Proposed Rule
Capital Requirements for Brokers or Dealers Under the Securities Exchange Act of 1934
Overview
The Securities and Exchange Commission ("Commission') is proposing for comment amendments to Rule 15c3-1 under the Securities Exchange Act of 1934. The proposed amendments would define the term "nationally recognized statistical rating organization' ("NRSRO'). The proposed definition sets forth a list of attributes to be considered by the Commission in designating rating organizations as NRSROs and the process for applying for NRSRO designation.
Resources
Details
Public Comments Due
60 days after publication in the Federal Register
File Number
S7-33-97
Rule Type
Proposed
Release Number
34-39457
SEC Issue Date
Dec. 17, 1997
Federal Register Publish Date
Dec. 30, 1997
Document Citation
62 FR 68018
RIN
3235-AH28
Public Comments