Subjgrp 112. Nationally Recognized Statistical Rating Organizations
- § 240.17g-1 - Application for registration as a nationally recognized statistical rating organization.
- § 240.17g-2 - Records to be made and retained by nationally recognized statistical rating organizations.
- § 240.17g-3 - Annual financial and other reports to be filed or furnished by nationally recognized statistical rating organizations.
- § 240.17g-4 - Prevention of misuse of material nonpublic information.
- § 240.17g-5 - Conflicts of interest.
- § 240.17g-6 - Prohibited acts and practices.
- § 240.17g-7 - Disclosure requirements.
- § 240.17g-8 - Policies, procedures, and internal controls.
- § 240.17g-9 - Standards of training, experience, and competence for credit analysts.
- § 240.17g-10 - Certification of providers of third-party due diligence services in connection with asset-backed securities.
- § 240.17h-1T - Risk assessment recordkeeping requirements for associated persons of brokers and dealers.
- § 240.17h-2T - Risk assessment reporting requirements for brokers and dealers.
- § 240.17Ab2-1 - Registration of clearing agencies.
- § 240.17Ab2-2 - Determinations affecting covered clearing agencies.
- § 240.17Ac2-1 - Application for registration of transfer agents.
- § 240.17Ac2-2 - Annual reporting requirement for registered transfer agents.
- § 240.17Ac3-1 - Withdrawal from registration with the Commission.
- § 240.17Ad-1 - Definitions.
- § 240.17Ad-2 - Turnaround, processing, and forwarding of items.
- § 240.17Ad-3 - Limitations on expansion.
- § 240.17Ad-4 - Applicability of §240.17Ad-3 and 240.17Ad-6(a) (1) through (7) and (11).
- § 240.17Ad-5 - Written inquiries and requests.
- § 240.17Ad-6 - Recordkeeping.
- § 240.17ad-7 - (Rule 17Ad-7) Record retention.
- § 240.17Ad-8 - Securities position listings.
- § 240.17Ad-9 - Definitions.
- § 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.
- § 240.17Ad-11 - Reports regarding aged record differences, buy-ins and failure to post certificate detail to master securityholder and subsidiary files.
- § 240.17Ad-12 - Safeguarding of funds and securities.
- § 240.17Ad-13 - Annual study and evaluation of internal accounting control.
- § 240.17Ad-14 - Tender agents.
- § 240.17Ad-15 - Signature guarantees.
- § 240.17Ad-16 - Notice of assumption or termination of transfer agent services.
- § 240.17Ad-17 - Lost securityholders and unresponsive payees.
- § 240.17Ad-18 - Year 2000 Reports to be made by certain transfer agents.
- § 240.17Ad-19 - Requirements for cancellation, processing, storage, transportation, and destruction or other disposition of securities certificates.
- § 240.17Ad-20 - Issuer restrictions or prohibitions on ownership by securities intermediaries.
- § 240.17Ad-21T - Operational capability in a Year 2000 environment.
- § 240.17ad-22 - Standards for clearing agencies.
- § 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 (or subject to the period set forth in § 240.3a71-2(b)).
- § 240.17ad-25 - Clearing agency boards of directors and conflicts of interest.
- § 240.17ad-26 - Recovery and orderly wind-down plans of covered clearing agencies.
- § 240.17Ad-27 - Straight-through processing by clearing agencies that provide a central matching service.