Ratings from a nationally recognized statistical rating organization or NRSRO registered with the Commission can have a significant influence of the sale of products such as residential mortgage backed securities. It is for that reason that Congress in Dodd Frank, …
Tag: rating agencies
SEC Sanctions Another Entity For Not Following Its Procedures
A continuing focus of SEC enforcement is compliance by entities with their disclosed procedures. The Commission’s latest action in this regard resulted in the payment of nearly $6 million by a Credit Rating Agency that not only failed to comply …
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