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Comments on Re-proposed Rules for Nationally Recognized Statistical Rating Organizations
Order Granting Temporary Conditional Exemption for Nationally Recognized Statistical Rating Organizations From Requirements of Rule 17g-5 Under the Securities Exchange Act of 1934 and Request for Comment
[Release No. 34-65765; File No. S7-04-09]
Order Extending Temporary Conditional Exemption for Nationally Recognized Statistical Rating Organizations From Requirements of Rule 17g-5 Under the Securities Exchange Act of 1934 and Request for Comment
[Release No. 34-62120; File No. S7-04-09]
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| Nov. 2, 2011 | Jack Rando, Investment Industry Association of Canada, Toronto, Canada |
| Aug. 9, 2011 | Tom Deutsch, Executive Director, American Securitization Forum, and Chris Dalton, Chief Executive Officer, Australian Securitisation Forum |
| Nov. 14, 2010 | Memorandum from the Office of the Chairman regarding a November 10, 2010, meeting with a representative of Meredith Whitney Advisory Group |
| Nov. 12, 2010 | Masaru Ono, Executive Director, Securitization Forum of Japan, Tokyo, Japan |
| Nov. 12, 2010 | Masamichi Kono, Vice Commissioner for International Affairs, Financial Services Agency, Government of Japan |
| Nov. 11, 2010 | Richard Hopkin, Managing Director, Association for Financial Markets in Europe |
| Nov. 1, 2010 | Memorandum from the Office of Financial Responsibility regarding an October 27, 2010, meeting with representatives of NetRoadshow |
| Nov. 1, 2010 | Memorandum from the Office of Financial Responsibility regarding an October 21, 2010, meeting with representatives of DBRS, Inc. |
| Nov. 1, 2010 | Memorandum from the Office of Financial Responsibility regarding a September 30, 2010, meeting with representatives of Realpoint, Andrascik & Tita LLC, and Morningstar |
| Oct. 22, 2010 | Memorandum from the Office of Commissioner Aguilar regarding an October 21, 2010, meeting with representatives of DBRS, Inc. |
| Sep. 22, 2010 | Jack Rando, Investment Industry Association of Canada, Toronto, Canada |
| Jun. 27, 2010 | Christopher Dalton, Chief Executive Officer, Australian Securitisation Forum, Sydney, Australia |
| Jun. 25, 2010 | Takefumi Emori, Managing Director, Japan Credit Rating Agency, Ltd. |
Re-proposed Rules for Nationally Recognized Statistical Rating Organizations
[Release No. 34-59343; File No. S7-04-09]
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| May 18, 2010 | Eddy Wymeersch, Committee of European Securities Regulators |
| May 12, 2010 | Steve Alter, CEO/Founder, Real Capital Markets |
| May 12, 2010 | Chris Dalton, Chief Executive Officer, Australian Securitisation Forum |
| May 12, 2010 | Guido RAVOET, European Banking Federation |
| May 5, 2010 | Rick Watson, Managing Director and Chief Operating Officer, Association for Financial Markets in Europe / European Securitisation Forum |
| May 3, 2010 | Tom Deutsch, Executive Director, American Securitization Forum |
| Apr. 30, 2010 | Neal E. Sullivan, Bingham McCutchen LLP on behalf of Rating and Investment Information, Inc. |
| Apr. 30, 2010 | Christopher B. Killian, Securities Industry and Financial Markets Association |
| Mar. 30, 2010 | Richard J. Watson, Managing Director, AFME / ESF |
| Mar. 26, 2010 | Memorandum from the Office of Commissioner Paredes regarding a March 25, 2010 meeting with representatives of Standard and Poor's |
| Sep. 30, 2009 | Memorandum from the Commissioner Aguilar regarding a September 4, 2009, meeting with a representative of CreditSights |
