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Comments on References to Ratings of Nationally Recognized Statistical Rating Organizations

[Release Nos. IC-28327, IA-2751; File No. S7-19-08]


Apr. 7, 2010 Memorandum from the Office of Commissioner Aguilar regarding a March 25, 2010 Meeting with Representatives of Standard & Poor's
Mar. 26, 2010 Memorandum from the Office of Commissioner Paredes regarding a March 25, 2010 meeting with representatives of Standard and Poor's
Dec. 15, 2009 Stephen A. Keen, Pittsburgh, Pennsylvania
Dec. 10, 2009 Peter Mixon, General Counsel, California Public Employees Retirement System
Dec. 8, 2009 Deven Sharma, President, Standard and Poor's
Dec. 8, 2009 Sean C. Davy, Managing Director, Corporate Credit Markets Division, Securities Industry and Financial Markets Association
Dec. 8, 2009 Cadwalader, Wickersham & Taft LLP
Dec. 8, 2009 Arnold & Porter LLP
Dec. 8, 2009 Suzanne C. Hutchinson, Executive Vice President, Mortgage Insurance Companies of America
Dec. 8, 2009 Karrie McMillan, General Counsel, Investment Company Institute
Nov. 13, 2009 Mary Keogh, Managing Director, Regulatory Affairs, and Daniel Curry, President, DBRS, Inc.
Jun. 1, 2009 Memorandum from the Office of Commissioner Aguilar regarding a May 25, 2009 meeting with representatives of Standard & Poor’s
Mar. 26, 2009 Kurt N. Schacht, Managing Director, CFA Institute Centre for Financial Market Integrity and Linda L. Rittenhouse, Senior Policy Analyst, CFA Institute Centre for Financial Market Integrity
Mar. 25, 2009 Memorandum from the Office of Commissioner Aguilar regarding a March 24, 2009 Meeting with Representatives of Moody’s Corporation and Covington & Burling LLP
Dec. 1, 2008 Richard J. Herring, Ph.D., Executive Director, Financial Economists Roundtable, Prof. of Finance, the Wharton School University of Pennsylvania, Philadelphia, Pennsylvania
Oct. 3, 2008 Kenneth L. Wolfe, Chairman, Independent Trustees, Fidelity Fixed Income Funds
Oct. 2, 2008 Nathan J. Greene, Shearman & Sterling LLP, Paul S. Schreiber, Shearman & Sterling LLP, and Kenneth J. Berman, Debevoise & Plimpton LLP
Sep. 24, 2008 Shearman & Sterling LLP
Sep. 12, 2008 Keith F. Higgins, Chair, Committee on Federal Regulation of Securities, and Vicki 0. Tucker, Chair, Committee on Securitization and Structured Finance, Business Law Section, American Bar Association
Sep. 12, 2008 Roger B. Vincent, Chairman of the Board of Trustees of ING Funds Trust and ING Investors Trust, New York, New York
Sep. 10, 2008 Ronald W. Forbes and Rodney D. Johnson, The Independent Directors of The BlackRock Liquidity Funds
Sep. 8, 2008 Kent Wideman, Group Managing Director, Policy & Rating Committee, DBRS and Mary Keogh, Managing Director, Policy & Regulatory Affairs, DBRS
Sep. 5, 2008 Susan Gaffney, Director, Federal Liaison Center, Government Finance Officers Association, Washington, District of Columbia
Sep. 5, 2008 Cleary Gottlieb Steen Hamilton LLP
Sep. 5, 2008 Jeffrey T. Brown, Senior Vice President, Charles Schwab Co., Inc., Washington, District of Columbia
Sep. 5, 2008 John W. McGonigle, Vice Chairman, Federated Investors, Inc.
Sep. 5, 2008 Sean J. Egan, Egan-Jones Ratings Company
Sep. 5, 2008 Edward J. Grebeck, Chief Executive Officer, Tempus Advisors
Sep. 5, 2008 Marco Adelfio, Morrison and Foerster LLP
Sep. 5, 2008 Mercer Bullard, Founder and President, Fund Democracy and Barbara Roper, Director of Investor Protection, Consumer Federation of America
Sep. 5, 2008 Vickie Tillman, Executive Vice President, Standard & Poor’s Ratings Services
Sep. 5, 2008 Frank Partnoy
Sep. 5, 2008 Dewey & Leboeuf LLP
Sep. 5, 2008 Mark S. Howard, Senior Vice President, Secretary and Counsel, USAA Investment Management Company
Sep. 5, 2008 Michel Madelain, Chief Operating Officer, Moody’s Investors Service
Sep. 5, 2008 Dechert LLC
Sep. 5, 2008 Bruce R. Bent, Chairman, The Reserve
