Rule 17g-3 Annual financial and other reports to be filed or furnished by nationally recognized statistical rating organizations

Rule 17g-3 implements certain provisions of Section 15E of the Securities Exchange Act of 1934, added to the Exchange Act by the Credit Rating Agency Reform Act of 2006 and amended by the Dodd-Frank Wall Street Reform and Consumer Protection Act enacted in 2010, by requiring a nationally recognized statistical rating organization or "NRSRO" to furnish financial condition reports to the Securities and Exchange Commission. This collection of information is necessary to allow the Commission to oversee NRSROs registered with the Commission with respect to their financial condition and to monitor compliance with Section 15E and rules adopted thereunder.

The latest form for Rule 17g-3 Annual financial and other reports to be filed or furnished by nationally recognized statistical rating organizations expires 2027-05-31 and can be found here.

Annual Financial Report containing Audited and Unaudited Financial Statements and Other Financial Condition Reports

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight