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

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

Documents and Forms

Document Name Document Type
secsorn6.pdf SEC SORN IC Document
secsorn6.pdf SEC SORN IC Document
EDGAR PIA 2016.pdf EDGAR PIA IC Document
EDGAR PIA 2016.pdf EDGAR PIA IC Document

Information Collection (IC) Details

IC Title:	Annual Financial Report containing Audited and Unaudited Financial Statements and Other Financial Condition Reports	Agency IC Tracking Number:

Is this a Common Form? No		IC Status: Modified

Obligation to Respond: Mandatory

CFR Citation: 17 CFR 240.17g-3

Information Collection Instruments:

Document Type	Form No.	Form Name	Instrument File	URL	Available Electronically?	Can Be Submitted Electronically?	Electronic Capability

Line of Business: Economic Development

Subfunction: Financial Sector Oversight

Privacy Act System of Records
Title: (SEC) 6 Periodic Reports Filed under the Securities Act of 1933, Securities Exchange Act of 1934, and Investment Company Act of 1940 and Investment Advisers	FR Citation: 42 FR 36333

Number of Respondents: 10	Number of Respondents for Small Entity: 0

Affected Public: Private Sector	Private Sector: Businesses or other for-profits

Percentage of Respondents Reporting Electronically: 100 %

	Approved	Program Change Due to Agency Discretion	Previously Approved
Annual Number of Responses for this IC	10	1	9
Annual IC Time Burden (Hours)	2,000	200	1,800
Annual IC Cost Burden (Dollars)	150,000	15,000	135,000

Documents for IC

Title	Document	Date Uploaded
SEC SORN	secsorn6.pdf	05/15/2018
EDGAR PIA	EDGAR PIA 2016.pdf	05/15/2018

Blank fields in records indicate information that was not collected or not collected electronically prior to July 2006.