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.