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Rules & Regulations
(a) Policies and procedures with respect to the procedures and methodologies used to determine credit ratings. A nationally recognized statistical rating organization must establish, maintain, ...
(a) A nationally recognized statistical rating organization must establish, maintain, enforce, and document standards of training, experience, and competence for the individuals it employs to ...
Rule 17g-10 — Certification of providers of third-party due diligence services in connection with...
(a) The written certification that a person employed to provide third-party due diligence services is required to provide to a nationally recognized statistical rating organization ...
(a) Requirement to maintain and preserve information. (1) Every broker or dealer registered with the Commission pursuant to section 15 of the Act, and every ...
(a) Reporting requirements of risk assessment information required to be maintained by section 240.17h-1T. (1) Every broker or dealer registered with the Commission pursuant to ...
(a) An application for registration or for exemption from registration as a clearing agency, as defined in section 3(a)(23) of the Act, or an amendment ...
(a) An application for registration, pursuant to section 17A(c) of the Act, of a transfer agent for which the Commission is the appropriate regulatory agency, ...
(a) Every transfer agent registered on December 31 must file a report covering the reporting period on Form TA-2 (§249b.102 of this chapter) by March ...
(a) Notice of withdrawal from registration as a transfer agent with the Commission pursuant to section 17A(c)(4) of the Act shall be filed on Form ...
(a)(1) The term item means: (i) A certificate or certificates of the same issue of securities covered by one ticket (or, if there is no ...