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SEC | RIN: 3235-AM05 | Publication ID: Spring 2019 |
Title: Amendment to Rule for Nationally Recognized Statistical Rating Organizations | |
Abstract:
The Office of Credit Ratings is considering recommending that the Commission adopt 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. |
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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 |
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 |
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Timetable:
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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: Kevin O'Neill Division of Corporation Finance Securities and Exchange Commission 100 F Street NE, Washington, DC 20549 Phone:202 551-7294 Email: oneilk@sec.gov |