Nationally Recognized Statistical Rating Organizations (Rules 17g-1 to 17Ad-22)

Rule 17g-1 Application for registration as a nationally recognized statistical rating organization.

Rule 17g-2 Records to be made and retained by nationally recognized statistical rating organizations.

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

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 17g-10 Certification of providers of third-party due diligence services in connection with asset-backed securities.

Rule 17h-1T Risk assessment recordkeeping requirements for associated persons of brokers and dealers.

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-1 Definitions.

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-6 Recordkeeping.

Rule 17Ad-7 Record retention.

Rule 17Ad-8 Securities position listings.

Rule 17Ad-9 Definitions.

Rule 17Ad-10 Prompt posting of certificate detail to master securityholder files, maintenance of accurate securityholder files, communications between co-transfer agents and recordkeeping transfer agents, maintenance of current control book, retention of certificate detail and “buy-in” of physical over-issuance.

Rule 17Ad-11 Reports regarding aged record differences, buy-ins and failure to post certificate detail to master securityholder and subsidiary files.

Rule 17Ad-12 Safeguarding of funds and securities.

Rule 17Ad-13 Annual study and evaluation of internal accounting control.

Rule 17Ad-14 Tender agents.

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-19 Requirements for cancellation, processing, storage, transportation, and destruction or other disposition of securities certificates.

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-24 Exemption from clearing agency definition for certain registered security-based swap dealers, registered security-based swap execution facilities, and entities engaging in dealing activity in security-based swaps that are eligible for an exception under § 240.3a71–2(a) (or subject to the period set forth in § 240.3a71–2(b)).

Rule 17Ad-27 Straight-through processing by clearing agencies that provide a central matching service.