Rule 17g-4 Prevention of misuse of material nonpublic information

ICR 201811-3235-014

OMB: 3235-0627

Federal Form Document

Forms and Documents
Supporting Statement A
Supplementary Document
Supplementary Document
IC Document Collections
ICR Details
3235-0627 201811-3235-014
Active 201602-3235-015
SEC TM-270-566
Rule 17g-4 Prevention of misuse of material nonpublic information
Extension without change of a currently approved collection   No
Approved without change 04/24/2019
Retrieve Notice of Action (NOA) 03/05/2019
  Inventory as of this Action Requested Previously Approved
04/30/2022 36 Months From Approved 05/31/2019
10 0 10
100 0 100
0 0 0

17g-4 implemented certain statutory provisions of the Credit Rating Agency Reform Act of 2006 ("Act') by requiring a nationally recognized statistical rating organization's or "NRSRO's" policies and procedures established pursuant to Section 15E(g)(1) of the Exchange Act include three specific types of procedures. This collection of information included in Rule 17g-4 is necessary to allow the Commission to enhance its oversight of NRSROs registered with the Commission with respect their financial condition and to monitor compliance with the Act and its implementing regulations.

US Code: 15 USC 78o-7(g). Name of Law: Credit Rating Agency Reform Act of 2006
   US Code: 15 USC 78c, 78d, 78i, 78j, 78l, 78m, Name of Law: The Securities Exchange Act

Not associated with rulemaking

  83 FR 62642 12/04/2018
84 FR 2606 02/07/2019

IC Title Form No. Form Name
Rule 17g-4 Prevention of misuse of material nonpublic information

  Total Approved Previously Approved Change Due to New Statute Change Due to Agency Discretion Change Due to Adjustment in Estimate Change Due to Potential Violation of the PRA
Annual Number of Responses 10 10 0 0 0 0
Annual Time Burden (Hours) 100 100 0 0 0 0
Annual Cost Burden (Dollars) 0 0 0 0 0 0

Leah Clague 202 551-3041 [email protected]


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.

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