SEC Renews Broker Fingerprint Exemption Notice Requirements
Published Date: 7/21/2026
Notice
Summary
The SEC wants to keep the fingerprinting rules for brokers, dealers, and other financial pros going strong by extending the paperwork collection under Rule 17f-2(e). Covered folks must keep a special notice handy to claim fingerprinting exemptions, making sure regulators can check it anytime. No big changes or extra costs, just keeping things clear and organized for investor safety.
Analyzed Economic Effects
1 provisions identified: 0 benefits, 1 costs, 0 mixed.
Fingerprint Exemption Notice Recordkeeping
If you run a covered securities firm (for example, a broker, dealer, registered transfer agent, or registered clearing agency), you must prepare and keep a "Notice Pursuant to Rule 17f-2" to support any claimed fingerprinting exemptions and make that Notice available for inspection by the SEC or other examiners. The SEC estimates about 75 respondents will spend on average 0.5 hours per year (0.4 hours to document and 0.1 hours to retain), for an aggregate annual burden of about 38 hours. Some entities must keep the Notice for at least five years, while others must retain it for the life of the enterprise; the SEC is seeking comments on this collection by September 21, 2026.
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