Submission for OMB Review; Comment Request, 9414 [2021-02958]

Download as PDF 9414 Federal Register / Vol. 86, No. 28 / Friday, February 12, 2021 / Notices Dated: February 8, 2021. J. Matthew DeLesDernier, Assistant Secretary. SECURITIES AND EXCHANGE COMMISSION unless it displays a currently valid control number. Please direct your written comment to David Bottom, Director/Chief Information Officer, Securities and Exchange Commission, c/o Cynthia Roscoe, 100 F Street NE, Washington, DC 20549 or send an email to: PRA_ Mailbox@sec.gov. [SEC File No. 270–170, OMB Control No. 3235–0167] Dated: February 8, 2021. J. Matthew DeLesDernier, Assistant Secretary. [FR Doc. 2021–02862 Filed 2–11–21; 8:45 am] BILLING CODE 8011–01–P [FR Doc. 2021–02863 Filed 2–11–21; 8:45 am] Proposed Collection; Comment Request BILLING CODE 8011–01–P Upon Written Request Copies Available From: Securities and Exchange Commission, Office of FOIA Services, 100 F Street NE, Washington, DC 20549–2736. Extension: Form 15 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’’) is soliciting comments on the collection of information summarized below. The Commission plans to submit this existing collection of information to the Office of Management and Budget for extension and approval. Form 15 (17 CFR 249.323) is a certification of termination of a class of security under Section 12(g) or notice of suspension of duty to file reports pursuant to Sections 13 and 15(d) of the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.). We estimate that approximately 1,062 issuers file Form 15 annually and it takes approximately 1.5 hours per response to prepare for a total of 1,593 annual burden hours (1.5 hours per response × 1,062 responses). Written comments are invited on: (a) Whether this proposed collection of information is necessary for the proper performance of the functions of the agency, including whether the information will have practical utility; (b) the accuracy of the agency’s estimate of the burden imposed by the collection of information; (c) ways to enhance the quality, utility, and clarity of the information 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. Consideration will be given to comments and suggestions submitted in writing within 60 days of this publication. An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information VerDate Sep<11>2014 17:27 Feb 11, 2021 Jkt 253001 SECURITIES AND EXCHANGE COMMISSION [SEC File No. 270–36, OMB Control No. 3235–0028] 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 17f–2(d) 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(d) (17 CFR 240.17f–2(d)), under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.). Rule 17f–2(d) requires that records created pursuant to the fingerprinting requirements of Section 17(f)(2) of the Act be maintained and preserved by every member of a national securities exchange, broker, dealer, registered transfer agent and registered clearing agency (‘‘covered entities’’ or ‘‘respondents’’); permits, under certain circumstances, the records required to be maintained and preserved by a member of a national securities exchange, broker, or dealer to be maintained and preserved by a selfregulatory organization that is also the designated examining authority for that member, broker or dealer; and permits the required records to be preserved on microfilm. The general purpose of Rule 17f–2 is to: (i) Identify security risk personnel; (ii) provide criminal record information so that employers can make fully informed employment decisions; and (iii) deter persons with criminal records from seeking employment or PO 00000 Frm 00098 Fmt 4703 Sfmt 9990 association with covered entities. The rule enables the Commission or other examining authority to ascertain whether all covered persons are being fingerprinted and whether proper procedures regarding fingerprinting are being followed. Retention of these records for a period of not less than three years after termination of a covered person’s employment or relationship with a covered entity ensures that law enforcement officials will have easy access to fingerprint cards on a timely basis. This in turn acts as an effective deterrent to employee misconduct. Approximately 3,900 respondents are subject to the recordkeeping requirements of the rule. Each respondent maintains approximately 68 new records per year, each of which takes approximately 2 minutes per record to maintain, for an annual burden of approximately 2.2666667 hours (68 records times 2 minutes). The total annual time burden for all respondents is approximately 8,840 hours (3,900 respondents times 2.2666667 hours). As noted above, all records maintained subject to the rule must be retained for a period of not less than three years after termination of a covered person’s employment or relationship with a covered entity. In addition, we estimate the total annual cost burden to respondents is approximately $39,000 in third party storage costs. 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 to (i) www.reginfo.gov/public/do/ PRAMain and (ii) David Bottom, Director/Chief Information Officer, Securities and Exchange Commission, c/ o Cynthia Roscoe, 100 F Street NE, Washington, DC 20549, or by sending an email to: PRA_Mailbox@sec.gov. Dated: February 9, 2021. J. Matthew DeLesDernier, Assistant Secretary. [FR Doc. 2021–02958 Filed 2–11–21; 8:45 am] BILLING CODE 8011–01–P E:\FR\FM\12FEN1.SGM 12FEN1

Agencies

[Federal Register Volume 86, Number 28 (Friday, February 12, 2021)]
[Notices]
[Page 9414]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-02958]


-----------------------------------------------------------------------

SECURITIES AND EXCHANGE COMMISSION

[SEC File No. 270-36, OMB Control No. 3235-0028]


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 17f-2(d)

    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(d) (17 CFR 240.17f-2(d)), under the Securities Exchange Act of 1934 
(15 U.S.C. 78a et seq.).
    Rule 17f-2(d) requires that records created pursuant to the 
fingerprinting requirements of Section 17(f)(2) of the Act be 
maintained and preserved by every member of a national securities 
exchange, broker, dealer, registered transfer agent and registered 
clearing agency (``covered entities'' or ``respondents''); permits, 
under certain circumstances, the records required to be maintained and 
preserved by a member of a national securities exchange, broker, or 
dealer to be maintained and preserved by a self-regulatory organization 
that is also the designated examining authority for that member, broker 
or dealer; and permits the required records to be preserved on 
microfilm. The general purpose of Rule 17f-2 is to: (i) Identify 
security risk personnel; (ii) provide criminal record information so 
that employers can make fully informed employment decisions; and (iii) 
deter persons with criminal records from seeking employment or 
association with covered entities. The rule enables the Commission or 
other examining authority to ascertain whether all covered persons are 
being fingerprinted and whether proper procedures regarding 
fingerprinting are being followed. Retention of these records for a 
period of not less than three years after termination of a covered 
person's employment or relationship with a covered entity ensures that 
law enforcement officials will have easy access to fingerprint cards on 
a timely basis. This in turn acts as an effective deterrent to employee 
misconduct.
    Approximately 3,900 respondents are subject to the recordkeeping 
requirements of the rule. Each respondent maintains approximately 68 
new records per year, each of which takes approximately 2 minutes per 
record to maintain, for an annual burden of approximately 2.2666667 
hours (68 records times 2 minutes). The total annual time burden for 
all respondents is approximately 8,840 hours (3,900 respondents times 
2.2666667 hours). As noted above, all records maintained subject to the 
rule must be retained for a period of not less than three years after 
termination of a covered person's employment or relationship with a 
covered entity. In addition, we estimate the total annual cost burden 
to respondents is approximately $39,000 in third party storage costs.
    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 
to (i) www.reginfo.gov/public/do/PRAMain and (ii) David Bottom, 
Director/Chief Information Officer, Securities and Exchange Commission, 
c/o Cynthia Roscoe, 100 F Street NE, Washington, DC 20549, or by 
sending an email to: [email protected].

    Dated: February 9, 2021.
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2021-02958 Filed 2-11-21; 8:45 am]
BILLING CODE 8011-01-P
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