Notice2026-19614
Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 17f-2(e)
Primary source
Metadata and text below are from the Federal Register, a public-domain U.S. government work. Always verify the official published version before relying on it for any legal matter.
Published
September 25, 2026
Issuing agencies
Securities and Exchange Commission
Full Text
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<title>Federal Register, Volume 91 Issue 185 (Friday, September 25, 2026)</title>
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[Federal Register Volume 91, Number 185 (Friday, September 25, 2026)]
[Notices]
[Page 61002]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2026-19614]
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SECURITIES AND EXCHANGE COMMISSION
[OMB Control No. 3235-0031]
Agency Information Collection Activities; Submission for OMB
Review; Comment Request; Extension: Rule 17f-2(e)
Upon Written Request, Copies Available From: Securities and Exchange
Commission, Office of FOIA Services, 100 F Street NE, Washington, DC
20549-2736
Notice is hereby given that, pursuant to the Paperwork Reduction
Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange
Commission (``SEC'' or ``Commission'') is submitting to the Office of
Management and Budget (``OMB'') this request for extension of the
proposed collection of information provided for in Rule 17f-2(e) (17
CFR 240.17f-2(e)), under the Securities Exchange Act of 1934 (15 U.S.C.
78a et seq.).
Section 17(f)(2) requires, in pertinent part, that every member of
a national securities exchange, broker, dealer, registered transfer
agent, and registered clearing agency (collectively, ``covered
entities'') require that each of their partners, directors, officers,
and employees be fingerprinted and submit (or cause to be submitted)
such fingerprints to the U.S. Attorney General for identification and
appropriate processing.\1\ Section 17(f)(2) also authorizes the
Commission, by rule, to exempt from the fingerprinting requirements of
Section 17(f)(2) upon specified terms, conditions, and periods, any
class of partners, directors, officers, and employees of a covered
entity, if the Commission finds that such action is not inconsistent
with the public interest or the protection of investors. Rule 17f-2
promulgated under Section 17(f)(2) provides for certain exemptions from
the fingerprinting requirement of Section 17(f)(2).\2\ Under Rule 17f-
2, a covered entity may claim an exemption from the fingerprint
requirements of Rule 17f-2 provided they make and keep current a
statement entitled ``Notice Pursuant to Rule 17f-2'' containing the
information specified in Rule 17f-2(e)(1) to support their claim of
exemption (``Notice'').\3\ Rule 17f-2(e)(2) requires covered entities
to keep a copy of the Notice in an easily accessible place at the
organization's principal office and at the office employing the persons
for whom exemptions are claimed, and to make the Notice available for
inspection upon request by the Commission, appropriate regulatory
agency (if not the Commission), or other designated examining
authority. Notices prepared pursuant to Rule 17f-2(e) must be
maintained for different lengths of time depending on the type of
entity maintaining the Notice. Under Rule 240.17a-1, every registered
clearing agency must keep and preserve at least one copy of all
documents made or received by it in the course of its business for a
period of not less than five years. Under Rule 240.17a-4 certain
members of national securities exchanges, brokers, and dealers must
maintain the Notice during the life of their enterprise. Under Rule
240.17Ad-7, registered transfer agents must maintain the Notice in an
easily accessible place. The recordkeeping requirement under Rule 17f-
2(e) assists the Commission and other regulatory agencies with helping
ensure compliance with Rule 17f-2.
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\1\ 15 U.S.C. 78q(f)(2).
\2\ 17 CFR 240.17f-2.
\3\ 17 CFR 240.17f-2(e).
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Based on the Commission's experience with Rule 17f-2(e), we
estimate that approximately 75 respondents will incur an average burden
of 30 minutes per year to comply with this rule, which represents the
time it takes for a staff person at a covered entity to properly
document a claimed exemption from the fingerprinting requirements of
Rule 17f-2 in the required Notice (0.4 hours, constituting a reporting
type of burden) and to properly retain the Notice according to the
entity's record retention policies and procedures (0.1 hours,
constituting a recordkeeping type of burden). The estimated aggregate
annual burden for all covered entities is approximately 38 hours (75
entities x 0.5 hours, rounded up).
An agency may not conduct or sponsor, and a person is not required
to respond to, a collection of information unless it displays a
currently valid OMB Control Number.
The public may view and comment on this information collection
request at: <a href="https://www.reginfo.gov/public/do/PRAViewICR?ref_nbr=202607-3235-008">https://www.reginfo.gov/public/do/PRAViewICR?ref_nbr=202607-3235-008</a> or email comment to
<a href="/cdn-cgi/l/email-protection#a4e9e6fc8aebe9e68aebedf6e58af7e1e7fbc0c1d7cffbcbc2c2cdc7c1d6e4cbc9c68ac1cbd48ac3cbd2"><span class="__cf_email__" data-cfemail="2e636c760061636c0061677c6f007d6b6d714a4b5d4571414848474d4b5c6e41434c004b415e00494158">[email protected]</span></a> within 30 days of the day
after publication of this notice, by October 26, 2026.
Dated: September 22, 2026.
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2026-19614 Filed 9-24-26; 8:45 am]
BILLING CODE 8011-01-P
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</html>Indexed from Federal Register on September 25, 2026.
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