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Editor: Eric C. Chaffee
Univ. of Toledo College of Law

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Saturday, December 15, 2012

SEC Releases Annual Report on NRSROs

SEC Staff Released its Annual Report on Nationally Recognized Statistical Rating Organizations As Required by Section 6 of the Credit Rating Agency Reform Act of 2006.( Download Nrsroannrep1212)

The Act requires the Commission to submit an annual report to the Committee on Banking, Housing, and Urban Affairs of the U.S. Senate and the Committee on Financial Services of the U.S. House of Representatives that, with respect to the year to which the report relates:

• Identifies applicants for registration as nationally recognized statistical rating
organizations (“NRSROs”) under Section 15E of the Securities Exchange Act of 1934
(“Exchange Act”);
• Specifies the number of and actions taken on such applications; and
• Specifies the views of the Commission on the state of competition, transparency, and
conflicts of interest among NRSROs.

This report relates to the period from June 26, 2011 to June 25, 2012 (the “reporting
period”) and provides an overview of Commission rulemaking and other actions relating to NRSROs and addresses the items specified in Section 6 of the Rating Agency Act for the reporting period.

http://lawprofessors.typepad.com/securities/2012/12/sec-releases-annual-report-on-nrsros.html

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