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Comments on Proposed Rules for Nationally Recognized Statistical Rating Organizations

[Release No. 34-64514; File No. S7-18-11]


Submitted Comments

(Click here for meetings with SEC officials)
Aug. 19, 2014 Jules Kroll, Chief Executive Officer, and James Nadler, President, Kroll Bond Rating Agency, Inc.
Aug. 13, 2014 Micah Hauptman, Financial Services Counsel, and Barbara Roper, Director of Investor Protection, Consumer Federation of America
May 29, 2014 William J. Harrington, Experts Board, Wikirating.org, Key Expert, Structured Finance Topics
Apr. 15, 2014 Daniel Curry, Chief Executive Officer, and Mary Keogh, Managing Director, Global Regulatory Affairs, DBRS
Apr. 1, 2014 Americans for Financial Reform
Mar. 3, 2014 Micah Hauptman, Financial Services Counsel, and Barbara Roper, Director of Investor Protection, Consumer Federation of America
Dec. 5, 2013 Daniel Curry, Chief Executive Officer, and Mary Keogh, Managing Director, Global Regulatory Affairs, DBRS
Mar. 23, 2012 Rep. Robert E. Andrews, U.S. House of Representatives
Nov. 1, 2011 David Gaus
Sep. 29, 2011 Nancy Campbell, Kansas City, Missouri
Aug. 19, 2011 Jeffrey W. Rubin, Chair, Federal Regulation of Securities Committee, Business Law Section, American Bar Association, New York, New York
Aug. 12, 2011 Craig R. Mills, CraigRMills LLC, New York, New York
Aug. 10, 2011 Darrel R. Schubert, Chair, Auditing Standards Board, American Institute of Certified Public Accountants
Aug. 8, 2011 KPMG LLP
Aug. 8, 2011 Ernst & Young LLP
Aug. 8, 2011 Ann Rutledge, President, Trade Metrics Corporation
Aug. 8, 2011 Barbara Roper, Director of Investor Protection, Consumer Federation of America and Marcus Stanley, Policy Director, Americans for Financial Reform
Aug. 8, 2011 Michel Madelain, President and Chief Operating Officer, Moody's Investors Service
Aug. 8, 2011 PricewaterhouseCoopers, LLP
Aug. 8, 2011 Tom Deutsch, Executive Director, American Securitization Forum
Aug. 8, 2011 Gregory W. Smith, Chief Operating Officer, General Counsel, Colorado Public Employees Retirement Association
Aug. 8, 2011 Dennis M. Kelleher, President & CEO, and Stephen W. Hall, Securities Specialist, Better Markets, Inc.
Aug. 8, 2011 Stephen M. Renna, Chief Executive Officer, CRE Finance Council
Aug. 8, 2011 Robert Dobilas, President, Morningstar Credit Ratings, LLC
Aug. 8, 2011 Laurel Leitner, Senior Analyst, Council of Institutional Investors
Aug. 8, 2011 Bruce E. Stern, Chairman, Association of Financial Guaranty Insurers
Aug. 8, 2011 Larry G. Mayewski, Executive Vice President, A.M. Best Company
Aug. 8, 2011 Daniel Curry, President, and Mary Keogh, Managing Director, Regulatory Affairs, DBRS
Aug. 8, 2011 Anne S. McCulloch, Senior Vice President and Deputy General Counsel, Federal National Mortgage Association ("Fannie Mae")
Aug. 8, 2011 Jules B. Kroll, Chairman and CEO, Kroll Bond Rating Agency, Inc., New York, New York
Aug. 8, 2011 Francis Lambert
Aug. 8, 2011 Karrie McMillan, General Counsel, Investment Company Institute, Washington, District of Columbia
Aug. 8, 2011 William J. Harrington
Aug. 8, 2011 Deven Sharma, President, Standard and Poor's Ratings Services, New York, New York
Aug. 8, 2011 Richard M. Whiting, Executive Director and General Counsel, The Financial Services Roundtable, Washington, District of Columbia
Aug. 8, 2011 Deloitte & Touche LLP
Aug. 8, 2011 Joel Barton
Aug. 8, 2011 Steven Cohen, Senior Vice President and General Counsel, Clayton Holdings LLC
Aug. 8, 2011 Senator Carl Levin, Chairman, U.S. Senate Permanent Subcommittee on Investigations
Aug. 5, 2011 Sean J. Egan, Egan-Jones Ratings Company
Aug. 5, 2011 Gerald W. McEntee, President, AFSCME
Aug. 5, 2011 Charles D. Brown, General Counsel, Fitch, Inc.
Jul. 29, 2011 Maneesh Pangasa, Yuma, Arizona
Jul. 28, 2011 Gary D. Cristofani, banker, San Diego, California
Jul. 4, 2011 William Michael Cunningham, Creative Investment Research, Inc., Washington, District of Columbia
Jun. 30, 2011 Chris Barnard, Germany
Jun. 17, 2011 Susan R. Clark, Juneau, Alaska
Jun. 17, 2011 Roberta Y. Ely, Anchorage, Alaska
Jun. 17, 2011 Ray Lynch
Jun. 17, 2011 LaVonne L. Rhyneer, Anchorage, Alaska
Jun. 16, 2011 Theresa Day, Anchorage, Alaska
Jun. 16, 2011 Marianne Freebury, Plainwell, Michigan
Jun. 16, 2011 Marie Benson, Dallas, Texas
Jun. 16, 2011 Bonnie Davis, Fayetteville, Arkansas
Jun. 16, 2011 William E. Reno, Wasilla, Alaska
Jun. 15, 2011 John J. Cadigan, Captain, USCG (Retired) General Partner, CECO LLC, Juneau, Alaska
Jun. 15, 2011 Dee Longenbaugh, Owner, Observatory Book and Map Shop, Juneau, Alaska
Jun. 14, 2011 Kevin Overholt, Philadelphia
Jun. 14, 2011 Corrine M. Garza, Juneau, Alaska
Jun. 14, 2011 Myrna D. Gardner, Anchorage, Alaska
Jun. 13, 2011 Andrew M. Siff, Esq., Siff & Associates, PLLC
Jun. 8, 2011 Robert M. Chandler
May 23, 2011 Dave Cowen, Mortgage Broker, San Diego, California
May 21, 2011 Zenia Brown, Corona Del Mar, California
May 19, 2011 Kashif Latif, ISACA , IIA , Long Island City, New York
Nov. 4, 2010 Markus Krebsz, Author, Consultant and Subject matter expert, London, United Kingdom
May 23, 2005 William Michael Cunningham, Social Investing Adviser, Creative Investment Research, Inc., Washington, District of Columbia
 

