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

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

Document Name
3235-0031.pdf Supplementary Document
3235-0031.pdf Supplementary Document
2023 Rule 17f-2(e) Supporting Statement - DGL REVISED.pdf Supporting Statement A
3235-0031 30 Day Notice.pdf Supplementary Document
3235-0031 60 day notice.pdf Supplementary Document
Notice pursuant to Rule 17f-2(e)(17 CFR 240.17f-2(e))

All Historical Document Collections

202307-3235-006 Approved without change	Extension without change of a currently approved collection	2023-09-22
202002-3235-012 Approved without change	Extension without change of a currently approved collection	2020-09-21
201705-3235-010 Approved without change	Extension without change of a currently approved collection	2017-08-23
201406-3235-005 Approved without change	Extension without change of a currently approved collection	2014-09-29
201106-3235-004 Approved without change	Extension without change of a currently approved collection	2011-08-23
200802-3235-013 Approved without change	Extension without change of a currently approved collection	2008-05-13
200506-3235-002 Approved without change	Extension without change of a currently approved collection	2005-06-09
200206-3235-001 Approved without change	Extension without change of a currently approved collection	2002-06-04
199907-3235-001 Approved without change	Extension without change of a currently approved collection	1999-07-06
199609-3235-014 Approved without change	Extension without change of a currently approved collection	1996-09-01
199308-3235-018 Approved without change	Revision of a currently approved collection	1993-08-04
199011-3235-004 Approved without change	Revision of a currently approved collection	1990-11-19
198710-3235-007 Approved without change	Revision of a currently approved collection	1987-10-05
198407-3235-003 Approved without change	Revision of a currently approved collection	1984-07-11
198205-3235-001 Approved without change	Revision of a currently approved collection	1982-05-03
198107-3235-009 Approved without change	New collection (Request for a new OMB Control Number)	1981-07-21