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Comments on Re-proposed Rules for Nationally Recognized Statistical Rating Organizations

Order Extending Temporary Conditional Exemption for Nationally Recognized Statistical Rating Organizations from Requirements of Rule 17g-5 Under the Securities Exchange Act of 1934 and Request for Comment

[Release No. 34-70919; File No. S7-04-09]


Nov. 26, 2013 Chris Barnard, Germany

 

Order Extending Temporary Conditional Exemption for Nationally Recognized Statistical Rating Organizations from Requirements Of Rule 17g-5 Under the Securities Exchange Act of 1934 and Request for Comment

[Release No. 34-68286; File No. S7-04-09]


Feb. 15, 2013 Melanie L. Fein, Fein Law Offices, District of Columbia

 

Order Granting Temporary Conditional Exemption for Nationally Recognized Statistical Rating Organizations From Requirements of Rule 17g-5 Under the Securities Exchange Act of 1934 and Request for Comment

[Release No. 34-65765; File No. S7-04-09]


Nov. 23, 2011 Chris Barnard, Germany

 

Order Extending Temporary Conditional Exemption for Nationally Recognized Statistical Rating Organizations From Requirements of Rule 17g-5 Under the Securities Exchange Act of 1934 and Request for Comment

[Release No. 34-62120; File No. S7-04-09]


Nov. 2, 2011 Jack Rando, Investment Industry Association of Canada, Toronto, Canada
Aug. 9, 2011 Tom Deutsch, Executive Director, American Securitization Forum, and Chris Dalton, Chief Executive Officer, Australian Securitisation Forum
Nov. 14, 2010 Memorandum from the Office of the Chairman regarding a November 10, 2010, meeting with a representative of Meredith Whitney Advisory Group
Nov. 12, 2010 Masaru Ono, Executive Director, Securitization Forum of Japan, Tokyo, Japan
Nov. 12, 2010 Masamichi Kono, Vice Commissioner for International Affairs, Financial Services Agency, Government of Japan
Nov. 11, 2010 Richard Hopkin, Managing Director, Association for Financial Markets in Europe
Nov. 1, 2010 Memorandum from the Office of Financial Responsibility regarding an October 27, 2010, meeting with representatives of NetRoadshow
Nov. 1, 2010 Memorandum from the Office of Financial Responsibility regarding an October 21, 2010, meeting with representatives of DBRS, Inc.
Nov. 1, 2010 Memorandum from the Office of Financial Responsibility regarding a September 30, 2010, meeting with representatives of Realpoint, Andrascik & Tita LLC, and Morningstar
Oct. 22, 2010 Memorandum from the Office of Commissioner Aguilar regarding an October 21, 2010, meeting with representatives of DBRS, Inc.
Sep. 22, 2010 Jack Rando, Investment Industry Association of Canada, Toronto, Canada
Jun. 27, 2010 Christopher Dalton, Chief Executive Officer, Australian Securitisation Forum, Sydney, Australia
Jun. 25, 2010 Takefumi Emori, Managing Director, Japan Credit Rating Agency, Ltd.

Re-proposed Rules for Nationally Recognized Statistical Rating Organizations

[Release No. 34-59343; File No. S7-04-09]


