NATIONALLY RECOGNIZED STATISTICAL RATING ORGANIZATIONS
- Section 240.17Ad-1 - Definitions
- Section 240.17Ad-2 - Turnaround, processing, and forwarding of items
- Section 240.17Ab2-1 - Registration of clearing agencies
- Section 240.17Ac2-1 - Application for registration of transfer agents
- Section 240.17Ab2-2 - Determinations affecting covered clearing agencies
- Section 240.17Ac2-2 - Annual reporting requirement for registered transfer agents
- Section 240.17Ad-3 - Limitations on expansion
- Section 240.17Ac3-1 - Withdrawal from registration with the Commission
- Section 240.17Ad-4 - Applicability of Sections 240.17Ad-2, 240.17Ad-3 and 240.17Ad-6(a) (1) through (7) and (11)
- Section 240.17Ad-5 - Written inquiries and requests
- Section 240.17Ad-6 - Recordkeeping
- Section 240.17Ad-7 - Record retention
- Section 240.17Ad-8 - Securities position listings
- Section 240.17Ad-9 - Definitions
- Section 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
- Section 240.17Ad-11 - Reports regarding aged record differences, buy-ins and failure to post certificate detail to master securityholder and subsidiary files
- Section 240.17Ad-12 - Safeguarding of funds and securities
- Section 240.17Ad-13 - Annual study and evaluation of internal accounting control
- Section 240.17Ad-14 - Tender agents
- Section 240.17Ad-15 - Signature guarantees
- Section 240.17Ad-16 - Notice of assumption or termination of transfer agent services
- Section 240.17Ad-17 - Lost securityholders and unresponsive payees
- Section 240.17Ad-18 - Year 2000 Reports to be made by certain transfer agents
- Section 240.17Ad-19 - Requirements for cancellation, processing, storage, transportation, and destruction or other disposition of securities certificates
- Section 240.17Ad-20 - Issuer restrictions or prohibitions on ownership by securities intermediaries
- Section 240.17Ad-21T - Operational capability in a Year 2000 environment
- Section 240.17ad-22 - [Effective 3/18/2024] Standards for clearing agencies
- Section 240.17ad-22 - [Effective until 3/18/2024] Standards for clearing agencies
- Section 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 Section 240.3a71-2(a) (or subject to the period set forth in Section 240.3a71-2(b))
- Section 240.17Ad-25 - [Effective 2/5/2024] Clearing agency boards of directors and conflicts of interest
- Section 240.17Ad-27 - Straight-through processing by clearing agencies that provide a central matching service
- Section 240.17g-1 - Application for registration as a nationally recognized statistical rating organization
- Section 240.17g-2 - Records to be made and retained by nationally recognized statistical rating organizations
- Section 240.17g-3 - Annual financial and other reports to be filed or furnished by nationally recognized statistical rating organizations
- Section 240.17g-4 - Prevention of misuse of material nonpublic information
- Section 240.17g-5 - Conflicts of interest
- Section 240.17g-6 - Prohibited acts and practices
- Section 240.17g-7 - Disclosure requirements
- Section 240.17g-8 - Policies, procedures, and internal controls
- Section 240.17g-9 - Standards of training, experience, and competence for credit analysts
- Section 240.17g-10 - Certification of providers of third-party due diligence services in connection with asset-backed securities
- Section 240.17h-1T - Risk assessment recordkeeping requirements for associated persons of brokers and dealers
- Section 240.17h-2T - Risk assessment reporting requirements for brokers and dealers