| Sep. 18, 2009 | Lyn Perlmuth, The Credit Roundtable |
| Sep. 10, 2009 | Memorandum from the Office of the Chairman regarding a September 10, 2009, meeting with a representative of CreditSights |
| Sep. 8, 2009 | Glenn Reynolds, CEO, CreditSights, Inc. |
| Sep. 4, 2009 | Memorandum from the Office of Commissioner Paredes regarding a September 3, 2009, meeting with representatives of CreditSights |
| Sep. 3, 2009 | Memorandum from the Office of the Chairman regarding an August 25, 2009, meeting with representatives of Standard & Poor's |
| Sep. 3, 2009 | Memorandum from the Office of the Chairman regarding an August 25, 2009, meeting with representatives of Moody's Corporation and Covington and Burling LLP |
| Aug. 12, 2009 | Memorandum from the Office of the Commissioner Paredes regarding an August 12, 2009, meeting with representatives of Moody's |
| Aug. 12, 2009 | Glenn Reynolds, CEO, CreditSights, Inc. and Peter Petas, President, CreditSights, Inc. |
| Jun. 15, 2009 | Memorandum from the Office of Commissioner Aguilar regarding a June 8, 2009, meeting with representatives of DBRS and Pickard & Djinis |
| Jun. 12, 2009 | Curtis C. Verschoor, CPA, CIA, CMA, CFE, L Q Research Professor, School of Accountancy, DePaul University, Barrington , Illinois |
| Jun. 9, 2009 | Dan J. Nguyen, CFA, MBA, Midwest Professional Planners, Wausau, Wisconsin |
| Jun. 9, 2009 | Memorandum from the Office of the Commissioner Paredes regarding a June 9, 2009, meeting with representatives of DBRS |
| Jun. 8, 2009 | Memorandum from the Office of the Chairman regarding a June 4, 2009, meeting with representatives of Standard & Poor's |
| Jun. 8, 2009 | Memorandum from the Division of Trading and Markets regarding a June 4, 2009, meeting with Neil Baron and Shailesh Shah |
| Jun. 1, 2009 | Christine DiFabio, Vice President, Advocacy and Accounting Policy, Financial Executives International
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| May 21, 2009 | Memorandum from the Office of the Chairman regarding a May 21, 2009, meeting with representatives of Moody's Corporation |
| May 19, 2009 | Lawrence A. Pingree, SiliconValleyForex.com, Pleasanton, California |
| May 15, 2009 | Memorandum from the Office of Commissioner Paredes regarding a May 15, 2009, meeting with representatives of Standard & Poor's |
| May 3, 2009 | Neil Baron, Armonk, New York |
| Apr. 20, 2009 | Carl F. Adams, Principal, Capital Framework Advisors LLC, New York, New York |
| Apr. 16, 2009 | Nicholas Brown, St. Peters, Missouri |
| Apr. 15, 2009 | Frederic P. Vigneron, Chui Ng, David Roberts and Ling Yu, Asset Backed Consulting, LLC, New York, New York |
| Apr. 15, 2009 |
Richard H. Baker, Managed Funds Association |
| Apr. 15, 2009 |
Deven Sharma, President, Standard & Poor’s Ratings Services |
| Apr. 15, 2009 |
Lawrence J. White, Professor of Economics, New York University Stern School of Business |
| Apr. 15, 2009 |
James H. Gellert, President and CEO and Dr. Patrick James Caragata, Founder and Executive Vice Chairman, Rapid Ratings International Inc. |
| Apr. 15, 2009 |
George P. Miller, Executive Director, American Securitization Forum |
| Apr. 15, 2009 |
James A. Kaitz, President and CEO, Association for Financial Professionals |
| Apr. 15, 2009 |
Sean Egan, Co-Founder & Managing Director, Egan-Jones Ratings Co. |
| Apr. 15, 2009 |
Paul Schott Stevens, President and CEO, Investment Company Institute |
| Apr. 15, 2009 |
Daniel Curry, President, DBRS Inc. |
| Apr. 15, 2009 |
Ethan Berman, RiskMetrics Group |
| Apr. 15, 2009 |
Robert G. Dobilas, President and CEO, Realpoint, Inc. |
| Apr. 15, 2009 |