May 18, 2010 Eddy Wymeersch, Committee of European Securities Regulators
May 12, 2010 Steve Alter, CEO/Founder, Real Capital Markets
May 12, 2010 Chris Dalton, Chief Executive Officer, Australian Securitisation Forum
May 12, 2010 Guido RAVOET, European Banking Federation
May 5, 2010 Rick Watson, Managing Director and Chief Operating Officer, Association for Financial Markets in Europe / European Securitisation Forum
May 3, 2010 Tom Deutsch, Executive Director, American Securitization Forum
Apr. 30, 2010 Neal E. Sullivan, Bingham McCutchen LLP on behalf of Rating and Investment Information, Inc.
Apr. 30, 2010 Christopher B. Killian, Securities Industry and Financial Markets Association
Mar. 30, 2010 Richard J. Watson, Managing Director, AFME / ESF
Mar. 26, 2010 Memorandum from the Office of Commissioner Paredes regarding a March 25, 2010 meeting with representatives of Standard and Poor's
Sep. 30, 2009 Memorandum from the Commissioner Aguilar regarding a September 4, 2009, meeting with a representative of CreditSights
Sep. 18, 2009 Lyn Perlmuth, The Credit Roundtable
Sep. 10, 2009 Memorandum from the Office of the Chairman regarding a September 10, 2009, meeting with a representative of CreditSights
Sep. 8, 2009 Glenn Reynolds, CEO, CreditSights, Inc.
Sep. 4, 2009 Memorandum from the Office of Commissioner Paredes regarding a September 3, 2009, meeting with representatives of CreditSights
Sep. 3, 2009 Memorandum from the Office of the Chairman regarding an August 25, 2009, meeting with representatives of Standard & Poor's
Sep. 3, 2009 Memorandum from the Office of the Chairman regarding an August 25, 2009, meeting with representatives of Moody's Corporation and Covington and Burling LLP
Aug. 12, 2009 Memorandum from the Office of the Commissioner Paredes regarding an August 12, 2009, meeting with representatives of Moody's
Aug. 12, 2009 Glenn Reynolds, CEO, CreditSights, Inc. and Peter Petas, President, CreditSights, Inc.
Jun. 15, 2009 Memorandum from the Office of Commissioner Aguilar regarding a June 8, 2009, meeting with representatives of DBRS and Pickard & Djinis
Jun. 12, 2009 Curtis C. Verschoor, CPA, CIA, CMA, CFE, L Q Research Professor, School of Accountancy, DePaul University, Barrington , Illinois
Jun. 9, 2009 Dan J. Nguyen, CFA, MBA, Midwest Professional Planners, Wausau, Wisconsin
Jun. 9, 2009 Memorandum from the Office of the Commissioner Paredes regarding a June 9, 2009, meeting with representatives of DBRS
Jun. 8, 2009 Memorandum from the Office of the Chairman regarding a June 4, 2009, meeting with representatives of Standard & Poor's
Jun. 8, 2009 Memorandum from the Division of Trading and Markets regarding a June 4, 2009, meeting with Neil Baron and Shailesh Shah
Jun. 1, 2009 Christine DiFabio, Vice President, Advocacy and Accounting Policy, Financial Executives International
May 21, 2009 Memorandum from the Office of the Chairman regarding a May 21, 2009, meeting with representatives of Moody's Corporation
May 19, 2009 Lawrence A. Pingree, SiliconValleyForex.com, Pleasanton, California
May 15, 2009 Memorandum from the Office of Commissioner Paredes regarding a May 15, 2009, meeting with representatives of Standard & Poor's
May 3, 2009 Neil Baron, Armonk, New York
Apr. 20, 2009 Carl F. Adams, Principal, Capital Framework Advisors LLC, New York, New York
Apr. 16, 2009 Nicholas Brown, St. Peters, Missouri
Apr. 15, 2009 Frederic P. Vigneron, Chui Ng, David Roberts and Ling Yu, Asset Backed Consulting, LLC, New York, New York
Apr. 15, 2009 Richard H. Baker, Managed Funds Association
Apr. 15, 2009 Deven Sharma, President, Standard & Poor’s Ratings Services
Apr. 15, 2009 Lawrence J. White, Professor of Economics, New York University Stern School of Business
Apr. 15, 2009 James H. Gellert, President and CEO and Dr. Patrick James Caragata, Founder and Executive Vice Chairman, Rapid Ratings International Inc.
