Nationally Recognized Statistical Rating Organizations

1. CFR
2. ›
3. Title 17
4. ›
5. Chapter II
6. ›
7. Part 240
8. ›
9. Subpart A
10. ›
11. Subject Group Nationally Recognized Statistical Rating Organizations

Sections

• 240.17ab2-1
  § 240.17ab2-1 Registration of clearing agencies.
• 240.17Ab2-2
  § 240.17Ab2-2 Determinations affecting covered clearing agencies.
• 240.17Ac2-1
  § 240.17Ac2-1 Application for registration of transfer agents.
• 240.17Ac2-2
  § 240.17Ac2-2 Annual reporting requirement for registered transfer agents.
• 240.17Ac3-1
  § 240.17Ac3-1 Withdrawal from registration with the Commission.
• 240.17Ad-1
  § 240.17Ad-1 Definitions.
• 240.17Ad-2
  § 240.17Ad-2 Turnaround, processing, and forwarding of items.
• 240.17Ad-3
  § 240.17Ad-3 Limitations on expansion.
• 240.17Ad-4
  § 240.17Ad-4 Applicability of §§ 240.17Ad-2, 240.17Ad-3 and 240.17Ad-6(a) (1) through (7) and (11).
• 240.17Ad-5
  § 240.17Ad-5 Written inquiries and requests.
• 240.17Ad-6
  § 240.17Ad-6 Recordkeeping.
• 240.17ad-7
  § 240.17ad-7 (Rule 17Ad-7) Record retention.
• 240.17Ad-8
  § 240.17Ad-8 Securities position listings.
• 240.17Ad-9
  § 240.17Ad-9 Definitions.
• 240.17Ad-10
  § 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
  § 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
  § 240.17Ad-12 Safeguarding of funds and securities.
• 240.17Ad-13
  § 240.17Ad-13 Annual study and evaluation of internal accounting control.
• 240.17Ad-14
  § 240.17Ad-14 Tender agents.
• 240.17Ad-15
  § 240.17Ad-15 Signature guarantees.
• 240.17Ad-16
  § 240.17Ad-16 Notice of assumption or termination of transfer agent services.
• 240.17Ad-17
  § 240.17Ad-17 Lost securityholders and unresponsive payees.
• 240.17Ad-18
  § 240.17Ad-18 Year 2000 Reports to be made by certain transfer agents.
• 240.17Ad-19
  § 240.17Ad-19 Requirements for cancellation, processing, storage, transportation, and destruction or other disposition of securities certificates.
• 240.17Ad-20
  § 240.17Ad-20 Issuer restrictions or prohibitions on ownership by securities intermediaries.
• 240.17Ad-21T
  § 240.17Ad-21T Operational capability in a Year 2000 environment.
• 240.17ad-22
  § 240.17ad-22 Standards for clearing agencies.
• 240.17Ad-24
  § 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)).
• 240.17ad-25
  § 240.17ad-25 Clearing agency boards of directors and conflicts of interest.
• 240.17ad-26
  § 240.17ad-26 Recovery and orderly wind-down plans of covered clearing agencies.
• 240.17Ad-27
  § 240.17Ad-27 Straight-through processing by clearing agencies that provide a central matching service.
• 240.17g-1
  § 240.17g-1 Application for registration as a nationally recognized statistical rating organization.
• 240.17g-2
  § 240.17g-2 Records to be made and retained by nationally recognized statistical rating organizations.
• 240.17g-3
  § 240.17g-3 Annual financial and other reports to be filed or furnished by nationally recognized statistical rating organizations.
• 240.17g-4
  § 240.17g-4 Prevention of misuse of material nonpublic information.
• 240.17g-5
  § 240.17g-5 Conflicts of interest.
• 240.17g-6
  § 240.17g-6 Prohibited acts and practices.
• 240.17g-7
  § 240.17g-7 Disclosure requirements.
• 240.17g-8
  § 240.17g-8 Policies, procedures, and internal controls.
• 240.17g-9
  § 240.17g-9 Standards of training, experience, and competence for credit analysts.
• 240.17g-10
  § 240.17g-10 Certification of providers of third-party due diligence services in connection with asset-backed securities.
• 240.17h-1T
  § 240.17h-1T Risk assessment recordkeeping requirements for associated persons of brokers and dealers.
• 240.17h-2T
  § 240.17h-2T Risk assessment reporting requirements for brokers and dealers.