Comments on Oversight of Credit Rating Agencies Registered as Nationally Recognized Statistical Rating Organizations

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Date Received
Date Letter Type Commenter Name
Public Comment Louis C. Lucido, Group Managing Director, Trust Company of the West, Los Angeles, California
Public Comment Makoto Utsumi, President & CEO, Japan Credit Rating Agency, Ltd.
Public Comment Q
Public Comment Richard M. Whiting, The Financial Services Roundtable, Washington, D.C.
Public Comment Robbin W. Conner, Vice President and Assistant General Counsel, SIFMA
Public Comment Rodney J. Dillman, General Counsel, Babson Capital Management LLC, Springfield, Massachusetts
Public Comment Sean J. Egan, President, Egan-Jones Ratings Company
Public Comment Stephen A. Keen, Reed Smith LLP
Public Comment Vickie Tillman, Executive Vice President, Credit Market Services, Standard & Poor's Ratings Services
Public Comment William G. Connolly, Riker, Danzig, Scherer, Hyland & Perretti LLP, on behalf of A.M. Best Company, Inc.
Public Comment Yasuhiro Harada, President and CEO, Rating and Investment Information, Inc., Tokyo, Japan
Public Comment Landon D. Parsons, Managing Director, C-BASS LLC, New York, New York
Public Comment Pat G. Halter, Chief Executive Officer, Principal Real Estate Investors
Public Comment Petra Spiegel, Eurohypo AG, New York Branch
Public Comment John Rutherfurd, Jr.
Public Comment Marjorie E. Gross, New York, New York
Public Comment Bruce E. Stern, Chairman, AFGI Government Affairs Committee and General Counsel of Financial Security Assurance Inc.
Meeting with SEC Officials Memorandum regarding a March 5, 2007, meeting with representatives of Standard and Poor's
Meeting with SEC Officials Memorandum regarding a March 6, 2007, meeting with representatives of Moody's Investors Service
Public Comment S. Trezevant Moore, Jr., President and COO, Luminent Mortgage Capital, Inc,
Public Comment David Hynes, Partner, Northcross Capital LLP, London, United Kingdom
Meeting with SEC Officials Memorandum regarding a March 2, 2007, telephone conversation with representatives of DBRS
Public Comment Ronald E. Schrager, Chief Operating Officer, LNR Property Corporation
Public Comment David Lazarus, Managing Director, Capmark Securities, Inc.
Public Comment Patti Unti, Managing Director, Capmark Securities, Inc.
Public Comment Ann Simon
Public Comment Emile Van den Bol, Managing Director, Deutsche Bank, New York, New York
Public Comment Kent D. Born, Senior Managing Director, PPM America, Inc., Chicago, Illinois
Meeting with SEC Officials Memorandum regarding a February 15, 2007, meeting with representatives of DBRS
Public Comment Gregory G. Raab, Chief Executive Officer, Axon Financial, New York, New York

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-04-07
Release Number
34-55231
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