SEC Press pdf 60 KB 1,721 chars

SEC v. Rating And Investment Information, Inc.

raw: INFORMATION, INC. AS A NATIONALLY RECOGNIZED STATISTICAL RATING

Caption
SEC v. Rating And Investment Information, Inc
Exhibit of Press Release: Seven Credit Rating Agencies Register with SEC as Nationally Recognized Statistical Rating Organizations (Press Release No. 2007-199; September 24, 2007)
Source PDF JSON
summary

Rating and Investment Information, Inc. was granted registration as a Nationally Recognized Statistical Rating Organization (NRSRO) by the SEC.

paragraph

The SEC granted registration to Rating and Investment Information, Inc. as an NRSRO under Section 15E of the Securities Exchange Act of 1934. The company's application was found compliant with required forms and disclosures. No allegations of misconduct or charges were present.

narrative

The U.S. Securities and Exchange Commission (SEC) issued an order granting registration to Rating and Investment Information, Inc. as a Nationally Recognized Statistical Rating Organization (NRSRO) under the Securities Exchange Act of 1934. The registration allows the company to issue credit ratings for specified classes of securities. The SEC determined that the company's application met all statutory and regulatory requirements, including Form NRSRO and disclosure obligations. The approval is a routine registration action with no charges, fines, or allegations of wrongdoing. The order is based on the company's compliant application, which contained the required information under Section 15E of the Exchange Act. The registration is for the classes of credit ratings described in clauses (i) through (v) of Section 3(a)(62)(B) of the Exchange Act. The outcome is a formal approval of the company's registration.

Enriched metadata

Scheme
non-corporate (100%)
Classified non-corporate(confidence 100%). No EDGAR filing fingerprint (criminal/DOJ-side scheme). detection rule →
Statutes
17 CFR 240.17g-1Section 15E of the Securities Exchange ActRule 17g-1
Parties
Securities and Exchange CommissionRating And Investment Information, Inc.
Keywords
exchangeratinginformationnationally recognizedrecognized statisticalstatistical ratingrating investmentinvestment informationcommissionincexchange commissionsecurities exchangenationallyrecognizedstatistical

Extracted insights

Entities 3
  • person nancy m. morris ×2
  • company Rating And Investment Information, Inc. ×2
  • agency Securities and Exchange Commission
Triples 6
  • Rating And Investment Information, Inc. received registration as Nationally Recognized Statistical Rating Organization (NRSRO)
  • Rating And Investment Information, Inc. furnished application to Securities And Exchange Commission (SEC)
  • SEC granted registration to Rating And Investment Information, Inc.
  • SEC found requirements satisfied under Section 15E Of The Securities Exchange Act Of 1934
  • Rating And Investment Information, Inc. is registered for credit ratings under Clauses (i) Through (v) Of Section 3(a)(62)(B)
  • Nancy M. Morris signed as Secretary
PDF
INFORMATION, INC. AS A NATIONALLY RECOGNIZED STATISTICAL RATING · Source
Text layers
Extracted body text (1,721c) 

UNITED STATES OF AMERICA 
BEFORE THE 
SECURITES AND EXCHANGE COMMISSION 
 
SECURITIES EXCHANGE ACT OF 1934 
Release No. 56512/September 24, 2007 
 
ORDER GRANTING REGISTRATION OF RATING AND INVESTMENT 
INFORMATION, INC. AS A NATIONALLY RECOGNIZED STATISTICAL RATING 
ORGANIZATION 
 
 Rating and Investment Information, Inc., a credit rating agency, furnished to the 
Securities and Exchange Commission (“Commission”) an application for registration as a 
nationally recognized statistical rating organization (“NRSRO”) under Section 15E of the 
Securities Exchange Act of 1934 (“Exchange Act”) for the classes of credit ratings 
described in clauses (i) through (v) of Section 3(a)(62)(B) of the Exchange Act.  The 
Commission finds that the application furnished by Rating and Investment Information, 
Inc. is in the form required by Exchange Act Section 15E, Exchange Act Rule 17g-1 (17 
CFR 240.17g-1), and Form NRSRO (17 CFR 249b.300) and contains the information 
described in subparagraph (B) of Section 15E(a)(1) of the Exchange Act.  
  
Based on the application, the Commission finds that the requirements of Section 
15E of the Exchange Act are satisfied.   
 
            Accordingly,                        
 
 IT IS ORDERED, under paragraph (a)(2)(A) of Section 15E of the Exchange Act, 
that the registration of Rating and Investment Information, Inc. with the Commission as 
an NRSRO under Section 15E of the Exchange Act for the classes of credit ratings 
described in clauses (i) through (v) of Section 3(a)(62)(B) of the Exchange Act is 
granted. 
 
 By the Commission. 
 
 
      Nancy M. Morris 
                                                                        Secretary