Rule 17g-2 Records to be made and retained by nationally recognized statistical rating organizations

OMB 3235-0628

OMB 3235-0628

Rule 17g-2 implements certain statutory provisions of the Credit Rating Agency Reform Act of 2006 by requiring a nationally recognized statistical rating organization or "NRSRO" to make and retain certain records relating to its business and to retain certain other business records, if such records are made. The rule also prescribes the time periods and manner in which all these records must be retained. The collections of information in Rule 17g-2 are designed to allow the Commission to determine whether an NRSRO continues to meet the requirements for registration and is complying with applicable laws and regulations. In particular, the collections of information in Rule 17g-2 will assist the Commission in effectively monitoring, through its examination function, whether an NRSRO is conducting its activities in accordance with Section 15E of the Exchange Act, and applicable Exchange Act rules under the Rating Agency Act.

The latest form for Rule 17g-2 Records to be made and retained by nationally recognized statistical rating organizations expires 2023-12-31 and can be found here.

OMB Details

Rule 17g-2 Records to be made and retained by NRSROs (on-going)

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight


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