Nationally Recognized Statistical Rating Organizations; Correction, 61576-61578 [2014-24300]

Download as PDF 61576 Federal Register / Vol. 79, No. 198 / Tuesday, October 14, 2014 / Rules and Regulations b. Adding paragraph e. to the ‘‘Items’’ paragraph of the ‘‘List of Items Controlled’’ section to read as follows: SECURITIES AND EXCHANGE COMMISSION 6E993 Other ‘‘technology,’’ not controlled by 6E003, as follows (see List of Items Controlled). [Release No. 34–72936A; File No. S7–18– 11] ■ Reason for Control: RS, AT Country chart (See Supp. No. 1 to part 738) RS applies to 6E993.e. AT applies to entire entry. * * * * RS Column 1 * Related Controls: * * * Related Definition: * * * Items: * * * e. ‘‘Technology’’ ‘‘required’’ for the ‘‘development’’ or ‘‘production’’ of infrared up-conversion devices having all of the following: e.1. A response in the wavelength range exceeding 700 nm but not exceeding 1500 nm; and e.2. A combination of an infrared photodetector, light emitting diode (OLED), and nanocrystal to convert infrared light into visible light. * * * * Dated: October 7, 2014. Kevin J. Wolf, Assistant Secretary for Export Administration. [FR Doc. 2014–24359 Filed 10–10–14; 8:45 am] BILLING CODE 3510–33–P Securities and Exchange Commission. ACTION: Final rule; correction. AGENCY: The Securities and Exchange Commission (‘‘Commission’’) is correcting a final rule that appeared in the Federal Register of September 15, 2014 (79 FR 55078). The rule applies to credit rating agencies registered with the Commission as nationally recognized statistical rating organizations (‘‘NRSROs’’), providers of third-party due diligence services for asset-backed securities, and issuers and underwriters of asset-backed securities.1 DATES: Effective November 14, 2014. FOR FURTHER INFORMATION CONTACT: Rose Russo Wells, Senior Counsel, at (202) 551–5527; Division of Trading and Markets, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549–7010. SUPPLEMENTARY INFORMATION: In FR Doc. 2014–20890, appearing on page 55078 in the Federal Register of Monday, September 15, 2014, the following corrections are made: ■ 1. On page 55261, in the second column, under the heading ‘‘Text of Final Rules’’ the word ‘‘Regulation’’ is corrected to read ‘‘Regulations’’ SUMMARY: AT Column 1 List of Items Controlled * Nationally Recognized Statistical Rating Organizations; Correction Nationally Recognized Statistical Rating Organizations, Exchange Act Release No. 72936 (Aug. 27, 2014), 79 FR 55078 (Sep. 15, 2014). mstockstill on DSK4VPTVN1PROD with RULES 1 See VerDate Sep<11>2014 16:04 Oct 10, 2014 Jkt 235001 PO 00000 Frm 00014 Fmt 4700 Sfmt 4700 [Corrected] 2. On page 55261, in the third column, in § 240.15Ga–2(a), the citation ‘‘(15 U.S.C. 78c(a)(79))’’ is corrected to read ‘‘(15 U.S.C. 78c(a)(79)))’’ ■ § 240.17g–3 RIN 3235–AL15 License Requirements Control(s) 17 CFR Parts 232, 240, 249, and 249b § 240.15Ga–2 [Corrected] 3. On page 55263, in the second column, amendment 7.f to § 240.17g–3 is corrected to read: ‘‘In paragraphs (a)(3) introductory text, (a)(4) introductory text, and (a)(5) introductory text, by removing the words ‘‘An unaudited financial report’’ and in their place adding the phrase ‘‘File with the Commission an unaudited financial report, as of the end of the fiscal year,’’ ’’ ■ 4. On page 55263, in the second column, amendment 7.g to § 240.17g–3 is corrected to read ‘‘In paragraph (a)(6) introductory text, by removing the words ‘‘An unaudited report’’ and in their place adding the phrase ‘‘Furnish the Commission with an unaudited report, as of the end of the fiscal