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Federal forms, ICRs, and supporting documents

OMB control number

Rule 17g-5 Conflicts of Interest

OMB 3235-0649 ยท SEC.

OMB 3235-0649

Rule 17g-5 implements certain statutory provisions of the Credit Rating Agency Reform Act of 2006 ("Rating Agency Act") by prohibiting, or requiring the management and disclosure of, any potential conflict of interest relating to the issuance of credit ratings by a nationally recognized statistical rating organization or "NRSRO." This collection of information is necessary to address potential practices that could impair the objectivity and the quality of a credit rating.

The latest form for Rule 17g-5 Conflicts of Interest expires 2027-10-31 and is listed under ICR 202406-3235-016.

Latest Forms, Documents, and Supporting Material

Latest forms, documents, and information collections
DocumentType
89 FR 38202 (OMB 3235-0649).pdf Supplementary Document
89 FR 66153 (OMB 3235-0649).pdf Supplementary Document
Rule 17g-5 Supporting Statement.docxSupporting Statement A
Annual Certification Information collection
Arranger form upload Information collection
Arranger ongoing disclosure Information collection
Exemption to the rule with respect to ratings of certain structured finance products Information collection
Arranger transaction disclosures Information collection
NRSRO structured finance ratings disclosure Information collection

All Historical Document Collections

Historical document collections
ReferenceFilingReceivedConcludedAction
202406-3235-016 Revision of a currently approved collection 2024-08-14
202102-3235-004 Extension without change of a currently approved collection 2021-07-15 Approved without change
201907-3235-040 Revision of a currently approved collection 2019-08-21 Approved without change
201810-3235-025 Revision of a currently approved collection 2018-10-15 Comment filed on proposed rule and continue
201810-3235-020 Revision of a currently approved collection 2018-10-05 Approved with change
201809-3235-006 Extension without change of a currently approved collection 2018-09-26 Improperly submitted and continue
201411-3235-006 Extension without change of a currently approved collection 2015-05-21 Approved without change
201409-3235-019 Revision of a currently approved collection 2014-09-17 Approved without change
201205-3235-001 Extension without change of a currently approved collection 2012-09-24 Approved without change
201203-3235-009 Revision of a currently approved collection 2012-03-26 Approved without change
200902-3235-014 New collection (Request for a new OMB Control Number) 2009-02-25 Preapproved

OMB Details

NRSRO structured finance ratings disclosure

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight