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首页> 美国政府科技报告 >2011 Summary Report of Commission Staff's Examinations of Each Nationally Recognized Statistical Rating Organization As Required by Section 15E(p)(3)(C) of the Securities Exchange Act of 1934
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2011 Summary Report of Commission Staff's Examinations of Each Nationally Recognized Statistical Rating Organization As Required by Section 15E(p)(3)(C) of the Securities Exchange Act of 1934

机译：2011年“证券交易法”第15E（p）（3）（C）条要求的每个国家认可的统计评级机构的委员会工作人员考试总结报告

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摘要

This Report summarizes the examinations conducted by staff from the U.S. Securities and Exchange Commission (the Staff) under Section 15E(p)(3) of the Securities Exchange Act of 1934 (Exchange Act). This is a report of the Staff and, as such, reflects solely the Staff's views. The U.S. Securities and Exchange Commission (Commission) is making this Staff report public as required by Section 15E(p)(3)(C) of the Exchange Act. In 2006, Congress passed the Credit Rating Agency Reform Act (the Rating Agency Reform Act) that provided the Commission with the authority to establish a registration and oversight program for credit rating agencies. The Rating Agency Reform Act added Section 15E to the Exchange Act, which established Commission oversight over those credit rating agencies that register with the Commission as Nationally Recognized Statistical Rating Organizations (NRSROs). The Rating Agency Reform Act also amended Section 17 of the Exchange Act to provide the Commission with recordkeeping, reporting, and examination authority over registered NRSROs.

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