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SEC RIN: 3235-AK19 Publication ID: Fall 2008 
Title: ●References to Ratings of Nationally Recognized Statistical Rating Organizations 
Abstract: The Commission proposed to amend five rules under the Investment Company Act and the Investment Advisers Act that rely on NRSRO ratings. The proposed amendments are designed to address concerns that the reference to NRSRO ratings in Commission rules may have contributed to an undue reliance on NRSRO ratings by market participants. 
Agency: Securities and Exchange Commission(SEC)  Priority: Substantive, Nonsignificant 
RIN Status: First time published in the Unified Agenda Agenda Stage of Rulemaking: Final Rule Stage 
Major: Undetermined  Unfunded Mandates: No 
CFR Citation: 17 CFR 260.2a-7    17 CFR 270.3a-7    17 CFR 270.5b-3    17 CFR 270.10f-3   
Legal Authority: 15 USC 80a-6(c)    15 USC 80a-10(f)    15 USC 80a-37(a)    15 USC 80b-6A    15 USC 80b-11(a)   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  07/11/2008  73 FR 40124   
NPRM Comment Period End  09/05/2008    
Next Action   11/00/2008    
Regulatory Flexibility Analysis Required: Undetermined  Government Levels Affected: None 
Included in the Regulatory Plan: No 
RIN Information URL: www.sec.gov/rules/proposed/2008/IC-28327.pdf  
RIN Data Printed in the FR: No 
Agency Contact:
Penelope W. Saltzman
Senior Special Counsel, Division of Investment Management
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-6734
Email: saltzmanp@sec.gov