year,’’ ’’ ■ § 240.17g–5 [Corrected] 5. On page 55264, in the second column, amendments 8.b and 8.h to § 240.17g–5, are removed and the remaining amendments are renumbered: 8.a, 8.b, 8.c, 8.d, 8.e, 8.f, 8.g, and 8.h. ■ § 249b.300 [Corrected] 6. On page 55274, in Part 249b,in amendment 17, the words ‘‘Form (referenced in § 249b.300)’’ are corrected to read ‘‘Form NRSRO (referenced in § 249b.300)’’ ■ 7. On pages 55309–55310, in Form NRSRO (referenced in § 249b.300), the list is corrected to read as follows: ■ BILLING CODE 8011–01–P E:\FR\FM\14OCR1.SGM 14OCR1 Federal Register / Vol. 79, No. 198 / Tuesday, October 14, 2014 / Rules and Regulations I. 61577 EXPLANATION OF TERMS. 1. COMMISSION -The U.S. Securities and Exchange Commission. 2. CREDIT RATING [Section 3(a)(60) of the Exchange Act]- An assessment of the creditworthiness of an obligor as an entity or with respect to specific securities or money market instruments. 3. CREDIT RATING AGENCY [Section 3(a)(61) of the Exchange Act] -Any person: • engaged in the business of issuing credit ratings on the Internet or through another readily accessible means, for free or for a reasonable fee, but does not include a commercial credit reporting company; • employing either a quantitative or qualitative model, or both to determine credit ratings; and • receiving fees from either issuers, investors, other market participants, or a combination thereof. 4. NATIONALLY RECOGNIZED STATISTICAL RATING ORGANIZATION [Section 3(a)(62) of the Exchange Act] - A credit rating agency that: • issues credit ratings certified by qualified institutional buyers in accordance with section 15(a)(1 )(B)(ix) of the Exchange Act with respect to: o financial institutions, brokers, or dealers; o insurance companies; o corporate issuers; o issuers of asset-backed securities; o issuers of government securities, municipal securities, or securities issued by a foreign government; or o VerDate Sep<11>2014 16:04 Oct 10, 2014 is registered as an NRSRO. Jkt 235001 PO 00000 Frm 00015 Fmt 4700 Sfmt 4725 E:\FR\FM\14OCR1.SGM 14OCR1 ER14OC14.001</GPH> mstockstill on DSK4VPTVN1PROD with RULES • a combination of one or more of the above; and Federal Register / Vol. 79, No. 198 / Tuesday, October 14, 2014 / Rules and Regulations Dated: October 7, 2014. Kevin M. O’Neill, Deputy Secretary. DEPARTMENT OF HOMELAND SECURITY [FR Doc. 2014–24300 Filed 10–10–14; 8:45 am] BILLING CODE 8011–01–C Coast Guard 33 CFR Part 165 [Docket No. USCG–2014–0589] mstockstill on DSK4VPTVN1PROD with RULES RIN 1625–AA00 Eighth Coast Guard District Annual Safety Zones; Pittsburgh Steeler/ Steelers Fireworks; Allegheny River Mile 0.0 to 0.2 and Ohio River 0.0 to 0.3; Pittsburgh, PA Coast Guard, DHS. Notice of enforcement of regulation. AGENCY: ACTION: VerDate Sep<11>2014 16:04 Oct 10, 2014 Jkt 235001 PO 00000 Frm 00016 Fmt 4700 Sfmt 4700 The Coast Guard will enforce a safety zone for the Pittsburgh Steeler/ Steelers Fireworks on the Allegheny River from mile 0.0 to 0.2 and Ohio River from mile 0.0 to 0.3. This zone will be in effect on October 20th, November 2nd, and December 28th, 2014 from 7:30 p.m. until 8:50 p.m. This zone is needed to protect vessels transiting the area and event spectators from the hazards associated with the Pittsburgh Steeler/Steelers Barge-based Fireworks. During the enforcement period, entry into, transiting, or anchoring in the safety zone is prohibited to all vessels not registered with the sponsor as participants or official patrol vessels, unless specifically authorized by the Captain of SUMMARY: E:\FR\FM\14OCR1.SGM 14OCR1 ER14OC14.002</GPH> 61578

