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SEC removes NRSRO ratings from certain rules and forms

  • SEC (US Securities and Exchange Commission) Image

Dec 27, 2013

The SEC has issued two final rules that remove references to credit ratings by nationally recognized statistical rating organizations (NRSRO) in certain rules and forms. The amendments were required as part of the Dodd-Frank Wall Street Reform and Consumer Protection Act.

As a result of the amendments, the following rules and forms have been affected:

  • Rule 5b-3 of the Investment Company Act
  • Forms N-1A, N-2, and N-3
  • Rule 15c3-1 (including certain appendices), Rule 15c-3, and Rule 10b-10 of the Securities Exchange Act of 1934

More information is available on the SEC’s Web site:

Correction list for hyphenation

These words serve as exceptions. Once entered, they are only hyphenated at the specified hyphenation points. Each word should be on a separate line.