Report on the Role and Function__ of Credit英文文献资料

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1、ReportontheRoleandFunctionofCreditRatingAgenciesintheOperationoftheSecuritiesMarketsAsRequiredbySection702(b)oftheSarbanes-OxleyActof2002U.S.SecuritiesandExchangeCommissionJanuary2003TABLEOFCONTENTSEXECUTIVESUMMARY...................................................

2、.................................................1I.INTRODUCTION........................................................................................................3II.BACKGROUNDA.General..........................................................................

3、.......................................5B.RegulatoryUseofCreditRatings.......................................................................6C.RecognitionofNRSROs......................................................................................81.NRSRORecognit

4、ionCriteria........................................................................92.RecentInitiatives..........................................................................................10a.1994ConceptRelease..................................................

5、........................10b.1997RuleProposal..............................................................................12III.RECENTINQUIRIESINTOTHEROLEOFCREDITRATINGAGENCIESA.SenateInitiatives......................................................................

6、............................161.Enron-RelatedCreditRatingAgencyHearing...............................................162.GovernmentalAffairsCommitteeStaffReport..............................................17B.CommissionInitiatives..................................

7、......................................................181.Broad-BasedCommissionReview................................................................182.CommissionExaminationsofNRSROs........................................................193.CreditRatingAgencyHear

8、ings.....................................................................20a.CurrentRoleandFunctioningofCreditRatingAgencies.....................