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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 can be found here.

Latest Forms, Documents, and Supporting Material
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Name
Supplementary Document
Supplementary Document
Supporting Statement A
All Historical Document Collections
 Revision of a currently approved collection 2024-08-14
Approved without change
 Extension without change of a currently approved collection 2021-07-15
Approved without change
 Revision of a currently approved collection 2019-08-21
Comment filed on proposed rule and continue
 Revision of a currently approved collection 2018-10-15
Approved with change
 Revision of a currently approved collection 2018-10-05
Improperly submitted and continue
 Extension without change of a currently approved collection 2018-09-26
Approved without change
 Extension without change of a currently approved collection 2015-05-21
Approved without change
 Revision of a currently approved collection 2014-09-17
Approved without change
 Extension without change of a currently approved collection 2012-09-24
Approved without change
 Revision of a currently approved collection 2012-03-26
Preapproved
 New collection (Request for a new OMB Control Number) 2009-02-25
OMB Details

NRSRO structured finance ratings disclosure

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight