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SEC Report on Nationally Recognized Statistical Ratings Organizations

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Report on Nationally Recognized Statistical Ratings Organizations, January 2011

  • The U.S. Securities and Exchange Commission (“Commission”) is providing this report under Section 6 of the Credit Rating Agency Reform Act of 2006 (“Rating Agency Act”). Section 6 of the Rating Agency Act requires the Commission to submit an annual report to the Committee on Banking, Housing, and Urban Affairs of the Senate and the Committee on Financial Services of the 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.
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