Apr. 15, 2009 George P. Miller, Executive Director, American Securitization Forum
Apr. 15, 2009 James A. Kaitz, President and CEO, Association for Financial Professionals
Apr. 15, 2009 Sean Egan, Co-Founder & Managing Director, Egan-Jones Ratings Co.
Apr. 15, 2009 Paul Schott Stevens, President and CEO, Investment Company Institute
Apr. 15, 2009 Daniel Curry, President, DBRS Inc.
Apr. 15, 2009 Ethan Berman, RiskMetrics Group
Apr. 15, 2009 Robert G. Dobilas, President and CEO, Realpoint, Inc.
Apr. 15, 2009 Raymond W. McDaniel, CEO and President, Moody’s Investors Service
Apr. 15, 2009 Frank Partnoy, George E. Barrett Professor of Law and Finance, University of San Diego School of Law, San Diego, California
Apr. 15, 2009 Alan J. Fohrer, Chairman and Chief Executive Officer, Southern California Edison Company
Apr. 15, 2009 Alex J. Pollock, Resident Fellow, American Enterprise Institute
Apr. 15, 2009 Stephen W. Joynt, President and CEO, Fitch Ratings
Apr. 13, 2009 Kurt N. Schacht and Linda L. Rittenhouse, CFA Institute Centre for Financial Market Integrity
Apr. 10, 2009 Glen Reynolds, CEO, CreditSights, Inc.
Apr. 9, 2009 Congressional Oversight Panel's Special Report on Regulatory Reform, submitted by Damon Silvers, AFL-CIO
Apr. 9, 2009 Joseph A. Grundfest and Evgenia Petrova, Stanford Law School and The Rock Center on Corporate Governance
Apr. 9, 2009 Mayree Clark and Andrew Jones
Apr. 9, 2009 Deborah A. Cunningham, Executive Vice President, Chief Investment Officer, Federated Investors, Inc.
Apr. 8, 2009 William Michael Cunningham, Social Investing Adviser, Creative Investment Research, Inc.
Apr. 8, 2009 Gregory W. Smith, General Counsel, Colorado Public Employees' Retirement Association
Apr. 7, 2009 Bruce Stern, Association of Financial Guaranty Insurers
Apr. 3, 2009 Dottie Cunningham, Chief Executive Officer, Commercial Mortgage Securities Association
Apr. 2, 2009 Keith F. Higgins, Chair, Committee on Federal Regulation of Securities, American Bar Association Section of Business Law, Boston, Massachusetts
Mar. 31, 2009 Robert G. Dobilas, CEO and President, Realpoint LLC, Horsham, Pennsylvania
Mar. 28, 2009 Michel Madelain, Chief Operating Officer, Moody's Investors Service
Mar. 27, 2009 Vickie A. Tillman, Executive Vice President, Standard and Poor's Ratings Services, New York, New York
Mar. 26, 2009 Hidetaka Tanaka, Senior Executive Managing Director, Rating and Investment Information, Inc.
Mar. 26, 2009 Cate Long, www.multiple-markets.com
Mar. 26, 2009 John P. Hunt, Acting Professor of Law, University of California, Davis (July 2009), Davis, California
Mar. 26, 2009 Karrie McMillan, General Counsel, Investment Company Institute
Mar. 26, 2009 George Miller, Executive Director, ASF and Sean C. Davy, Managing Director, SIFMA
Mar. 26, 2009 Douglas Adamson, Executive Vice President, American Bankers Association, Washington, District of Columbia
Mar. 26, 2009 Gregory W. Smith, General Counsel, Colorado Public Employees' Retirement Association, Denver, Colorado
Mar. 25, 2009 Charles D. Brown, General Counsel, Fitch Ratings
Mar. 25, 2009 Richard Whiting, Executive Director and General Counsel, Financial Services Roundtable
Mar. 25, 2009 Mary Keogh, Managing Director, Regulatory Affairs, and Daniel Curry, President, DBRS, Inc.
Mar. 25, 2009 Laurel N. Leitner, Analyst, Council of Institutional Investors
Mar. 18, 2009 Takefumi Emori, Managing Director, Japan Credit Rating Agency, Ltd.
Mar. 10, 2009 Andrea Getto
Mar. 8, 2009 Russell D. Sears, ASA, CFA, Edmond, Oklahoma
Mar. 5, 2009 Shawn S. Fahrer, Accounting Student, Queensborough Community College (CUNY), Flushing, New York
Feb. 26, 2009 Mike Marchywka, Marietta, Georgia
Feb. 13, 2009 Memorandum from the Division of Trading and Markets regarding a February 12, 2009, phone call with representatives of Moody's Investors Service

 

http://www.sec.gov/comments/s7-04-09/s70409.shtml

Modified: 11/29/2013