Rule 17g-1 and Form NRSRO -Application for registration as a nationally recognized statistical rating organization

ICR 202009-3235-007

OMB: 3235-0625

Federal Form Document

Forms and Documents
Document
Name
Status
Form and Instruction
Modified
Supporting Statement A
2020-09-30
Supplementary Document
2020-09-25
Supplementary Document
2020-09-25
IC Document Collections
ICR Details
3235-0625 202009-3235-007
Active 201705-3235-005
SEC OCR-270-563
Rule 17g-1 and Form NRSRO -Application for registration as a nationally recognized statistical rating organization
Extension without change of a currently approved collection   No
Regular
Approved without change 12/14/2020
Retrieve Notice of Action (NOA) 10/23/2020
  Inventory as of this Action Requested Previously Approved
12/31/2023 36 Months From Approved 02/28/2021
10 0 11
2,475 0 2,750
8,933 0 9,333

Rule 17g-1 and Form NRSRO govern the application to become a nationally recognized statistical rating organization.The collection of information included in Rule 17g-1 is necessary to allow the Commission to determine whether a credit rating agency meets the requirements for registration as an NRSRO.

US Code: 15 USC 78a Name of Law: Securities Exchange Act of 1934
   US Code: 15 USC 78o-7 Name of Law: Credit Rating Agency Reform Act of 2006
  
None

Not associated with rulemaking

  85 FR 44337 07/22/2020
85 FR 60507 09/25/2020
No

  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 11 0 -1 0 0
Annual Time Burden (Hours) 2,475 2,750 0 -275 0 0
Annual Cost Burden (Dollars) 8,933 9,333 0 -400 0 0
No
Yes
Miscellaneous Actions
There was a decrease in the number of registrants from 10 to 9 - leading to an overall decrease in burden, but the burden per registrant remained the same.

$0
No
    Yes
    Yes
No
No
No
No
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.
10/23/2020


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