Raymond W. McDaniel, CEO and President, Moody’s Investors Service |
| Apr. 15, 2009 |
Frank Partnoy, George E. Barrett Professor of Law and Finance, University of San Diego School of Law, San Diego, California |
| Apr. 15, 2009 |
Alan J. Fohrer, Chairman and Chief Executive Officer, Southern California Edison Company |
| Apr. 15, 2009 |
Alex J. Pollock, Resident Fellow, American Enterprise Institute |
| Apr. 15, 2009 |
Stephen W. Joynt, President and CEO, Fitch Ratings |
| Apr. 13, 2009 |
Kurt N. Schacht and Linda L. Rittenhouse, CFA Institute Centre for Financial Market Integrity |
| Apr. 10, 2009 |
Glen Reynolds, CEO, CreditSights, Inc. |
| Apr. 9, 2009 |
Congressional Oversight Panel's Special Report on Regulatory Reform, submitted by Damon Silvers, AFL-CIO |
| Apr. 9, 2009 |
Joseph A. Grundfest and Evgenia Petrova, Stanford Law School and
The Rock Center on Corporate Governance |
| Apr. 9, 2009 |
Mayree Clark and Andrew Jones |
| Apr. 9, 2009 |
Deborah A. Cunningham, Executive Vice President, Chief Investment Officer, Federated Investors, Inc. |
| Apr. 8, 2009 |
William Michael Cunningham, Social Investing Adviser, Creative Investment Research, Inc. |
| Apr. 8, 2009 |
Gregory W. Smith, General Counsel, Colorado Public Employees' Retirement Association |
| Apr. 7, 2009 |
Bruce Stern, Association of Financial Guaranty Insurers |
| Apr. 3, 2009 | Dottie Cunningham, Chief Executive Officer, Commercial Mortgage Securities Association |
| Apr. 2, 2009 | Keith F. Higgins, Chair, Committee on Federal Regulation of Securities, American Bar Association Section of Business Law, Boston, Massachusetts |
| Mar. 31, 2009 | Robert G. Dobilas, CEO and President, Realpoint LLC, Horsham, Pennsylvania |
| Mar. 28, 2009 | Michel Madelain, Chief Operating Officer, Moody's Investors Service |
| Mar. 27, 2009 | Vickie A. Tillman, Executive Vice President, Standard and Poor's Ratings Services, New York, New York |
| Mar. 26, 2009 | Hidetaka Tanaka, Senior Executive Managing Director, Rating and Investment Information, Inc. |
| Mar. 26, 2009 | Cate Long, www.multiple-markets.com |
| Mar. 26, 2009 | John P. Hunt, Acting Professor of Law, University of California, Davis (July 2009), Davis, California |
| Mar. 26, 2009 | Karrie McMillan, General Counsel, Investment Company Institute |
| Mar. 26, 2009 | George Miller, Executive Director, ASF and Sean C. Davy, Managing Director, SIFMA |
| Mar. 26, 2009 | Douglas Adamson, Executive Vice President, American Bankers Association, Washington, District of Columbia |
| Mar. 26, 2009 | Gregory W. Smith, General Counsel, Colorado Public Employees' Retirement Association, Denver, Colorado |
| Mar. 25, 2009 | Charles D. Brown, General Counsel, Fitch Ratings |
| Mar. 25, 2009 | Richard Whiting, Executive Director and General Counsel, Financial Services Roundtable |
| Mar. 25, 2009 | Mary Keogh, Managing Director, Regulatory Affairs, and Daniel Curry, President, DBRS, Inc. |
| Mar. 25, 2009 | Laurel N. Leitner, Analyst, Council of Institutional Investors |
| Mar. 18, 2009 | Takefumi Emori, Managing Director, Japan Credit Rating Agency, Ltd. |
| Mar. 10, 2009 | Andrea Getto |
| Mar. 8, 2009 | Russell D. Sears, ASA, CFA, Edmond, Oklahoma |
| Mar. 5, 2009 | Shawn S. Fahrer, Accounting Student, Queensborough Community College (CUNY), Flushing, New York |
| Feb. 26, 2009 | Mike Marchywka, Marietta, Georgia |
| Feb. 13, 2009 | Memorandum from the Division of Trading and Markets regarding a February 12, 2009, phone call with representatives of Moody's Investors Service |
http://www.sec.gov/comments/s7-04-09/s70409.shtml
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