[Federal Register Volume 76, Number 160 (Thursday, August 18, 2011)]
[Notices]
[Page 51438]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2011-21030]


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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 Investor Education and Advocacy, 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 (44 U.S.C. 3501 et seq.), the Securities and Exchange 
Commission (``Commission'') has submitted to the Office of Management 
and Budget 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 members of national securities exchanges, 
brokers, dealers, registered transfer agents, and registered clearing 
agencies claiming exemption from the fingerprinting requirements of 
Rule 17f-2 to prepare and maintain a statement supporting their claim 
exemption. There is no filing requirement. Instead, Rule 17f-2(e)(2) 
requires covered entities to make and keep current a copy of the notice 
required by Rule 17f-2(e) in an easily accessible place at the 
organization's principal office and at the office employing the persons 
for whom exemptions are claimed and shall be made 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, and properly retain that document according 
to the entities record retention policies and procedures. The total 
annual burden for all covered entities is approximately 38 hours (75 
entities x .5 hours).
    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 to 
be 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.
    The Commission may not conduct or sponsor a collection of 
information unless it displays a currently valid control number.
    Background documentation for this information collection may be 
viewed 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 e-mail to: [email protected]; and (ii) Thomas Bayer, Director/Chief Information 
Officer, Securities and Exchange Commission, c/o Remi Pavlik-Simon, 
6432 General Green Way, Alexandria, VA 22312 or send an e-mail to: 
[email protected]. Comments must be submitted to OMB within 30 days 
of this notice.

    August 12, 2011.
Elizabeth M. Murphy,
Secretary.
[FR Doc. 2011-21030 Filed 8-17-11; 8:45 am]
BILLING CODE 8011-01-P