Nationally Recognized Statistical Rating Organizations

  1. Law
  2. CFR 17
  3. Commodity and Securities Exchanges
  4. Securities and Exchange Commission
  5. General Rules and Regulations, Securities Exchange Act of 1934
  6. Nationally Recognized Statistical Rating Organizations

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Section
240.17g-1

Application for registration as a nationally recognized statistical rating organization.

Section
240.17g-2

Records to be made and retained by nationally recognized statistical rating organizations.

Section
240.17g-3

Annual financial and other reports to be filed or furnished by nationally recognized statistical rating organizations.

Section
240.17g-4

Prevention of misuse of material nonpublic information.

Section
240.17g-5

Conflicts of interest.

Section
240.17g-6

Prohibited acts and practices.

Section
240.17g-7

Disclosure requirements.

Section
240.17g-8

Policies, procedures, and internal controls.

Section
240.17g-9

Standards of training, experience, and competence for credit analysts.

Section
240.17g-10

Certification of providers of third-party due diligence services in connection with asset-backed securities.

Section
240.17h-1T

Risk assessment recordkeeping requirements for associated persons of brokers and dealers.

Section
240.17h-2T

Risk assessment reporting requirements for brokers and dealers.

Section
240.17Ab2-1

Registration of clearing agencies.

Section
240.17Ab2-2

Determinations affecting covered clearing agencies.

Section
240.17Ac2-1

Application for registration of transfer agents.

Section
240.17Ac2-2

Annual reporting requirement for registered transfer agents.

Section
240.17Ac3-1

Withdrawal from registration with the Commission.

Section
240.17Ad-1

Definitions.

Section
240.17Ad-2

Turnaround, processing, and forwarding of items.

Section
240.17Ad-3

Limitations on expansion.

Section
240.17Ad-4

Applicability of §§ 240.17Ad-2, 240.17Ad-3 and 240.17Ad-6(a) (1) through (7) and (11).

Section
240.17Ad-5

Written inquiries and requests.

Section
240.17Ad-6

Recordkeeping.

Section
240.17Ad-7

Record retention.

Section
240.17Ad-8

Securities position listings.

Section
240.17Ad-9

Definitions.

Section
240.17Ad-10

Prompt posting of certificate detail to master securityholder files, maintenance of accurate securityholder files, communications between co-transfer agents and recordkeeping transfer agents, maintenance of current control book, retention of certificate detail and “buy-in” of physical over-issuance.

Section
240.17Ad-11

Reports regarding aged record differences, buy-ins and failure to post certificate detail to master securityholder and subsidiary files.

Section
240.17Ad-12

Safeguarding of funds and securities.

Section
240.17Ad-13

Annual study and evaluation of internal accounting control.

Section
240.17Ad-14

Tender agents.

Section
240.17Ad-15

Signature guarantees.

Section
240.17Ad-16

Notice of assumption or termination of transfer agent services.

Section
240.17Ad-17

Lost securityholders and unresponsive payees.

Section
240.17Ad-18

Year 2000 Reports to be made by certain transfer agents.

Section
240.17Ad-19

Requirements for cancellation, processing, storage, transportation, and destruction or other disposition of securities certificates.

Section
240.17Ad-20

Issuer restrictions or prohibitions on ownership by securities intermediaries.

Section
240.17Ad-21T

Operational capability in a Year 2000 environment.

Section
240.17Ad-22

Standards for clearing agencies.

Section
240.17Ad-24

Exemption from clearing agency definition for certain registered security-based swap dealers, registered security-based swap execution facilities, and entities engaging in dealing activity in security-based swaps that are eligible for an exception under § 240.3a71-2(a) (or subject to the period set forth in § 240.3a71-2(b)).