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SEC v. Moody’s Investors Service, Inc.

raw: ORDER GRANTING REGISTRATION OF MOODY’S INVESTORS SERVICE, INC.

Caption
SEC v. Moody’s Investors Service, Inc
Exhibit of Press Release: Seven Credit Rating Agencies Register with SEC as Nationally Recognized Statistical Rating Organizations (Press Release No. 2007-199; September 24, 2007)
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summary

The SEC granted Moody’s Investors Service, Inc. official registration as a Nationally Recognized Statistical Rating Organization (NRSRO) under the Securities Exchange Act of 1934, confirming its legal authority to issue credit ratings without any allegations of fraud or misconduct.

paragraph

The U.S. Securities and Exchange Commission (SEC) ordered the registration of Moody’s Investors Service, Inc. as a Nationally Recognized Statistical Rating Organization (NRSRO) under Section 15E of the Securities Exchange Act of 1934. The SEC found that Moody’s submitted a complete and compliant application meeting all statutory requirements under Section 15E, Rule 17g-1, and Form NRSRO, including disclosures for five specified classes of credit ratings. No fraud, penalties, or enforcement actions were involved—this was a routine administrative approval to recognize Moody’s as an authorized NRSRO.

narrative

The U.S. Securities and Exchange Commission (SEC) issued an order on September 24, 2007, granting Moody’s Investors Service, Inc. official registration as a Nationally Recognized Statistical Rating Organization (NRSRO) under Section 15E of the Securities Exchange Act of 1934. Moody’s had applied for registration to issue credit ratings in five specified classes of securities as outlined in Section 3(a)(62)(B), and the SEC determined that its application fully complied with all statutory and regulatory requirements, including Form NRSRO and Rule 17g-1. The Commission found no deficiencies in Moody’s submission and concluded that it satisfied the criteria for NRSRO status under Section 15E(a)(1). This action was purely administrative and regulatory, not punitive or investigative, with no allegations of fraud, misconduct, or financial penalties. The registration formally recognized Moody’s as a trusted entity whose credit ratings could be relied upon by federal regulators and financial markets. This approval was critical to Moody’s ability to operate within the U.S. financial system and reinforced its role in the capital markets infrastructure. The outcome was a positive regulatory endorsement, not a sanction, and marked a standard step in the recognition of major credit rating agencies.

Enriched metadata

Scheme
non-corporate (100%)
Classified non-corporate(confidence 100%). No EDGAR filing fingerprint (criminal/DOJ-side scheme). detection rule →
Statutes
17 CFR 240.17g-1Section 15E of the Securities Exchange ActRule 17g-1
Parties
Securities and Exchange CommissionMoody’s Investors Service, Inc.
Keywords
exchangemoody investorsinvestors serviceregistration moodycommissionmoodyinvestorsserviceincorder grantinggranting registrationexchange commissionsecurities exchangeregistrationnationally recognized

Extracted insights

Entities 2
  • company Moody’s Investors Service, Inc. ×2
  • person nancy m. morris
Triples 4
  • Moody’s Investors Service, Inc. Furnished An application for registration as a nationally recognized statistical rating organization
  • The Commission Find That the application furnished by Moody’s Investors Service, Inc. is in the form required by Exchange Act Section 15E, Exchange Act Rule 17g-1 (17 CFR 240.17g-1), and Form NRSRO (17 CFR 249b.300)
  • The Commission Find That the requirements of Section 15E of the Exchange Act are satisfied
  • The Commission Grant The registration of Moody’s Investors Service, Inc. with the Commission as an NRSRO under Section 15E of the Exchange Act for the classes of credit ratings described in clauses (i) through (v) of Section 3(a)(62)(B) of the Exchange Act
PDF
ORDER GRANTING REGISTRATION OF MOODY’S INVESTORS SERVICE, INC. · Source
Text layers
Extracted body text (1,687c) 

UNITED STATES OF AMERICA 
BEFORE THE 
SECURITES AND EXCHANGE COMMISSION 
 
SECURITIES EXCHANGE ACT OF 1934 
Release No. 56511/September 24, 2007 
 
ORDER GRANTING REGISTRATION OF MOODY’S INVESTORS SERVICE, INC. 
AS A NATIONALLY RECOGNIZED STATISTICAL RATING ORGANIZATION 
 
 Moody’s Investors Service, Inc., a credit rating agency, furnished to the Securities 
and Exchange Commission (“Commission”) an application for registration as a nationally 
recognized statistical rating organization (“NRSRO”) under Section 15E of the Securities 
Exchange Act of 1934 (“Exchange Act”) for the classes of credit ratings described in 
clauses (i) through (v) of Section 3(a)(62)(B) of the Exchange Act.  The Commission 
finds that the application furnished by Moody’s Investors Service, Inc. is in the form 
required by Exchange Act Section 15E, Exchange Act Rule 17g-1 (17 CFR 240.17g-1), 
and Form NRSRO (17 CFR 249b.300) and contains the information described in 
subparagraph (B) of Section 15E(a)(1) of the Exchange Act.  
  
Based on the application, the Commission finds that the requirements of Section 
15E of the Exchange Act are satisfied.   
 
            Accordingly,                        
 
 IT IS ORDERED, under paragraph (a)(2)(A) of Section 15E of the Exchange Act, 
that the registration of Moody’s Investors Service, Inc. with the Commission as an 
NRSRO under Section 15E of the Exchange Act for the classes of credit ratings described 
in clauses (i) through (v) of Section 3(a)(62)(B) of the Exchange Act is granted. 
 
 By the Commission. 
 
 
      Nancy M. Morris 
                                                                        Secretary