Sep. 5, 2008 David Oestricher, Chief Legal Counsel and Darrell N. Braman, Associate Legal Counsel, T. Rowe Price
Sep. 5, 2008 Paul Schott Stevens, President, Investment Company Institute
Sep. 5, 2008 Daniel F. Pedrotty, Director, Office of Investment, AFL-CIO
Sep. 5, 2008 Lawrence J. White, Professor of Economics, Stern School of Business, New York University, New York, New York
Sep. 5, 2008 Peter J. Chepucavage, General Counsel, Plexus Consulting LLC
Sep. 5, 2008 Jeremy Reifsnyder, President, TLD Partners LLC, Co-Chair, ASF Credit Rating Agency, Task Force and Richard Johns, Vice President, Capital One, Co-Chair, ASF Credit Rating Agency, Task Force
Sep. 5, 2008 John A. Courson, Chief Operating Officer, Mortgage Bankers Association
Sep. 5, 2008 J. G. Lallande, Counsel, Invesco Aim Advisors, Inc.
Sep. 5, 2008 David B. Smith Jr., Executive Vice President and General Counsel, Mutual Fund Directors Forum
Sep. 5, 2008 Tom McNerney, Managing Director, Data and Analytics and Marcus Schuler, Managing Director, Regulatory Affairs, Markit
Sep. 5, 2008 William Tartikoff, General Counsel and Andrew Niebler, Assistant General Counsel, Calvert Group of Fund
Sep. 5, 2008 Ivo Iotzovski, Associate Director, Financial Analysis, Los Angeles, California
Sep. 5, 2008 Steve Clayback, Investor
Sep. 5, 2008 Joseph S. DiMartino, Chairman of the Boards of the Dreyfus Family of Funds
Sep. 5, 2008 Sidney Koch, ING Series Fund, Inc.
Sep. 5, 2008 John Grout, Policy and Technical Director and Martin O’Donovan, Assistant Director, Policy and Technical, The Association of Corporate Treasurers
Sep. 5, 2008 Nathan Douglas, Secretariat, IMMFA
Sep. 4, 2008 Denise L. Nappier, Treasurer, State of Connecticut, Hartford, Connecticut
Sep. 4, 2008 Deborah A. Cunningham, Chief Investment Officer, Federated Investors and Boyce I. Greer, President; Fixed Income & Asset Allocation, Fidelity, Securities Industry and Financial Markets Association
Sep. 4, 2008 Robert G. Zack, Executive Vice President and General Counsel, OppenheimerFunds, Inc.
Sep. 4, 2008 David Sprayberry, Tucson, Arizona
Sep. 4, 2008 Denise L. Nappier, Treasurer, State of Connecticut, Hartford, Connecticut
Sep. 4, 2008 Mayer Brown LLP
Sep. 4, 2008 Maya C.Gittens, Director, TDAM USA Inc., New York, New York
Sep. 3, 2008 Debevoise & Plimpton LLP
Sep. 2, 2008 Anthony Deering, Chairman of the Committee of Independent Directors, T. Rowe Price Mutual
Aug. 29, 2008 Scott C. Goebel, Senior Vice President, General Counsel, Fidelity Management & Research Company
Aug. 29, 2008 William L. Armstrong, Chairman of the Board, Denver-based Board of Trustees of the Oppenheimer Funds
Aug. 29, 2008 Scott C. Goebel, Senior Vice President and General Counsel, Fidelity Management and Research Company, Boston, Massachusetts
Aug. 29, 2008 Robert W. Uek, Chair, Governing Council, Independent Directors Council
Aug. 28, 2008 Constance Curnow
Aug. 28, 2008 Bruce R. Bent, The Reserve
Aug. 28, 2008 Carol Harlow, CFP®, Miami, Florida
Aug. 25, 2008 Virginia Stringer, Board Chair, First American Funds, Mount Vernon Securities Lending Trust, Minneapolis, Minnesota
Aug. 25, 2008 Michael S. Scofield, Chairman, Evergreen Board of Trustees
Aug. 25, 2008 Edward Guay, Consulting Investment Economist, Bloomfield, Connecticut
Aug. 22, 2008 Peter G. Crane, President of Crane Data LLC and Publisher of Money Fund Intelligence, Westboro, Massachusetts
Aug. 22, 2008 Robin Smith, Board Chair, Jennison/Dryden and Target Mutual Funds
Aug. 14, 2008 Thomas Mooney, Board Chair, Advanced Series Trust, Prudential Series Fund, and Prudential Gibraltar Fund, Inc.
Aug. 14, 2008 Jeff Krup
Aug. 14, 2008 Robert Dobilas, CEO and President, Realpoint LLC
Aug. 1, 2008 John J. Brennan, Chairman and Chief Executive Officer, The Vanguard Group, Inc.
Jul. 28, 2008 William N. Brandt, M.D.

 

http://www.sec.gov/comments/s7-19-08/s71908.shtml

Modified: 10/16/2014