Document ID: SEC-2014-1611-0001
Agency: sec
Document Type: Notice
Title: Agency Information Collection Activities; Proposals, Submissions, and Approvals: Rule 17f-2; Extension
Posted Date: 2014-09-26T04:00Z

[Federal Register Volume 79, Number 187 (Friday, September 26, 2014)]
[Notices]
[Page 57991]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2014-22913]

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SECURITIES AND EXCHANGE COMMISSION

Submission for OMB Review; Comment Request

Upon Written Request, Copies Available From: Securities and Exchange 
Commission, Office of FOIA Services, 100 F Street NE., Washington, DC 
20549.

Extension:
    Rule 17f-2(e): SEC File No. 270-37, OMB Control No. 3235-0031.

    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 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 as long as the covered entity claims an 
exemption from the fingerprinting requirements of Rule 17f-2. 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 link: http://www.reginfo.gov. Comments 
should be directed to: (i) Desk Officer for the Securities and Exchange 
Commission, Office of Information and Regulatory Affairs, Office of 
Management and Budget, Room 10102, New Executive Office Building, 
Washington, DC 20503 or by sending an email to: 
ShaguftaAhmed@omb.eop.gov; and (ii) Thomas Bayer, Director/
Chief Information Officer, Securities and Exchange Commission, c/o Remi 
Pavlik-Simon, 100 F Street NE., Washington, DC 20549, or by sending an 
email to: PRAMailbox@sec.gov. Comments must be submitted to 
OMB within 30 days of this notice.

    Dated: September 22, 2014.
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2014-22913 Filed 9-25-14; 8:45 am]
BILLING CODE 8011-01-P