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U.S. Securities and Exchange Commission

Nationally Recognized Statistical Rating Organizations ("NRSROs")

For more information about NRSROs, please visit the Office of Credit Ratings' Webpage.

Employment Transition Report

Credit Rating Agency Reform Act of 2006

Title IX, Subtitle C of the Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank Act")

Section 15E of the Securities Exchange Act of 1934, as amended by the Dodd-Frank Act

Securities Exchange Act of 1934 Rules 17g-1 through 17g-7

General Rules and Regulations, Securities Exchange Act of 1934 [17 CFR Part 240]

  • Rule 17g-1 [17 CFR 240.17g-1]
  • Rule 17g-2 [17 CFR 240.17g-2]
  • Rule 17g-3 [17 CFR 240.17g-3]
  • Rule 17g-4 [17 CFR 240.17g-4]
  • Rule 17g-5 [17 CFR 240.17g-5]
  • Rule 17g-6 [17 CFR 240.17g-6]
  • Rule 17g-7 [17 CFR 240.17g-7]

Roundtable to Examine Oversight of Credit Rating Agencies

Compliance Guides

Form NRSRO

Press Releases

Commission Orders Granting NRSRO Registration

Note: Pursuant to Securities Exchange Act of 1934 Rule 17g-1(i) (17 CFR 240.17g-1(i)), each NRSRO must make its current Form NRSRO (17 CFR 249b.300) and information and documents submitted in Exhibits 1 through 9 to Form NRSRO publicly available on its Web site, or through another comparable, readily accessible means, within 10 business days after the date of the order granting its registration as an NRSRO.

Commission Exemption Orders

  • 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)
     
  • Order Granting Temporary Exemption of Morningstar Credit Ratings, LLC from the Conflict of Interest Prohibition in Rule 17g-5(c)(1) of the Securities Exchange Act of 1934 (Release No. 34-66514)
     
  • 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. 34-65765)
     
  • Order Granting Temporary Exemption of Kroll Bond Rating Agency, Inc. from the Conflict of Interest Prohibition in Rule 17g-5(c)(1) of the Securities Exchange Act of 1934 (Release No. 34-65339)
     
  • 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. 34-63363)
     
  • 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. 34-62120)
     
  • Order Granting Temporary Exemption of Realpoint LLC from the Conflict of Interest Prohibition in Rule 17a-5(c)(1) under the Securities Exchange Act of 1934 (Release No. 34-58001)
     
  • Order Granting Temporary Exemption of LACE Financial Corp. from the Conflict of Interest Prohibition in Rule 17a-5(c)(1) of the Securities Exchange Act of 1934 (Release No. 34-57301)

Commission Releases and Studies

Testimony

  • John Ramsay, Deputy Director, Division of Trading and Markets, Before the Subcommittee on Oversight and Investigations of the United States House of Representatives, Committee on Financial Services, re: Oversight of the Credit Rating Agencies Post-Dodd-Frank (July 27, 2011)
     
  • Daniel M. Gallagher, Co-Acting Director, Division of Trading and Markets, Before the United States House of Representatives Committee on Financial Services and Subcommittee on Capital Markets, Insurance and Government-Sponsored Enterprises, re: Events Surrounding Bank of America’s Acquisition of Merrill Lynch (Sept. 30, 2009)
     
  • United States Securities and Exchange Commission, Before the United States Senate Committee on Banking, Housing and Urban Affairs, Written Testimony Concerning SEC Oversight of Credit Rating Agencies (August 5, 2009)
     
  • Chairman Christopher Cox, Before the U.S. Senate Committee on Banking, Housing and Urban Affairs, re: Oversight of Nationally Recognized Statistical Rating Organizations (April 22, 2008)
     
  • Chairman Christopher Cox, Before the U.S. Senate Committee on Banking, Housing and Urban Affairs, re: the Role and Impact of Credit Rating Agencies on the Subprime Credit Markets (Sept. 26, 2007)
     
  • Annette L. Nazareth, Director, Division of Market Regulation, Before the House Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises, Committee on Financial Services, re: Credit Rating Agencies (April 12, 2005)
     
  • Annette L. Nazareth, Director, Division of Market Regulation, Before the House Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises, Committee on Financial Services, re: Rating the Rating Agencies: The State of Transparency and Competition (April 2, 2003)
     
  • Letter to The Honorable Richard H. Baker, Chairman, Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises, U.S. House of Representatives (June 4, 2003)
     
  • Commissioner Isaac C. Hunt, Jr., Before the Senate Committee on Governmental Affairs, re: The Role of Rating Credit Rating Agencies in the US Securities Markets (March 20, 2002)

Commission Hearings — Nov. 15 and 21, 2002

Selected No-Action, Exemptive, and Interpretive Letters

Staff Reports and Studies

Annual Report to Congress under Section 6 of the Credit Rating Agency Reform Act of 2006

Annual Inspection Report under Section 15E(p)(3)(C) of the Securities Exchange Act of 1934

 

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Modified: 12/24/2013