Federal Register / Vol. 89, No. 217 / Friday, November 8, 2024 / Notices 88841 

SECURITIES AND EXCHANGE 

COMMISSION 

[SEC File No. 270–034, OMB Control No. 

3235–0034] 

Submission for OMB Review; 

Comment Request; Extension: Rule 

17f–2(a) 

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.) (‘‘PRA’’), the 

Securities and Exchange Commission 

(‘‘Commission’’) has submitted to the 

Office of Management and Budget 

(‘‘OMB’’) a request for approval of 

extension of the previously approved 

collection of information provided for in 

Rule 17f–2(a) (17 CFR 240.17f–2(a)), 

under the Securities Exchange Act of 

1934 (15 U.S.C. 78a et seq.). 

Rule 17f–2(a) (Fingerprinting 

Requirements for Securities 

Professionals) requires that securities 

professionals be fingerprinted. This 

requirement serves to identify securityrisk personnel, to allow an employer to 

make fully informed employment 

decisions, and to deter possible 

wrongdoers from seeking employment 

in the securities industry. Partners, 

directors, officers, and employees of 

exchanges, brokers, dealers, transfer 

agents, and clearing agencies are 

included. 

The Commission staff estimates that 

approximately 4,480 respondents will 

submit an aggregate total of 289,780 new 

fingerprint cards each year or 

approximately 65 fingerprint cards per 

year per registrant. The staff estimates 

that the average number of hours 

necessary to complete a fingerprint card 

is one-half hour. Thus, the total 

estimated annual burden is 144,890 

hours for all respondents (289,780 times 

one-half hour). The average internal cost 

of compliance per hour is 

approximately $310. Therefore, the total 

estimated annual internal cost of 

compliance for all respondents is 

$44,915,900 (144,890 times $310). 

This rule does not involve the 

collection of confidential information. 

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 

within 30 days of publication of this 

notice by December 9, 2024 to (i) 

www.reginfo.gov/public/do/PRAMain or 

MBX.OMB.OIRA.SEC_desk_officer@

omb.eop.gov, and (ii) Austin Gerig, 

Director/Chief Data Officer, Securities 

and Exchange Commission, c/o Tanya 

Ruttenberg, 100 F Street NE, 

Washington, DC 20549, or by sending an 

email to: PRA_Mailbox@sec.gov. 

Dated: November 4, 2024. 

Vanessa A. Countryman, 

Secretary. 

[FR Doc. 2024–25920 Filed 11–7–24; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[SEC File No. 270–199, OMB Control No. 

3235–0199] 

Submission for OMB Review; 

Comment Request Extension: Rule 

17a–5(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’’) has submitted to the 

Office of Management and Budget 

(‘‘OMB’’) a request for approval of 

extension of the previously approved 

collection of information provided for in 

Rule 17a–5(c), (17 CFR 240.17a–5(c)), 

under the Securities Exchange Act of 

1934 (15 U.S.C. 78a et seq.). 

Rule 17a–5(c) generally requires 

broker-dealers who carry customer 

accounts to provide statements of the 

broker-dealer’s financial condition to 

their customers. Paragraph (c)(5) of Rule 

17a–5 provides a conditional exemption 

from this requirement. A broker-dealer 

that elects to take advantage of the 

exemption must publish its statements 

on its website in a prescribed manner, 

and must maintain a toll-free number 

that customers can call to request a copy 

of the statements. 

The purpose of the Rule is to ensure 

that customers of broker-dealers are 

provided with information concerning 

the financial condition of the firm that 

may be holding the customers’ cash and 

securities. The Commission, when 

adopting the Rule in 1972, stated that 

the goal was to ‘‘directly’’ send a 

customer essential information so that 

the customer could ‘‘judge whether his 

broker or dealer is financially sound.’’ 

The Commission adopted the Rule in 

response to the failure of several brokerdealers holding customer funds and 

securities in the period between 1968 

and 1971. 

The Commission estimates that 

approximately 153 broker-dealer 

respondents carrying approximately 272 

million public customer accounts incur 

a burden of approximately 327,444 

hours per year to comply with the Rule. 

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 

within 30 days of publication of this 

notice by December 9, 2024 to (i) 

www.reginfo.gov/public/do/PRAMain or 

MBX.OMB.OIRA.SEC_desk_officer@

omb.eop.gov, and (ii) Austin Gerig, 

Director/Chief Data Officer, Securities 

and Exchange Commission, c/o Tanya 

Ruttenberg, 100 F Street NE, 

Washington, DC 20549, or by sending an 

email to: PRA_Mailbox@sec.gov. 

Dated: November 4, 2024. 

Vanessa A. Countryman, 

Secretary. 

[FR Doc. 2024–25921 Filed 11–7–24; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[SEC File No. 270–489, OMB Control No. 

3235–0541] 

Proposed Collection; Comment 

Request; Extension: Rule 606 of 

Regulation NMS 

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.) (‘‘PRA’’), the 

Securities and Exchange Commission 

(‘‘Commission’’) is soliciting comments 

on the existing collection of information 


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