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SEC RIN: 3235-AM05 Publication ID: Fall 2018 
Title: Amendment to Rule for Nationally Recognized Statistical Rating Organizations 
Abstract:

The Office of Credit Ratings is considering recommending that the Commission propose an amendment to provide an exemption relating to Rule 17g-5(a)(3) involving conflicts of interest. Such amendment would provide that the provisions of the rule would not apply where the issuer of a security or money market instrument referred to in the rule is not a U.S. person and transactions of the security or money market instrument occur only outside the U.S.

 
Agency: Securities and Exchange Commission(SEC)  Priority: Substantive, Nonsignificant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Proposed Rule Stage 
Major: Undetermined  Unfunded Mandates: No 
EO 13771 Designation: Independent agency 
CFR Citation: 17 CFR 240.17g-5(a)(3)   
Legal Authority: 15 U.S.C. 78o-7    15 U.S.C. 78q    15 U.S.C. 78mm   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  10/00/2018 
Regulatory Flexibility Analysis Required: Undetermined  Government Levels Affected: Undetermined 
Federalism: Undetermined 
Included in the Regulatory Plan: No 
International Impacts: This regulatory action will be likely to have international trade and investment effects, or otherwise be of international interest.
RIN Data Printed in the FR: No 
Agency Contact:
Harriet Orol
Office of Credit Ratings
Securities and Exchange Commission
Brookfield Place, 200 Vesey Street, Suite 400,
New York, NY 10281-1022
Phone:212 336-0554
Email: orolh@sec.gov