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SEC reports improvements in NRSRO compliance and competition

  • SEC (US Securities and Exchange Commission) Image

Jan 05, 2018

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

The reports show that NRSROs have increased (1) their compliance with federal securities laws and (2) information technology resources. In addition, the reports note that “smaller NRSROs continue to actively compete with more established rating agencies, and some are specializing in particular rating categories and classes.”

For more information, see the press release, annual examination report, and annual report to Congress on the SEC’s Web site.

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