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Diane Publishing Books
SEC’s Role Regarding and Oversight of Nationally Recognized Statistical Rating Organizations (NRSROs)
H. David Kotz (au)
The SEC first incorporated reliance on credit ratings into its rules and regulations in 1975 in connection with how broker-dealers must compute their net capital. In that rule, the SEC specified that a broker-dealer, in computing its net capital, could take a lesser deduction from its net worth as to securities that were rated as having a comparatively low chance of default according to a credit rating of a “nationally recognized statistical rating org.” (”NRSRO”). This report focuses on the implementation of and compliance with the Rating Agency Act and SEC rules. It also assessed the SEC’s efforts to oversee the NRSROs and to implement the Rating Agency Act’s accountability, competition, and transparency objectives.
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