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SEC RIN: 3235-AK14 Publication ID: Fall 2010 
Title: Proposed Rules for Nationally Recognized Statistical Rating Organizations 
Abstract: The Commission proposed rule amendments and a new rule that would require nationally recognized statistical rating organizations ("NRSROs") to furnish a new annual report by the firm's designated compliance officers, to disclose additional information about firm sources of revenue, and to make publicly available a consolidated report about revenues attributable to persons paying the NRSRO for the issuance or maintenance of a credit rating. 
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: Yes  Unfunded Mandates: No 
CFR Citation: 17 CFR 240.17g-1    17 CFR 240.17g-2    17 CFR 240.17g-3    17 CFR 240.17g-5    17 CFR 240.17g-7   
Legal Authority: 15 USC 78o-7    15 USC 89q   
Legal Deadline:  None
Action Date FR Cite
NPRM  06/25/2008  73 FR 36212   
NPRM Comment Period End  07/25/2008    
Final Rule  02/09/2009  74 FR 6465   
Second NPRM  02/09/2009  74 FR 6485   
Second NPRM Comment Period End  03/26/2009    
Final Rule  12/04/2009  74 FR 63832   
Final Rule Effective  02/01/2010    
Third NPRM  12/04/2009  74 FR 63866   
Third NPRM Comment Period End  02/02/2010    
Final Action  07/00/2011    
Regulatory Flexibility Analysis Required: Yes  Government Levels Affected: Undetermined 
Small Entities Affected: Businesses  Federalism: No 
Included in the Regulatory Plan: No 
RIN Information URL:  
RIN Data Printed in the FR: Yes 
Related RINs: Related to 3235-AK17, Related to 3235-AK18, Related to 3235-AK19 
Agency Contact:
Sheila Swartz
Division of Trading and Markets
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-5545