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2010-09-23
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References to Ratings of Nationally Recognized Statistical Rating Organizations
Part IV
Proposed Rules
D09002ee1bdd8bdb3
D09002ee1bdd8be77
United States
Securities and Exchange Commission
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United States Government Agency or Subagency
This is one of three releases that the Securities and Exchange Commission (``Commission'') is publishing simultaneously relating to the use in its rules and forms of credit ratings issued by nationally recognized statistical rating organizations (``NRSROs''). In this release, the Commission proposes to amend five rules under the Investment Company Act of 1940 and the Investment Advisers Act of 1940 that rely on NRSRO ratings. The proposed amendments are designed to address concerns that the reference to NRSRO ratings in Commission rules may have contributed to an undue reliance on NRSRO ratings by market participants.
73 FR 40124
https://www.govinfo.gov/app/details/FR-2008-07-11/E8-15282
E8-15282
fr11jy08-18
RIN 3235-AK19
8010-01-P
Release Nos. IC-28327
IA-2751 File No. S7-19-08
https://www.govinfo.gov/app/details/FR-2008-07-11/E8-15282
https://www.govinfo.gov/content/pkg/FR-2008-07-11/html/E8-15282.htm
https://www.govinfo.gov/content/pkg/FR-2008-07-11/pdf/E8-15282.pdf
Investment Companies
Reporting and Recordkeeping Requirements
Securities
19 p.
40124
40142
73 FR 40124
Code of Federal Regulations
Title 17 Part 270
17 CFR Part 270
Code of Federal Regulations
Title 17 Part 275
17 CFR Part 275
Regulation Identification Number 3235-AK19
RIN 3235-AK19
References to Ratings of Nationally Recognized Statistical Rating Organizations; Federal Register Vol. 73, Issue
PRORULE
E8-15282
IV
SECURITIES AND EXCHANGE COMMISSION
2008-09-05
Release Nos. IC-28327
IA-2751 File No. S7-19-08
8010-01-P
E8-15282
Proposed rule.
This is one of three releases that the Securities and Exchange Commission (``Commission'') is publishing simultaneously relating to the use in its rules and forms of credit ratings issued by nationally recognized statistical rating organizations (``NRSROs''). In this release, the Commission proposes to amend five rules under the Investment Company Act of 1940 and the Investment Advisers Act of 1940 that rely on NRSRO ratings. The proposed amendments are designed to address concerns that the reference to NRSRO ratings in Commission rules may have contributed to an undue reliance on NRSRO ratings by market participants.
Comments should be received on or before September 5, 2008.
Penelope Saltzman, Acting Assistant Director, or Vincent Meehan, Senior Counsel, (202) 551-6792, Office of Regulatory Policy, or Smeeta Ramarathnam, Senior Counsel, (202) 551- 6792, Office of Special Projects, Division of Investment Management, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-5041.
Investment Companies
Reporting and Recordkeeping Requirements
Securities
References to Ratings of Nationally Recognized Statistical Ratings Organizations,
rule-comments@sec.gov
http://www.credfinrisk.com/assetsecure.html
http://www.ici.org/stats/latest/trends_04_08.html
http://www.regulations.gov
http://www.sec.gov/rules/concept/s71203.shtml
http://www.sec.gov/rules/proposed.shtml
www.fsforum.org
www.iosco.org
www.ustreas.gov
Federal Register
Vol. 73, no. 134
Office of the Federal Register, National Archives and Records Administration
2008-07-11
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319 p.
Table of Contents:
AE 2.7:
GS 4.107:
AE 2.106:
KF70.A2
https://www.govinfo.gov/app/details/FR-2008-07-11
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https://www.govinfo.gov/app/details/FR-2008-07-11
https://www.govinfo.gov/content/pkg/FR-2008-07-11/pdf/FR-2008-07-11.pdf
https://www.govinfo.gov/content/pkg/FR-2008-07-11/xml/FR-2008-07-11.xml
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2010-09-23
2023-05-02
FR-2008-07-11
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FR-2008-07-11
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134