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SEC reports improvements in NRSRO compliance

  • SEC (US Securities and Exchange Commission) Image

Dec 28, 2015

The SEC has issued two annual staff reports that summarize the SEC staff’s analysis of nationally recognized statistical rating organizations (NRSRO).

The reports show that NRSROs have increased their compliance with federal securities laws and developed enhancements in accountability, controls, and governance since last year's report. Also, the reports noted that certain smaller NRSROs have increased their market share in asset-back securities credit ratings.

For more information, see the press release, Annual Examination Report, and the Annual Report to Congress on the SEC’s Web site.

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