Header graphic for print
Securities Compliance Sentinel Analysis of cutting-edge securities industry issues

Category Archives: NRSRO

Subscribe to NRSRO RSS Feed

SEC Agrees with NRSROs Upgrades

Posted in NRSRO, SEC Compliance, SEC Enforcement

The SEC has given a pretty good report card regarding its examinations of nationally recognized statistical rating organizations, stating there was only one mistake.  This “clean bill of health” comes about a year after the SEC issued a scathing report of all NRSROs. Although these agencies had been blamed for some of the problems that… Continue Reading