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

OMB 3235-0627

OMB 3235-0627

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.

The latest form for Rule 17g-4 Prevention of misuse of material nonpublic information expires 2022-04-30 and can be found here.

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