federal_register: 97-33402
Data license: Public Domain (U.S. Government data) · Data source: Federal Register API & Regulations.gov API
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| document_number | title | type | abstract | publication_date | pub_year | pub_month | html_url | pdf_url | agency_names | agency_ids | excerpts |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 97-33402 | Capital Requirements for Brokers or Dealers Under the Securities Exchange Act of 1934 | Proposed Rule | The Securities and Exchange Commission (``Commission'') is proposing for comment amendments to Rule 15c3-1 under the Securities Exchange Act of 1934. The proposed amendments would define the term ``nationally recognized statistical rating organization'' (``NRSRO''). The proposed definition sets forth a list of attributes to be considered by the Commission in designating rating organizations as NRSROs and the process for applying for NRSRO designation. | 1997-12-30 | 1997 | 12 | https://www.federalregister.gov/documents/1997/12/30/97-33402/capital-requirements-for-brokers-or-dealers-under-the-securities-exchange-act-of-1934 | https://www.govinfo.gov/content/pkg/FR-1997-12-30/pdf/97-33402.pdf | Securities and Exchange Commission | 466 | The Securities and Exchange Commission (``Commission'') is proposing for comment amendments to Rule 15c3-1 under the Securities Exchange Act of 1934. The proposed amendments would define the term ``nationally recognized statistical rating... |