Nationally recognized statistical rating organization rules
15c3-1(c)(2)(vi)/041 (Nationally Recognized Statistical Rating Organizations (“ NRSROs”)). Broker-dealers may Rule 15c3-1 and its appendices: • A.M. Best The rules relating to the NRSROs are administered by the SEC's Office of Credit. The Securities and Exchange Commission reviews whether a credit agency 1 May 2019 NATIONALLY RECOGNIZED. STATISTICAL RATING ORGANIZATION (NRSRO) d INITIAL APPLICATION d ANNUAL CERTIFICATION.