Nationally Recognized Statistical Rating Organizations
(Rules 17g-1 to 17Ad-27)
Rule 17g-4 – Prevention of misuse of material nonpublic information.
Rule 17g-5 – Conflicts of interest.
Rule 17g-6 – Prohibited acts and practices.
Rule 17g-7 – Disclosure requirements.
Rule 17g-8 – Policies, procedures, and internal controls.
Rule 17g-9 – Standards of training, experience, and competence for credit analysts.
Rule 17h-2T – Risk assessment reporting requirements for brokers and dealers.
Rule 17Ab2-1 – Registration of clearing agencies.
Rule 17Ab2-2 – Determinations affecting covered clearing agencies.
Rule 17Ac2-1 – Application for registration of transfer agents.
Rule 17Ac2-2 – Annual reporting requirement for registered transfer agents.
Rule 17Ac3-1 – Withdrawal from registration with the Commission.
Rule 17Ad-2 – Turnaround, processing, and forwarding of items.
Rule 17Ad-3 – Limitations on expansion.
Rule 17Ad-4 – Applicability of Rule 17Ad-2, Rule 17Ad-3 and Rule 17Ad-6(a) (1) through (7) and (11).
Rule 17Ad-5 – Written inquiries and requests.
Rule 17Ad-7 – Record retention.
Rule 17Ad-8 – Securities position listings.
Rule 17Ad-12 – Safeguarding of funds and securities.
Rule 17Ad-13 – Annual study and evaluation of internal accounting control.
Rule 17Ad-15 – Signature guarantees.
Rule 17Ad-16 – Notice of assumption or termination of transfer agent services.
Rule 17Ad-17 – Lost securityholders and unresponsive payees.
Rule 17Ad-18 – Year 2000 Reports to be made by certain transfer agents.
Rule 17Ad-20 – Issuer restrictions or prohibitions on ownership by securities intermediaries.
Rule 17Ad-21T – Operational capability in a Year 2000 environment.
Rule 17Ad-22 – Standards for clearing agencies.
Rule 17Ad-25 – Clearing agency boards of directors and conflicts of interest.
Rule 17Ad-26 – Recovery and orderly wind-down plans of covered clearing agencies.