3235-AL15 201410 The Regulatory Plan and the Unified Agenda of Federal Regulatory and Deregulatory Actions 3235 Securities and Exchange Commission SEC Rules for Nationally Recognized Statistical Rating Organizations

The Commission adopted 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.

]]> Substantive, Nonsignificant Previously Published in The Unified Agenda Completed Actions Yes No 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 15 USC 78o-7 15 USC 78q 15 USC 78mm PL 111-203, secs 936, 938, and 943 Statutory Final 07/21/2011 Section 937 of the Dodd Frank Act No NPRM 06/08/2011 76 FR 33420 NPRM Comment Period End 08/08/2011 Final Action 09/15/2014 79 FR 55078 Final Action Effective 11/14/2014 Yes Businesses None No www.sec.gov/rules/final/2014/34-72936.pdf Yes No 3235-AK17 Related to Raymond Lombardo Division of Trading and Markets 3235 Securities and Exchange Commission SEC 202 551-5755 lombardor@sec.gov 100 F Street NE, Washington DC 20549