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SEC RIN: 3235-AL15 Publication ID: Fall 2014 
Title: Rules for Nationally Recognized Statistical Rating Organizations 
Abstract:

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.

 
Agency: Securities and Exchange Commission(SEC)  Priority: Substantive, Nonsignificant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Completed Actions 
Major: Yes  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  09/15/2014  79 FR 55078   
Final Action Effective  11/14/2014 
Regulatory Flexibility Analysis Required: Yes  Government Levels Affected: None 
Small Entities Affected: Businesses  Federalism: No 
Included in the Regulatory Plan: No 
RIN Information URL: www.sec.gov/rules/final/2014/34-72936.pdf  
RIN Data Printed in the FR: Yes 
Related RINs: Related to 3235-AK17 
Agency Contact:
Raymond Lombardo
Division of Trading and Markets
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-5755
Email: lombardor@sec.gov