 |
|
Note: Pursuant to Securities Exchange Act of 1934 Rule 17g-1(i) (17 CFR 240.17g-1(i)), each NRSRO must make its current Form NRSRO (17 CFR 249b.300) and information and documents submitted in Exhibits 1 through 9 to Form NRSRO publicly available on its Web site, or through another comparable, readily accessible means, within 10 business days after the date of the order granting its registration as an NRSRO.
Commission Releases and Studies
- Order Providing NRSROs a Temporary Exemption from the Requirement in Rule 17g-2(d) (Incorporating the Provisions of Rule 17g-2(a)(8)) of the Securities Exchange Act of 1934 that CUSIP Numbers Be Displayed (Aug. 10, 2009)
- Notice Regarding the Requirement to Use eXtensible Business Reporting Language Format to Make Publicly Available the Information Required Pursuant to Rule 17g-2(d) of the Exchange Act (Aug. 5, 2009)
- Final Rule: Amendments to Rules for Nationally Recognized Statistical Rating Organizations (Feb. 2, 2009)
- Re-proposed Rules for Nationally Recognized Statistical Rating Organizations (Feb. 2, 2009)
Comments received are available for this proposal.
- Proposed Rule: References to Ratings of Nationally Recognized Statistical Rating Organizations (July 1, 2008)
Comments received are available for this proposal.
- Proposed Rule: Security Ratings (July 1, 2008)
Comments received are available for this proposal.
- Proposed Rule: References to Ratings of Nationally Recognized Statistical Rating Organizations (July 1, 2008)
Comments received are available for this proposal.
- Proposed Rule: Proposed Rules for Nationally Recognized Statistical Rating Organizations (June 16, 2008)
Comments received are available for this proposal.
- Final Rule: Oversight of Credit Rating Agencies Registered as Nationally Recognized Statistical Rating Organizations (June 5, 2007)
- Proposed Rule: Oversight of Credit Rating Agencies Registered as Nationally Recognized Statistical Rating Organizations (Feb. 2, 2007)
Comments received are available for this proposal.
- Proposed Rule: Definition of Nationally Recognized Statistical Rating Organization (April 19, 2005)
Comments received are available for this proposal.
- Concept Release: Rating Agencies and the Use of Credit Ratings under the Federal Securities Laws (June 4, 2003)
Comments received are available for this release.
- Special Study: Report on the Role and Function of Credit Rating Agencies in the Operation of the Securities Markets (Jan. 24, 2003)
- Proposed Rule: Definition of Nationally Recognized Statistical Rating Organizations (Dec. 17, 1997)
Comments received are available for this proposal.
- Concept Release: Nationally Recognized Statistical Rating Organizations (Aug. 31, 1994)
Testimony
- Chairman Christopher Cox, Before the U.S. Senate Committee on Banking, Housing and Urban Affairs, re: Oversight of Nationally Recognized Statistical Rating Organizations (April 22, 2008)
- Chairman Christopher Cox, Before the U.S. Senate Committee on Banking, Housing and Urban Affairs, re: the Role and Impact of Credit Rating Agencies on the Subprime Credit Markets (Sept. 26, 2007)
- Annette L. Nazareth, Director, Division of Market Regulation, Before the House Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises, Committee on Financial Services, re: Credit Rating Agencies (April 12, 2005)
- Annette L. Nazareth, Director, Division of Market Regulation, Before the House Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises, Committee on Financial Services, re: Rating the Rating Agencies: The State of Transparency and Competition (April 2, 2003)
- Commissioner Isaac C. Hunt, Jr., Before the Senate Committee on Governmental Affairs, re: The Role of Rating Credit Rating Agencies in the US Securities Markets (March 20, 2002)
Commission Hearings — Nov. 15 and 21, 2002
Selected No-Action, Exemptive, and Interpretive Letters
- Japan Credit Rating Agency, Ltd. (May 23, 2007)
- Rating and Investment Information, Inc. (May 21, 2007)
- A.M. Best Company, Inc. (March 3, 2005)
- Letter to The Honorable Richard H. Baker, Chairman, Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises, U.S. House of Representatives (June 4, 2003)
- Dominion Bond Rating Service Limited (Feb. 24, 2003)
Incoming letter also available
Staff Reports and Studies
Annual Report to Congress under Section 6 of the Credit Rating Agency Reform Act of 2006
http://www.sec.gov/divisions/marketreg/ratingagency.htm
|
