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SEC RIN: 3235-AK17 Publication ID: Spring 2009 
Title: References to Ratings of Nationally Recognized Statistical Rating Organizations 
Abstract: The Commission proposed to amend various rules and forms under the Exchange Act that rely on NRSRO ratings. The proposed amendments are designed to address concerns that the reference to NRSRO ratings in Commission rules and forms may have contributed to an undue reliance on NRSRO ratings by market participants. 
Agency: Securities and Exchange Commission(SEC)  Priority: Substantive, Nonsignificant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Final Rule Stage 
Major: Undetermined  Unfunded Mandates: No 
CFR Citation: 17 CFR 240.3a-1    17 CFR 240.10b-10    17 CFR 240.15c3-1    17 CFR 240.15c3-1e    17 CFR 240.15c3-1f    17 CFR 240.15c3-1g    17 CFR 240.15c3-3    17 CFR 242.101 and 102    17 CFR 242.200 and 301   
Legal Authority: 15 USC 78c    15 USC 78j    15 USC 78o    15 USC 78q    15 USC 78w    15 USC 78dd    15 USC 78mm   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  07/11/2008  73 FR 40088   
NPRM Comment Period End  09/05/2008    
Final Action  09/00/2009    
Regulatory Flexibility Analysis Required: No  Government Levels Affected: None 
Federalism: No 
Included in the Regulatory Plan: No 
RIN Information URL: www.sec.gov/rules/proposed/2008/34-58070.pdf  
RIN Data Printed in the FR: No 
Related RINs: Related to 3235-AK14, Related to 3235-AK18, Related to 3235-AK19 
Agency Contact:
Catherine Moore
Division of Trading and Markets
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-5718