Application for registration as a nationally recognized statistical rating organization

Records to be made and retained by nationally recognized statistical rating organizations

Annual financial and other reports to be filed or furnished by nationally recognized statistical rating organizations

Prevention of misuse of material nonpublic information

Conflicts of interest

Prohibited acts and practices

Disclosure requirements

Policies, procedures, and internal controls

Standards of training, experience, and competence for credit analysts

Certification of providers of third-party due diligence services in connection with asset-backed securities

Risk assessment recordkeeping requirements for associated persons of brokers and dealers

Risk assessment reporting requirements for brokers and dealers

Registration of clearing agencies

Determinations affecting covered clearing agencies

Application for registration of transfer agents

Annual reporting requirement for registered transfer agents

Withdrawal from registration with the Commission

Definitions

Turnaround, processing, and forwarding of items

Limitations on expansion

Applicability of §§240.17Ad-2, 240.17Ad-3 and 240.17Ad-6(a) (1) through (7) and (11)

Written inquiries and requests

Recordkeeping

Record retention

Securities position listings

Definitions

Prompt posting of certificate detail to master securityholder files, maintenance of accurate securityholder files, communications between co-transfer agents and recordkeeping transfer agents, maintenance of current control book, retention of certificate detail and “buy-in” of physical over-issuance

Reports regarding aged record differences, buy-ins and failure to post certificate detail to master securityholder and subsidiary files

Safeguarding of funds and securities

Annual study and evaluation of internal accounting control

Tender agents

Signature guarantees

Notice of assumption or termination of transfer agent services

Lost securityholders and unresponsive payees

Year 2000 Reports to be made by certain transfer agents

Requirements for cancellation, processing, storage, transportation, and destruction or other disposition of securities certificates

Issuer restrictions or prohibitions on ownership by securities intermediaries

Operational capability in a Year 2000 environment

Standards for clearing agencies

Exemption from clearing agency definition for certain registered security-based swap dealers, registered security-based swap execution facilities, and entities engaging in dealing activity in security-based swaps that are eligible for an exception under §240.3a71-2(a) (or subject to the period set forth in §240.3a71-2(b))