8011-01P
SECURITIES AND EXCHANGE COMMISSION
[SEC File No. 270-035, OMB Control No. 3235-0029]
Proposed Collection; Comment Request; Extension: Rule 17f-2(c)
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 (“PRA”)
(44 U.S.C. 3501 et seq.), the Securities and Exchange Commission (“Commission”) is soliciting
comments on the existing collection of information provided for in Rule 17f-2(c) (17 CFR
240.17f-2(c)), under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.). The
Commission plans to submit this existing collection of information to the Office of Management
and Budget (“OMB”) for extension and approval.
Rule 17f-2(c) allows persons required to be fingerprinted pursuant to Section 17(f)(2) of
the Act to submit their fingerprints to the Attorney General of the United States or its designee
(i.e., the Federal Bureau of Investigation (“FBI”)) through a registered national securities
exchange or a registered national securities association (collectively, also known as “selfregulatory organizations” or “SROs”) pursuant to a fingerprint plan filed with, and declared
effective by, the Commission. Fingerprint plans have been declared effective for the American,
Boston, Chicago, New York, and Philadelphia stock exchanges and for the Financial Industry
Regulatory Authority (“FINRA”) and the Chicago Board Options Exchange. Currently, FINRA
accounts for the bulk of the fingerprint submissions.
It is estimated that 3,800 respondents submit approximately 278,455 sets of fingerprints
(consisting of approximately 258,646 electronic sets and 19,809 hard copy sets) to SROs on an

annual basis. The Commission estimates that it takes approximately 15 minutes to create and
submit each fingerprint card. The total time burden is therefore estimated to be approximately
69,614 hours per year.
In addition, the SROs charge an estimated $31 fee for processing fingerprint cards
submitted electronically, resulting in a total annual cost to all 3,800 respondents of
approximately $8,018,026 per year. The SROs charge an estimated $41 fee for processing
fingerprint cards submitted in hard copy, resulting in a total annual cost to all 3,800 respondents
of approximately $812,169 per year. The combined cost to all respondents is thus approximately
$8,830,195 per year.
Because the FBI will not accept fingerprint cards directly from submitting organizations,
Commission approval of fingerprint plans from certain SROs is essential to carry out the
Congressional goal to fingerprint securities industry personnel. Filing these plans for review
assures users and their personnel that fingerprint cards will be handled responsibly and with due
care for confidentiality.
Written comments are invited on: (a) whether the proposed collection of information is
necessary for the proper performance of the functions of the Commission, including whether the
information shall have practical utility; (b) the accuracy of the Commission's estimates of the
burden of the proposed collection of information; (c) ways to enhance the quality, utility, and
clarity of the information collected; and (d) ways to minimize the burden of the collection of
information on respondents, including through the use of automated collection techniques or
other forms of information technology. Consideration will be given to comments and
suggestions submitted by [INSERT DATE 60 DAYS AFTER DATE OF

PUBLICATION OF THIS NOTICE IN THE FEDERAL REGISTER].
An agency may not conduct or sponsor, and a person is not required to respond to, a
collection of information under the PRA unless it displays a currently valid OMB control
number.

Please direct your written comments to: David Bottom, Director/Chief Information
Officer, Securities and Exchange Commission, c/o John Pezzullo, 100 F Street, NE, Washington,
DC 20549, or send an e-mail to: PRA_Mailbox@sec.gov.
Dated:

June 3, 2024.

Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2024-12442 Filed: 6/5/2024 8:45 am; Publication Date: 6/6/2024]