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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 |
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Timetable:
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Regulatory Flexibility Analysis Required: No | Government Levels Affected: None |
Federalism: No | |
Included in the Regulatory Plan: No | |
RIN Information URL: www.sec.gov/rules/proposed/2009/33-9069.pdf | |
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 Email: pazm@sec.gov |