[Federal Register Volume 82, Number 227 (Tuesday, November 28, 2017)]
[Notices]
[Pages 56319-56320]
[FR Doc No: 2017-25600]

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SECURITIES AND EXCHANGE COMMISSION

[SEC File No. 270-035, OMB Control No. 3235-0029]

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
20549-2736

Extension:
    Rule 17Ad-2(c), (d), and (h)

    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
17Ad-2(c), (d), and (h), (17 CFR 240.17Ad-2(c), (d), and (h)), under
the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.).
    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 ``self-regulatory organizations'' or
``SROs'') pursuant to a fingerprint plan filed with, and declared
effective by, the Commission. Fingerprint plans have been approved 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, the bulk
of the fingerprints are submitted through FINRA.
    It is estimated that 4,200 respondents submit approximately 285,600
sets of fingerprints (consisting of approximately 243,600 electronic
sets and 42,000 hard copy sets) to SROs on an annual basis. The
Commission estimates that it would take approximately 15 minutes to
create and submit each fingerprint card. The total reporting burden is
therefore estimated to be approximately 71,400 hours, or approximately
15 hours per respondent, annually.
    In addition, the SROs charge an estimated $25.00 fee for processing
fingerprint cards submitted electronically, resulting in a total annual
cost to all 4,200 respondents of $6,090,000, or $1,450 per respondent
per year. The SROs charge an estimated $40.00 fee for processing
fingerprint cards submitted in hard copy, resulting in a total annual
cost to all 4,200 respondents of approximately $1,680,000, or $400 per
respondent per year. The combined annual cost to all respondents is
thus $7,770,000.
    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.
    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 Web site: 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:
[email protected]; and (ii) Pamela Dyson, 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: [email protected]. Comments must be submitted to OMB within
30 days of this notice.

    Dated: November 21, 2017.
Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2017-25600 Filed 11-27-17; 8:45 am]
 BILLING CODE 8011-01-P