OMB control number
Rule 17g-4 Prevention of misuse of material nonpublic information
OMB 3235-0627 · SEC.
OMB 3235-0627
Rule 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 to include three specific types of procedures. The collection of information included in Rule 17g-4 is necessary to allow the Commission 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 2028-04-30 and can be found here.
Latest Forms, Documents, and Supporting Material
Document Name |
|---|
Supplementary Document |
Supplementary Document |
Supporting Statement A |
2025 02 26_90 FR 10745_3235-0627_30-Day Submission Notice.pdf.pdf
Rule 17g-4 Prevention of misuse of material nonpublic information All Historical Document Collections
| Extension without change of a currently approved collection | 2025-02-26 | ||
|
Approved without change |
Revision of a currently approved collection | 2022-01-27 | |
|
Approved without change |
Extension without change of a currently approved collection | 2019-03-05 | |
|
Approved without change |
Extension without change of a currently approved collection | 2016-03-09 | |
|
Approved without change |
Extension without change of a currently approved collection | 2013-02-26 | |
|
Approved without change |
Extension without change of a currently approved collection | 2010-03-25 | |
|
Approved without change |
Revision of a currently approved collection | 2007-09-13 | |
|
Preapproved |
New collection (Request for a new OMB Control Number) | 2007-04-23 |