SEC seeks OMB extension for Rule 17f-2(e) information collection

The Securities and Exchange Commission has submitted to the Office of Management and Budget a request to extend the proposed collection of information for Rule 17f-2(e) (17 CFR 240.17f-2(e)). The request is identified by OMB Control No. 3235-0031 and was dated September 22, 2026.

Rule 17f-2(e) requires each covered entity - members of a national securities exchange, broker, dealer, registered transfer agent, or registered clearing agency - to maintain a current "Notice Pursuant to Rule 17f-2" that documents any exemption claimed from the fingerprinting requirements of Section 17(f)(2). The Notice must be kept in an easily accessible place at the organization's principal office and at the office employing the exempt persons, and must be available for inspection by the Commission or other designated examining authority. Recordkeeping periods vary: clearing agencies must retain at least one copy for five years, exchange members, brokers and dealers must retain the Notice for the life of the enterprise, and transfer agents must keep it readily accessible.

The Commission estimates that approximately 75 respondents will incur an average annual burden of 30 minutes - 0.4 hours for reporting and 0.1 hours for recordkeeping - resulting in an aggregate annual burden of about 38 hours (75 entities × 0.5 hours, rounded up). The collection may not be conducted without a currently valid OMB control number.

Comments on the information collection request may be submitted online at https://www.reginfo.gov/public/do/PRAViewICR?ref_nbr=202607-3235-008 or by email to the protected address provided. The comment period closes on October 26, 2026, 30 days after the day following publication of the notice (FR Doc 2026-19614).