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General Rules and Regulations, Securities Exchange Act of 1934 [17 CFR Part 240]
- Rule 17g-1 [17 CFR 240.17g-1]
- Rule 17g-2 [17 CFR 240.17g-2]
- Rule 17g-3 [17 CFR 240.17g-3]
- Rule 17g-4 [17 CFR 240.17g-4]
- Rule 17g-5 [17 CFR 240.17g-5]
- Rule 17g-6 [17 CFR 240.17g-6]
- Rule 17g-7 [17 CFR 240.17g-7]
Roundtable to Examine Oversight of Credit Rating Agencies
Compliance Guides
Form NRSRO
Press Releases
Commission Orders Granting NRSRO Registration
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.
- Egan-Jones Rating Company (Release No. 34-59056)
- Egan-Jones Rating Company (Release No. 34-57031)
- Realpoint LLC (Release No. 34-58000)
- LACE Financial Corp. (Release No. 34-57300)
- A.M. Best Company, Inc. (Release No. 34-56507)
See June 10, 2011, Notice
- A.M. Best Company, Inc. (Release No. 34-56507)
- DBRS Ltd. (Release No. 34-56508)
- Fitch, Inc. (Release No. 34-56509)
- Japan Credit Rating Agency, Ltd. (Release No. 34-56510)
See December 2, 2010 Notice
- Moody's Investors Service, Inc. (Release No. 34-56511)
- Rating and Investment Information, Inc. (Release No. 34-56512)
See June 29, 2010 Notice
See November 28, 2011 Notice
- Standard & Poor's Ratings Services (Release No. 34-56513)
Commission Exemption Orders
- Order Granting Temporary Exemption of Morningstar Credit Ratings, LLC from the Conflict of Interest Prohibition in Rule 17g-5(c)(1) of the Securities Exchange Act of 1934 (Release No. 34-66514)
- Order Extending Temporary Conditional Exemption for Nationally Recognized Statistical Rating Organizations From Requirements of Rule 17g-5 Under the Securities Exchange Act of 1934 and Request for Comment (Release No. 34-65765)
- Order Granting Temporary Exemption of Kroll Bond Rating Agency, Inc. from the Conflict of Interest Prohibition in Rule 17g-5(c)(1) of the Securities Exchange Act of 1934 (Release No. 34-65339)
- Order Extending Temporary Conditional Exemption for Nationally Recognized Statistical Rating Organizations from Requirements Of Rule 17g-5 under the Securities Exchange Act of 1934 and Request for Comment (Release No. 34-63363)
- Order Granting Temporary Conditional Exemption for Nationally Recognized Statistical Rating Organizations from Requirements of Rule 17g-5 Under the Securities Exchange Act of 1934 and Request for Comment (Release No. 34-62120)
- Order Granting Temporary Exemption of Realpoint LLC from the Conflict of Interest Prohibition in Rule 17a-5(c)(1) under the Securities Exchange Act of 1934 (Release No. 34-58001)
- Order Granting Temporary Exemption of LACE Financial Corp. from the Conflict of Interest Prohibition in Rule 17a-5(c)(1) of the Securities Exchange Act of 1934 (Release No. 34-57301)
Commission Releases and Studies
- Report on Credit Rating Standardization (September 7, 2012)
- Final Rule: Security Ratings (July 27, 2011)
- Proposed Rule: Proposed Rules for Nationally Recognized Statistical Rating Organizations (May 18, 2011)
Comments received are available for this request.
- Request for Comment: Assigned Credit Ratings Study (May 10, 2011)
Comments received are available for this request.
- Proposed Rule: Removal of Certain References to Credit Ratings Under the Securities Exchange Act of 1934 (Apr. 27, 2011)
Comments received are available for this proposal.
- Proposed Rule: References to Credit Ratings in Certain Investment Company Act Rules and Forms, Securities Exchange Act of 1933 (Mar. 3, 2011)
Comments received are available for this proposal.
- Proposed Rule: Security Ratings (Feb. 9, 2011)
Comments received are available for this proposal.
- Final Rule: Disclosure for Asset-Backed Securities Required by Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Jan. 20, 2011)
- Request for Comment: Credit Rating Standardization Study (Dec. 17, 2010)
Comments received are available for this proposal.
- Proposed Rule: Disclosure for Asset-Backed Securities Required by Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Oct. 4, 2010)
Comments received are available for this proposal.
- Final Rule: Removal From Regulation FD of the Exemption for Credit Rating Agencies (Sept. 29, 2010)
- Proposed Rule: Proposed Rules for Nationally Recognized Statistical Rating Organizations (Nov. 23, 2009)
Comments received are available for this proposal.
- Final Rule: Amendments to Rules for Nationally Recognized Statistical Rating Organizations (Nov. 23, 2009); See also Small Entity Compliance Guide
- Concept Release on Possible Rescission of Rule 436(g) under the Securities Act of 1933 (Oct. 7, 2009)
- Final Rule: References to Ratings of Nationally Recognized Statistical Rating Organizations (Oct. 5, 2009)
- 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
- John Ramsay, Deputy Director, Division of Trading and Markets, Before the Subcommittee on Oversight and Investigations of the United States House of Representatives, Committee on Financial Services, re: Oversight of the Credit Rating Agencies Post-Dodd-Frank (July 27, 2011)
- Daniel M. Gallagher, Co-Acting Director, Division of Trading and Markets, Before the United States House of Representatives Committee on Financial Services and Subcommittee on Capital Markets, Insurance and Government-Sponsored Enterprises, re: Events Surrounding Bank of America’s Acquisition of Merrill Lynch (Sept. 30, 2009)
- United States Securities and Exchange Commission, Before the United States Senate Committee on Banking, Housing and Urban Affairs, Written Testimony Concerning SEC Oversight of Credit Rating Agencies (August 5, 2009)
- 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)
- 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)
- 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
Staff Reports and Studies
Annual Report to Congress under Section 6 of the Credit Rating Agency Reform Act of 2006
Annual Inspection Report under Section 15E(p)(3)(C) of the Securities Exchange Act of 1934
http://www.sec.gov/divisions/marketreg/ratingagency.htm
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