_6_17.pdf Supplementary Document	2017-12-15

IC Document Collections

IC ID	Document Title	Status
34080	Electronic Fingerprint Submissions	Modified
211829	Paper Fingerprint Submissions	Modified

ICR Details

OMB Control No: 3235-0029	ICR Reference No: 202011-3235-010
Status: Received in OIRA	Previous ICR Reference No: 201707-3235-011
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	Date Submitted to OIRA: 02/12/2021

	Requested	Previously Approved
Expiration Date	36 Months From Approved	02/28/2021
Responses	281,804	285,600
Time Burden (Hours)	70,451	71,400
Cost Burden (Dollars)	7,748,149	7,770,000

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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:
	85 FR 77476	12/02/2020
30-day Notice:	Federal Register Citation:	Citation Date:
	86 FR 9403	02/12/2021
Did the Agency receive public comments on this ICR? No

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

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

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ICR Summary of Burden

	Total Request	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	281,804	285,600	0	0	-3,796	0
Annual Time Burden (Hours)	70,451	71,400	0	0	-949	0
Annual Cost Burden (Dollars)	7,748,149	7,770,000	0	0	-21,851	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 has decreased from 71,400 to 70,451 due to a decrease in the number of fingerprint sets submitted. The estimated cost burden has decreased from $7,770,000 to $7,748,149 because (even though there has been a slight increase in the cost of processing electronic and hard copy fingerprint cards) 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: 02/12/2021

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