Rule 17g-10 Certification of providers of third-party due diligence services in connection with asset-backed securities & Form ABS Due Diligence-15E

OMB 3235-0694

Rule 17g-10 and proposed new Form ABS Due Diligence-15E is designed to achieve the objective stated in Section 15E(s)(4)(B) of the Exchange Act; namely, that a provider of third-party due diligence services conducts a thorough review of data, documentation, and other relevant information necessary for an NRSRO to provide an accurate credit rating. They also are designed in combination with the disclosure requirement in proposed new paragraph (a)(2) of Rule 17g-7 to achieve the objective stated in Section 15E(s)(4)(D) of the Exchange Act; namely, to allow the public to determine the adequacy and level of due diligence services provided by a third party.

The latest form for Rule 17g-10 Certification of providers of third-party due diligence services in connection with asset-backed securities & Form ABS Due Diligence-15E expires 2021-07-31 and can be found here.

Latest Forms, Documents, and Supporting Material

Document Name
Form 15E Rule 17g-10 and Form ABS Due Diligence-15E annual disclosure burden Form
Form SEC 2917(6-15) Rule 17g-10 and Form ABS Due Diligence-15E one-time disclosure burden and cost Form and Instruction
3235-0694 30 Day Notice.pdf Supplementary Document
3235-0694 60 Day Notice.pdf Supplementary Document
Rule 17g-10 and Form ABS Due Diligence-15E Supporting Statement_2021Renewal.docx Supporting Statement A
Rule 17g-10 and Form ABS Due Diligence-15E annual disclosure burden Form
Rule 17g-10 and Form ABS Due Diligence-15E one-time disclosure burden and cost Form and Instruction

All Historical Document Collections

202011-3235-021 Approved without change	Revision of a currently approved collection	2021-06-16
201805-3235-002 Approved without change	Extension without change of a currently approved collection	2018-05-18
201504-3235-005 Approved without change	New collection (Request for a new OMB Control Number)	2015-04-10
201203-3235-003 Preapproved	New collection (Request for a new OMB Control Number)	2012-05-11

OMB Details

Rule 17g-10 and Form ABS Due Diligence-15E one-time disclosure burden and cost

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight

Form SEC 2917(6-15)

Form ABS 15E

www.sec.gov/files/formabs-dd-15e.pdf

Form and instruction

Review document collections for all forms, instructions, and supporting documents - including paper/printable forms.