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SEC RIN: 3235-AL14 Publication ID: Spring 2021 
Title: Removal of Certain References to Credit Ratings Under the Securities Exchange Act of 1934  
Abstract:

Section 939A of the Dodd-Frank Act requires the Commission to remove certain references to credit ratings from its regulations and to substitute such standards of creditworthiness as the Commission determines to be appropriate. The Commission amended certain rules and one form under the Exchange Act applicable to broker-dealer financial responsibility and confirmation of transactions. The Commission has not yet finalized amendments to certain rules regarding the distribution of securities.

 
Agency: Securities and Exchange Commission(SEC)  Priority: Substantive, Nonsignificant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Long-Term Actions 
Major: Undetermined  Unfunded Mandates: No 
CFR Citation: Not Yet Determined     (To search for a specific CFR, visit the Code of Federal Regulations.)
Legal Authority: Pub. L. 111-203, sec. 939A   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  05/06/2011  76 FR 26550   
NPRM Comment Period End  07/05/2011    
Final Action  01/08/2014  79 FR 1522   
Final Action Effective  07/07/2014 
Next Action Undetermined  To Be Determined 
Regulatory Flexibility Analysis Required: Yes  Government Levels Affected: None 
Small Entities Affected: Businesses  Federalism: No 
Included in the Regulatory Plan: No 
RIN Information URL: www.sec.gov/rules/final/2013/34-71194.pdf  
RIN Data Printed in the FR: Yes 
Related RINs: Related to 3235-AK17, Previously reported as 3235-AL08 
Agency Contact:
Laura Weber
Division of Trading and Markets
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-6508
Email: weberl@sec.gov