Rule 17g-7 : Reports to be made public by nationally recognized statistical rating organizations (NRSROs)

ICR 201809-3235-019

OMB: 3235-0656

Federal Form Document

Forms and Documents
ICR Details
3235-0656 201809-3235-019
Historical Inactive 201805-3235-029
SEC OCR-270-600
Rule 17g-7 : Reports to be made public by nationally recognized statistical rating organizations (NRSROs)
Revision of a currently approved collection   No
Regular
Comment filed on proposed rule and continue 11/28/2018
Retrieve Notice of Action (NOA) 10/15/2018
OMB files this comment in accordance with 5 CFR 1320.11( c ). This OMB action is not an approval to conduct or sponsor an information collection under the Paperwork Reduction Act of 1995. This action has no effect on any current approvals. If OMB has assigned this ICR a new OMB Control Number, the OMB Control Number will not appear in the active inventory. For future submissions of this information collection, reference the OMB Control Number provided. Pursuant to 5 CFR 1320.11(c), OMB files this comment on this information collection request (ICR). The agency shall examine public comment in response to the NPRM and will describe in the supporting statement of its next collection any public comments received regarding the collection as well as why (or why it did not) incorporate the commenter’s recommendation. The next submission to OMB must include the draft final rule.
  Inventory as of this Action Requested Previously Approved
09/30/2021 36 Months From Approved 09/30/2021
70 0 70
800,845 0 800,845
1,666,667 0 1,666,667

Rule 17g-7 implements certain statutory provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act relating to nationally recognized statistical rating organizations ("NRSROs"). Paragraph (a) of Rule 17g-7 requires an NRSRO to provide along with any credit rating that it publishes, a report containing an attestation and certain disclosures. Paragraph (b) of Rule 17g-7 requires an NRSRO to make available on its corporate Web site in XBRL format the rating action history of each outstanding credit rating that it determined on or after June 26, 2007.

US Code: 15 USC 78o-7 Name of Law: Securities Act of 1933
   PL: Pub.L. 111 - 203 932 Name of Law: Dodd-Frank Wall Street Reform and Consumer Protection Act
  
US Code: 15 USC 78o-7(q) and (s) Name of Law: Securities Exchange Act of 1934

3235-AM05 Proposed rulemaking 83 FR 50297 10/05/2018

No

Yes
Changing Regulations
No
Burden increase is attributable to a proposed amendment to the exemption in Rule 17g-7(a).

No
    No
    No
No
Yes
No
Uncollected
Leah Clague 202 551-3041 [email protected]

  No

On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).
The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:
 
 
 
 
 
 
 
    (i) Why the information is being collected;
    (ii) Use of information;
    (iii) Burden estimate;
    (iv) Nature of response (voluntary, required for a benefit, or mandatory);
    (v) Nature and extent of confidentiality; and
    (vi) Need to display currently valid OMB control number;
 
 
 
If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.
10/15/2018


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