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