OMB control number
Notice pursuant to Rule 17f-2(e)(17 CFR 240.17f-2(e))
OMB 3235-0031 · SEC.
OMB 3235-0031
Rule 17f-2(e) requires members of national securities exchanges, brokers, dealers, registered transfer agents, and registered clearing agencies that claim an exemption from the fingerprint requirements of Rule 17f-2 to prepare and maintain a statement supporting their claim for exemption and specifies the information that must be included in these statements.
The latest form for Notice pursuant to Rule 17f-2(e)(17 CFR 240.17f-2(e)) expires 2026-12-31 and can be found here.
Latest Forms, Documents, and Supporting Material
Document Name |
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Supplementary Document |
Supplementary Document |
Supporting Statement A |
Supplementary Document |
Supplementary Document |
3235-0031.pdf
Notice pursuant to Rule 17f-2(e)(17 CFR 240.17f-2(e)) All Historical Document Collections