Comments on Proposed Rules for Nationally Recognized Statistical Rating Organizations

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Date Received
Date Letter Type Commenter Name
Public Comment Jules Kroll, Chief Executive Officer, and James Nadler, President, Kroll Bond Rating Agency, Inc.
Public Comment Micah Hauptman, Financial Services Counsel, and Barbara Roper, Director of Investor Protection, Consumer Federation of America
Meeting with SEC Officials Memorandum from the Office of Credit Ratings regarding an August 12, 2014, meeting with representatives of Kroll Bond Rating Agency
Meeting with SEC Officials Memorandum from the Office of Commissioner Luis A. Aguilar regarding an August 6, 2014, teleconference with a representative of Consumer Federation of America (CFA)
Meeting with SEC Officials Memorandum from the Office of Commissioner Luis A. Aguilar regarding a June 30, 2014, teleconference with William J. Harrington
Public Comment William J. Harrington, Experts Board, Wikirating.org, Key Expert, Structured Finance Topics
Public Comment Daniel Curry, Chief Executive Officer, and Mary Keogh, Managing Director, Global Regulatory Affairs, DBRS
Meeting with SEC Officials Memorandum from the Office of Credit Ratings regarding an April 2, 2014, meeting with representatives of the Consumer Federation of America
Public Comment Americans for Financial Reform
Meeting with SEC Officials Memorandum from the Office of Commissioner Kara Stein regarding a March 10, 2014, meeting with representatives of Kroll Bond Rating Agency
Meeting with SEC Officials Memorandum from the Office of Commissioner Kara Stein regarding a March 10, 2014, meeting with representatives of Kroll Bond Rating Agency
Public Comment Micah Hauptman, Financial Services Counsel, and Barbara Roper, Director of Investor Protection, Consumer Federation of America
Public Comment Daniel Curry, Chief Executive Officer, and Mary Keogh, Managing Director, Global Regulatory Affairs, DBRS
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a November 12, 2013, meeting with William J. Harrington
Meeting with SEC Officials Memorandum from the Office of Commissioner Kara Stein regarding a September 16, 2013, meeting with representatives of Americans for Financial Reform
Meeting with SEC Officials Memorandum from the Office of Commissioner Kara Stein regarding a September 13, 2013, meeting with representatives of Better Markets
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an October 16, 2012, meeting with representatives of Moody's Investors Services
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an April 18, 2012, meeting with representatives of Assured Guaranty
Public Comment Rep. Robert E. Andrews, U.S. House of Representatives
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a February 28, 2012, meeting with representatives of DBRS
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a February 28, 2012, meeting with representatives of Moody's Investors Services
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a January 18, 2012, meeting with representatives of the Dubai Financial Services Authority
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a November 30, 2011, meeting with representatives of Moody's Investors Services
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a November 3, 2011, meeting with representatives of Standard & Poor's
Meeting with SEC Officials Memorandum from the Office of Commissioner Walter regarding a November 3, 2011, meeting with representatives of Standard & Poor's Ratings Services
Meeting with SEC Officials 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
Public Comment David Gaus
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding an October 26, 2011, meeting with representatives of the Government Finance Officers Association
Public Comment Nancy Campbell, Kansas City, Missouri
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a September 26, 2011, meeting with representatives of Standard & Poor's Ratings Services

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-18-11
Release Number
34-64514
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