
[Federal Register Volume 88, Number 183 (Friday, September 22, 2023)]
[Notices]
[Pages 65411-65412]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2023-20528]


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SECURITIES AND EXCHANGE COMMISSION

[SEC File No. 270-037, OMB Control No. 3235-0031]


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 (``PRA'') (44 U.S.C. 3501 et seq.), the Securities and Exchange 
Commission (``Commission'') has submitted to the Office of Management 
and Budget (``OMB'') a request for approval of

[[Page 65412]]

extension of the previously approved 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.).
    Rule 17f-2(e) requires every member of a national securities 
exchange, broker, dealer, registered transfer agent, and registered 
clearing agency (``covered entities'') claiming an exemption from the 
fingerprinting requirements of Rule 17f-2 to make and keep current a 
statement entitled ``Notice Pursuant to Rule 17f-2'' (``Notice'') 
containing the information specified in paragraph (e)(1) to support 
their claim of exemption.
    Rule 17f-2(e) contains no filing requirement. Instead, paragraph 
(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 upon request for inspection 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 ensuring 
compliance with Rule 17f-2. This rule does not involve the collection 
of confidential information.
    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 and to properly 
retain the Notice according to the entity's record retention policies 
and procedures. The total annual burden for all covered entities is 
approximately 38 hours (75 entities x .5 hours, rounded up).
    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.
    The public may view background documentation for this information 
collection at the following website: www.reginfo.gov. Find this 
particular information collection by selecting ``Currently under 30-day 
Review--Open for Public Comments'' or by using the search function. 
Written comments and recommendations for the proposed information 
collection should be sent by October 23, 2023 to (i) www.reginfo.gov/public/do/PRAMain and (ii) David Bottom, Director/Chief Information 
Officer, Securities and Exchange Commission, c/o John Pezzullo, 100 F 
Street NE, Washington, DC 20549, or by sending an email to: 
[email protected].

    Dated: September 18, 2023.
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2023-20528 Filed 9-21-23; 8:45 am]
BILLING CODE 8011-01-P


