SEC Report of NRSRO Examinations


On November 15, the SEC issued its second annual staff report on the findings of examinations of NRSROs. The staff found that except for one smaller NRSRO, all NRSROs appropriately addressed the recommendations from the 2011 report. SEC Release. SEC Report.

Published In: Administrative Agency Updates, Securities Updates

DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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