Meetings with SEC Officials

(
Click here for submitted comments from the public)
Aug. 12, 2014 Memorandum from the Office of Credit Ratings regarding an August 12, 2014, meeting with representatives of Kroll Bond Rating Agency
Jun. 30, 2014 Memorandum from the Office of Commissioner Luis A. Aguilar regarding a June 30, 2014, teleconference with William J. Harrington
Apr. 2, 2014 Memorandum from the Office of Credit Ratings regarding an April 2, 2014, meeting with representatives of the Consumer Federation of America
Mar. 20, 2014 Memorandum from the Office of Commissioner Kara Stein regarding a March 10, 2014, meeting with representatives of Kroll Bond Rating Agency
Mar. 13, 2014 Memorandum from the Office of Commissioner Kara Stein regarding a March 10, 2014, meeting with representatives of Kroll Bond Rating Agency
Nov. 12, 2013 Memorandum from the Division of Trading and Markets regarding a November 12, 2013, meeting with William J. Harrington
Sep. 18, 2013 Memorandum from the Office of Commissioner Kara Stein regarding a September 16, 2013, meeting with representatives of Americans for Financial Reform
Sep. 13, 2013 Memorandum from the Office of Commissioner Kara Stein regarding a September 13, 2013, meeting with representatives of Better Markets
Oct. 16, 2012 Memorandum from the Division of Trading and Markets regarding an October 16, 2012, meeting with representatives of Moody's Investors Services
Apr. 18, 2012 Memorandum from the Division of Trading and Markets regarding an April 18, 2012, meeting with representatives of Assured Guaranty
Feb. 28, 2012 Memorandum from the Division of Trading and Markets regarding a February 28, 2012, meeting with representatives of Moody’s Investors Services
Feb. 28, 2012 Memorandum from the Division of Trading and Markets regarding a February 28, 2012, meeting with representatives of DBRS
Jan. 24, 2012 Memorandum from the Office of the Chairman regarding a January 18, 2012, meeting with representatives of the Dubai Financial Services Authority
Dec. 5, 2011 Memorandum from the Division of Trading and Markets regarding a November 30, 2011, meeting with representatives of Moody's Investors Services
Nov. 4, 2011 Memorandum from the Office of the Chairman regarding a November 3, 2011, meeting with representatives of Standard & Poor's
Nov. 3, 2011 Memorandum from the Office of Commissioner Walter regarding a November 3, 2011, meeting with representatives of Standard & Poor's Ratings Services
Nov. 2, 2011 Memorandum from the Division of Trading and Markets regarding a November 2, 2011, meeting with representatives of the Securities Industry and Financial Markets Association, the Association for Financial Markets in Europe, and Allen & Overy LLP
Oct. 26, 2011 Memorandum from the Division of Trading and Markets regarding an October 26, 2011, meeting with representatives of the Government Finance Officers Association
Sep. 26, 2011 Memorandum from the Division of Trading and Markets regarding a September 26, 2011, meeting with representatives of Standard & Poor's Ratings Services
Aug. 9, 2011 Memorandum from the Division of Trading and Markets regarding a July 21, 2011, telephone call with representatives of Moody’s Investors Service

 

http://www.sec.gov/comments/s7-18-11/s71811.shtml

Modified: 08/21/2014