Agencies

[Federal Register Volume 79, Number 198 (Tuesday, October 14, 2014)]
[Rules and Regulations]
[Pages 61576-61578]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2014-24300]


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SECURITIES AND EXCHANGE COMMISSION

17 CFR Parts 232, 240, 249, and 249b

[Release No. 34-72936A; File No. S7-18-11]
RIN 3235-AL15


Nationally Recognized Statistical Rating Organizations; 
Correction

AGENCY: Securities and Exchange Commission.

ACTION: Final rule; correction.

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SUMMARY: The Securities and Exchange Commission (``Commission'') is 
correcting a final rule that appeared in the Federal Register of 
September 15, 2014 (79 FR 55078). The rule applies to credit rating 
agencies registered with the Commission as nationally recognized 
statistical rating organizations (``NRSROs''), providers of third-party 
due diligence services for asset-backed securities, and issuers and 
underwriters of asset-backed securities.\1\
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    \1\ See Nationally Recognized Statistical Rating Organizations, 
Exchange Act Release No. 72936 (Aug. 27, 2014), 79 FR 55078 (Sep. 
15, 2014).

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DATES: Effective November 14, 2014.

FOR FURTHER INFORMATION CONTACT: Rose Russo Wells, Senior Counsel, at 
(202) 551-5527; Division of Trading and Markets, Securities and 
Exchange Commission, 100 F Street NE., Washington, DC 20549-7010.

SUPPLEMENTARY INFORMATION: In FR Doc. 2014-20890, appearing on page 
55078 in the Federal Register of Monday, September 15, 2014, the 
following corrections are made:

0
1. On page 55261, in the second column, under the heading ``Text of 
Final Rules'' the word ``Regulation'' is corrected to read 
``Regulations''


Sec.  240.15Ga-2  [Corrected]

0
2. On page 55261, in the third column, in Sec.  240.15Ga-2(a), the 
citation ``(15 U.S.C. 78c(a)(79))'' is corrected to read ``(15 U.S.C. 
78c(a)(79)))''


Sec.  240.17g-3  [Corrected]

0
3. On page 55263, in the second column, amendment 7.f to Sec.  240.17g-
3 is corrected to read: ``In paragraphs (a)(3) introductory text, 
(a)(4) introductory text, and (a)(5) introductory text, by removing the 
words ``An unaudited financial report'' and in their place adding the 
phrase ``File with the Commission an unaudited financial report, as of 
the end of the fiscal year,'' ''

0
4. On page 55263, in the second column, amendment 7.g to Sec.  240.17g-
3 is corrected to read ``In paragraph (a)(6) introductory text, by 
removing the words ``An unaudited report'' and in their place adding 
the phrase ``Furnish the Commission with an unaudited report, as of the 
end of the fiscal year,'' ''


Sec.  240.17g-5  [Corrected]

0
5. On page 55264, in the second column, amendments 8.b and 8.h to Sec.  
240.17g-5, are removed and the remaining amendments are renumbered: 
8.a, 8.b, 8.c, 8.d, 8.e, 8.f, 8.g, and 8.h.


Sec.  249b.300  [Corrected]

0
6. On page 55274, in Part 249b,in amendment 17, the words ``Form 
(referenced in Sec.  249b.300)'' are corrected to read ``Form NRSRO 
(referenced in Sec.  249b.300)''

0
7. On pages 55309-55310, in Form NRSRO (referenced in Sec.  249b.300), 
the list is corrected to read as follows:
BILLING CODE 8011-01-P

[[Page 61577]]

[GRAPHIC] [TIFF OMITTED] TR14OC14.001


[[Page 61578]]


[GRAPHIC] [TIFF OMITTED] TR14OC14.002


    Dated: October 7, 2014.
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2014-24300 Filed 10-10-14; 8:45 am]
BILLING CODE 8011-01-C
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