265 Sec. 17 SECURITIES EXCHANGE ACT OF 1934
therein, member of the Federal Reserve System, and bank whose
deposits are insured by the Federal Deposit Insurance Corporation
shall—
(A) report to the Commission or other person designated
by the Commission and, in the case of securities issued pursu-
ant to chapter 31 of title 31, United States Code, to the Sec-
retary of the Treasury such information about securities that
are missing, lost, counterfeit, stolen, or cancelled, in such form
and within such time as the Commission, by rule, determines
is necessary or appropriate in the public interest or for the pro-
tection of investors; such information shall be available on re-
quest for a reasonable fee, to any such exchange, member, as-
sociation, broker, dealer, municipal securities dealer, transfer
agent, clearing agency, participant, member of the Federal Re-
serve System, or insured bank, and such other persons as the
Commission, by rule, designates; and
(B) make such inquiry with respect to information reported
pursuant to this subsection as the Commission, by rule, pre-
scribes as necessary or appropriate in the public interest or for
the protection of investors, to determine whether securities in
their custody or control, for which they are responsible, or in
which they are effecting, clearing, or settling a transaction
have been reported as missing, lost, counterfeit, stolen, can-
celled, or reported in such other manner as the Commission,
by rule, may prescribe.
(2) Every member of a national securities exchange, broker,
dealer, registered transfer agent, registered clearing agency, reg-
istered securities information processor, national securities ex-
change, and national securities association shall require that each
of its partners, directors, officers, and employees be fingerprinted
and shall submit such fingerprints, or cause the same to be sub-
mitted, to the Attorney General of the United States for identifica-
tion and appropriate processing. The Commission, by rule, may ex-
empt from the provisions of this paragraph upon specified terms,
conditions, and periods, any class of partners, directors, officers, or
employees of any such member, broker, dealer, transfer agent,
clearing agency, securities information processor, national securi-
ties exchange, or national securities association, if the Commission
finds that such action is not inconsistent with the public interest
or the protection of investors. Notwithstanding any other provision
of law, in providing identification and processing functions, the At-
torney General shall provide the Commission and self-regulatory
organizations designated by the Commission with access to all
criminal history record information.
(3)(A) In order to carry out the authority under paragraph (1)
above, the Commission or its designee may enter into agreement
with the Attorney General to use the facilities of the National
Crime Information Center (‘‘NCIC’’) to receive, store, and dissemi-
nate information in regard to missing, lost, counterfeit, or stolen
securities and to permit direct inquiry access to NCIC’s file on such
securities for the financial community.
(B) In order to carry out the authority under paragraph (1) of
this subsection, the Commission or its designee and the Secretary
of the Treasury shall enter into an agreement whereby the Com-
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As Amended Through P.L. 117-328, Enacted December 29, 2022