Federal Register #3235-0031

SEC Request for Public Comment on Extension of Information Collection Under Rule 17f-2(e)

This notice from the Securities and Exchange Commission (SEC) seeks public comment on the proposed extension of information collection under Rule 17f-2(e), related to fingerprinting exemptions for certain financial entities. - Government Buyer: - Securities and Exchange Commission (SEC) - OEMs and Vendors: - No OEMs or vendors are mentioned; this is not a procurement action - Products/Services Requested: - No products or services are being procured - The notice concerns recordkeeping and reporting requirements for covered entities (e.g., brokers, dealers, transfer agents, clearing agencies) regarding exemptions from fingerprinting - Unique or Notable Requirements: - Covered entities must maintain documentation supporting exemptions from fingerprinting requirements - Entities must retain these records according to regulatory guidelines - The notice provides an estimated annual burden for respondents - Public comments are invited on the proposed extension - No contract, purchase, or solicitation for goods or services is involved

Description

This notice from the Securities and Exchange Commission (SEC) proposes to extend the collection of information under Rule 17f-2(e). The rule requires covered entities such as members of national securities exchanges, brokers, dealers, registered transfer agents, and registered clearing agencies to fingerprint certain individuals and maintain documentation for exemptions. The notice invites public comments on the proposed extension and provides details on the estimated burden and recordkeeping requirements. It includes URLs for accessing the full text and related documents and references OMB Control No. 3235-0031.

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