United States Government Publishing Office publisher pbl distributor dst United States National Archives and Records Administration Office of the Federal Register author aut Government Organization text government publication eng FR Regulatory Information 2011_register executive 2011-08-03 article Rules and Regulations D09002ee1c7ff831f D09002ee1c7ff842b United States Securities and Exchange Commission originator org United States Government Agency or Subagency In light of the provisions of Section 939A of the Dodd-Frank Wall Street Reform and Consumer Protection Act, we are adopting amendments to replace rule and form requirements under the Securities Act of 1933 and the Securities Exchange Act of 1934 for securities offering or issuer disclosure rules that rely on, or make special accommodations for, security ratings (for example, Forms S-3 and F-3 eligibility criteria) with alternative requirements. 76 FR 46603 https://www.govinfo.gov/app/details/FR-2011-08-03/2011-19421 2011-19421 fr03au11-4 RIN 3235-AK18 8011-01-P Release No. 33-9245 34-64975 File No. S7-18-08 https://www.govinfo.gov/app/details/FR-2011-08-03/2011-19421 https://www.govinfo.gov/content/pkg/FR-2011-08-03/html/2011-19421.htm https://www.govinfo.gov/content/pkg/FR-2011-08-03/pdf/2011-19421.pdf Reporting and Recordkeeping Requirements Securities 19 p. 46603 46621 76 FR 46603 Title 17 Part 200 17 CFR Part 200 Title 17 Part 229 17 CFR Part 229 Title 17 Part 230 17 CFR Part 230 Title 17 Part 232 17 CFR Part 232 Title 17 Part 239 17 CFR Part 239 Title 17 Part 240 17 CFR Part 240 Title 17 Part 249 17 CFR Part 249 RIN 3235-AK18 Security Ratings; Federal Register Vol. 76, Issue RULE 2011-19421 SECURITIES AND EXCHANGE COMMISSION 2011-09-02 Release No. 33-9245 34-64975 File No. S7-18-08 8011-01-P 2011-19421 Final rule.

In light of the provisions of Section 939A of the Dodd-Frank Wall Street Reform and Consumer Protection Act, we are adopting amendments to replace rule and form requirements under the Securities Act of 1933 and the Securities Exchange Act of 1934 for securities offering or issuer disclosure rules that rely on, or make special accommodations for, security ratings (for example, Forms S-3 and F-3 eligibility criteria) with alternative requirements.

Effective Date: This rule is effective September 2, 2011 except for the following amendments, which are effective December 31, 2012: Blair Petrillo, Special Counsel in the Office of Rulemaking, Division of Corporation Finance, at (202) 551- 3430, or with respect to issuers of insurance contracts, Keith E. Carpenter, Senior Special Counsel in the Office of Disclosure and Insurance Product Regulation, Division of Investment Management, at (202) 551-6795, U.S. Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549. Reporting and Recordkeeping Requirements Securities Security Ratings , http://www.osc.gov.on.ca/documents/en/Securities-Category5/rule_20101001_52-107_ifrs-amd-3339-supp3.pdf http://www.osc.gov.on.ca/en/ifrs_index.htm?wloc=141RHEN&id=21789EN http://www.sec.gov/comments/df-title-ix/credit-rating-agencies/credit-rating-agencies.shtml http://www.sec.gov/comments/s7-18-08/s71808.shtml http://www.sec.gov/spotlight/regreformcomments.shtml Vol. 76, no. 149 Office of the Federal Register, National Archives and Records Administration 2011-08-03 continuing daily deposited born digital 468 p. Table of Contents: AE 2.7: GS 4.107: AE 2.106: KF70.A2 https://www.govinfo.gov/app/details/FR-2011-08-03 P0b002ee180dc163f 0097-6326 0042-1219 0364-1406 769-004-00000-9 000582072 f:fr03au11 https://www.govinfo.gov/app/details/FR-2011-08-03 https://www.govinfo.gov/content/pkg/FR-2011-08-03/pdf/FR-2011-08-03.pdf https://www.govinfo.gov/content/pkg/FR-2011-08-03/xml/FR-2011-08-03.xml fdlp 46595 47054 DGPO 2011-08-03 2024-06-04 FR-2011-08-03 machine generated eng FR FR-2011-08-03 76 149