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SEC RIN: 3235-AL14 Publication ID: Fall 2013 
Title: Removal of Certain References to Credit Ratings Under the Securities Exchange Act of 1934  
Abstract: Section 939A of the Dodd Frank Act requires the Commission to remove certain references to credit ratings from its regulations and to substitute such standards of creditworthiness as the Commission determines to be appropriate. The Commission proposed to amend certain rules and one form under the Exchange Act applicable to broker-dealer financial responsibility, distributions of securities, and confirmations of transactions. 
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: Not Yet Determined (To search for a specific CFR, visit the Code of Federal Regulations.
Legal Authority: PL 111-203, sec 939A 
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  05/06/2011  76 FR 26550 
NPRM Comment Period End  07/05/2011   
Final Action  12/00/2013   
Regulatory Flexibility Analysis Required: Yes  Government Levels Affected: Undetermined 
Small Entities Affected: Businesses  Federalism: No 
Included in the Regulatory Plan: No 
RIN Information URL: www.sec.gov/rules/proposed/2011/34-64352.pdf  
RIN Data Printed in the FR: Yes 
Related RINs: Related to 3235-AK17, Previously reported as 3235-AL08 
Agency Contact:
Carrie O'Brien
Division of Trading and Markets
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-5640
Email: obrienca@sec.gov

 
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