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SEC RIN: 3235-AL15 Publication ID: Spring 2013 
Title: Rules for Nationally Recognized Statistical Rating Organizations 
Abstract: The Commission proposed rules and rule amendments to implement certain provisions of the Dodd Frank Act concerning nationally recognized statistical rating organizations, providers of third-party due diligence services for asset-backed securities, and issuers and underwriters of asset-backed securities. 
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 232.101; 17 CFR 232.201; 17 CFR 232.314; 17 CFR 240.17g-1; 17 CFR 240.17g-2; 17 CFR 240.17g-3; 17 CFR 240.17g-5; 17 CFR 240.17g-6; 17 CFR 240.17g-7; 17 CFR 240.17g-8; 17 CFR 240.17g-9; 17 CFR 240.17g-10; 17 CFR 249.1400; 17 CFR 240.15Ga-2; 17 CFR 249b.300 (To search for a specific CFR, visit the Code of Federal Regulations.
Legal Authority: 15 USC 78o-7; 15 USC 78q; 15 USC 78mm; PL 111-203, secs 936, 938, and 943 
Legal Deadline:
Action Source Description Date
Final  Statutory  Section 937 of the Dodd Frank Act  07/21/2011 
Timetable:
Action Date FR Cite
NPRM  06/08/2011  76 FR 33420 
NPRM Comment Period End  08/08/2011   
Final Action  09/00/2013   
Regulatory Flexibility Analysis Required: Yes  Government Levels Affected: Undetermined 
Small Entities Affected: Businesses  Federalism: Undetermined 
Included in the Regulatory Plan: No 
RIN Information URL: www.sec.gov/rules/proposed/2011/34-64514.pdf  
RIN Data Printed in the FR: Yes 
Related RINs: Related to 3235-AK17 
Agency Contact:
Rachel Yura
Division of Trading and Markets
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-5729
Email: yurar@sec.gov

 
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