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

Rule 17g-3 implements certain statutory provisions of the Credit Rating Agency Reform Act of 2006 ("Rating Agency Act") by requiring a nationally recognized statistical rating organization or "NRSRO" to furnish audited financial statements 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 the Rating Agency Act and its implementing regulations.

The latest form for Rule 17g-3 Annual financial and other reports to be filed or furnished by nationally recognized statistical rating organizations expires 2021-06-30 and can be found here.

Annual audited financial statements to be furnished by nationally recognized statistical rating organizations

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight