Commission Releases

The Commission issues releases with respect to the Securities Exchange Act of 1934 and other federal securities laws.

The releases listed below are those applicable NRSROs, and are organized in reverse chronological order. Releases relating to reports and studies are found here.

2019

• Final Rule: Amendments to Rules for Nationally Recognized Statistical Rating Organizations — Release 34-86590 (Aug. 7, 2019)

2018

• Proposed Rule: Amendments to Rules for Nationally Recognized Statistical Rating Organizations — Release 34-84289 (Sept. 26, 2018)

2014

• Final Rule: Nationally Recognized Statistical Rating Organizations — 
  Release 34-72936 (Aug. 27, 2014)

2011

• Final Rule: Security Ratings — Release 33-9245; 34-64975 (July 27, 2011)
• Proposed Rule: Proposed Rules for Nationally Recognized Statistical Rating Organizations — Release 34-64514 (May 18, 2011)
  Comments received are available for this request.
• Proposed Rule: Removal of Certain References to Credit Ratings Under the Securities Exchange Act of 1934 — Release 34-64352 (Apr. 27, 2011)
  Comments received are available for this proposal.
• Proposed Rule: References to Credit Ratings in Certain Investment Company Act Rules and Forms, Securities Exchange Act of 1933 — Release 33-9193 (Mar. 3, 2011)
  Comments received are available for this proposal.
• Proposed Rule: Security Ratings — Release 33-9186 (Feb. 9, 2011)
  Comments received are available for this proposal.
• Final Rule: Disclosure for Asset-Backed Securities Required by Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act —
  Release 33-9175; 34-63741 (Jan. 20, 2011)

2010

• Proposed Rule: Disclosure for Asset-Backed Securities Required by Section 943 of the Dodd-Frank Wall Street Reform and Consumer Protection Act —
  Release 33-9148; 34-63029 (Oct. 4, 2010)
  Comments received are available for this proposal.
• Final Rule: Removal From Regulation FD of the Exemption for Credit Rating Agencies — Release 33-9146; 34-63003 (Sept. 29, 2010)

2009

• Proposed Rule: Proposed Rules for Nationally Recognized Statistical Rating Organizations — Release 34-61051 (Nov. 23, 2009)
  Comments received are available for this proposal.
• Final Rule: Amendments to Rules for Nationally Recognized Statistical Rating Organizations — Release 34-61050 (Nov. 23, 2009)
• Concept Release, etc.: Concept Release on Possible Rescission of Rule 436(g) under the Securities Act of 1933 — Release 33-9071; 34-60798 (Oct. 7, 2009)
• Final Rule: References to Ratings of Nationally Recognized Statistical Rating Organizations — Release 34-60789 (Oct. 5, 2009)
• Notice Regarding the Requirement to Use eXtensible Business Reporting Language Format to Make Publicly Available the Information Required Pursuant to Rule 17g-2(d) of the Exchange Act — Release 34-60451 (Aug. 5, 2009)
• Final Rule: Amendments to Rules for Nationally Recognized Statistical Rating Organizations — Release 34-59342 (Feb. 2, 2009)
• Re-proposed Rules for Nationally Recognized Statistical Rating Organizations —
  Release 34-59343 (Feb. 2, 2009)
  Comments received are available for this proposal.

2008

• Proposed Rule: References to Ratings of Nationally Recognized Statistical Rating Organizations — Release IC-28327; IA-2751 (July 1, 2008)
  Comments received are available for this proposal.
• Proposed Rule: Security Ratings — Release 33-8940; 34-58071 (July 1, 2008)
  Comments received are available for this proposal.
• Proposed Rule: References to Ratings of Nationally Recognized Statistical Rating Organizations — Release 34-58070 (July 1, 2008)
  Comments received are available for this proposal.
• Proposed Rule: Proposed Rules for Nationally Recognized Statistical Rating Organizations — Release 34-57967  (June 16, 2008)
  Comments received are available for this proposal.

2007

• Final Rule: Oversight of Credit Rating Agencies Registered as Nationally Recognized Statistical Rating Organizations — Release 34-55857 (June 5, 2007)
• Proposed Rule: Oversight of Credit Rating Agencies Registered as Nationally Recognized Statistical Rating Organizations — Release 34-55231 (Feb. 2, 2007)
  Comments received are available for this proposal.

2005

• Proposed Rule: Definition of Nationally Recognized Statistical Rating Organization — Release 33-8570; 34-51572 (Apr. 19, 2005)
  Comments received are available for this proposal.

2003

• Concept Release: Rating Agencies and the Use of Credit Ratings under the Federal Securities Laws — Release 33-8236; 34-47972 (June 4, 2003)
  Comments received are available for this release.

1997

• Proposed Rule: Definition of Nationally Recognized Statistical Rating Organizations — Release 34-39457 (Dec. 17, 1997)
  Comments received are available for this proposal.

1994

• Concept Release: Nationally Recognized Statistical Rating Organizations —
  Release 33-7085; 34-34616 (Aug. 31, 1994)