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SEC RIN: 3235-AK17 Publication ID: Fall 2010 
Title: References to Ratings of Nationally Recognized Statistical Rating Organizations 
Abstract: The Commission proposed to amend various rules and forms under the Exchange Act that rely on NRSRO ratings. The proposed amendments are designed to address concerns that the reference to NRSRO ratings in Commission rules and forms may have contributed to an undue reliance on NRSRO ratings by market participants. The Commission adopted certain of the proposals and reopened the comment period as to others. The Dodd-Frank Wall Street Reform and Consumer Protection Act was enacted on July 21, 2010. The Division is considering the next steps to recommend to the Commission in light of the Act. 
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 240.3a-1    17 CFR 240.10b-10    17 CFR 240.15c3-1    17 CFR 240.15c3-1e    17 CFR 240.15c3-1f    17 CFR 240.15c3-1g    17 CFR 240.15c3-3    17 CFR 242.101 and 102    17 CFR 242.300 and 301   
Legal Authority: 15 USC 78c    15 USC 78j    15 USC 78o    15 USC 78q    15 USC 78w    15 USC 78dd    15 USC 78mm   
Legal Deadline:  None
Action Date FR Cite
NPRM  07/11/2008  73 FR 40088   
NPRM Comment Period End  09/05/2008    
Final Rule  10/09/2009  74 FR 52358   
NPRM Comment Period Reopened  10/09/2009  74 FR 52374   
Final Rule Effective  11/12/2009    
NPRM Comment Period End  12/08/2009    
Next Action  07/00/2011    
Regulatory Flexibility Analysis Required: No  Government Levels Affected: None 
Federalism: No 
Included in the Regulatory Plan: No 
RIN Information URL:  
RIN Data Printed in the FR: No 
Related RINs: Related to 3235-AK14, Related to 3235-AK18, Related to 3235-AK19 
Agency Contact:
Marlon Paz
Division of Trading and Markets
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-5756
Fax:703 813-3297