{"abstract":"The Securities and Exchange Commission (the \"Commission\") is adopting amendments that remove references to credit ratings in certain rules and one form under the Securities Exchange Act of 1934 (the \"Exchange Act\") relating to broker-dealer financial responsibility and confirmations of securities transactions. This action implements a provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the \"Dodd-Frank Act\").","action":"Final rule.","agencies":[{"raw_name":"SECURITIES AND EXCHANGE COMMISSION","name":"Securities and Exchange Commission","id":466,"url":"https://www.federalregister.gov/agencies/securities-and-exchange-commission","json_url":"https://www.federalregister.gov/api/v1/agencies/466","parent_id":null,"slug":"securities-and-exchange-commission"}],"body_html_url":"https://www.federalregister.gov/documents/full_text/html/2014/01/08/2013-31426.html","cfr_references":[{"chapter":null,"citation_url":null,"part":240,"title":17},{"chapter":null,"citation_url":null,"part":249,"title":17}],"citation":"79 FR 1522","comment_url":null,"comments_close_on":null,"correction_of":null,"corrections":[],"dates":"The amendments will become effective on July 7, 2014.","disposition_notes":null,"docket_ids":["Release No. 34-71194","File No. S7-15-11"],"dockets":[],"document_number":"2013-31426","effective_on":"2014-07-07","end_page":1550,"executive_order_notes":null,"executive_order_number":null,"full_text_xml_url":"https://www.federalregister.gov/documents/full_text/xml/2014/01/08/2013-31426.xml","html_url":"https://www.federalregister.gov/documents/2014/01/08/2013-31426/removal-of-certain-references-to-credit-ratings-under-the-securities-exchange-act-of-1934","images":{},"images_metadata":{},"json_url":"https://www.federalregister.gov/api/v1/documents/2013-31426?publication_date=2014-01-08","mods_url":"https://www.govinfo.gov/metadata/granule/FR-2014-01-08/2013-31426/mods.xml","not_received_for_publication":null,"page_length":29,"page_views":{"count":1181,"last_updated":"2026-07-26 20:15:03 -0400"},"pdf_url":"https://www.govinfo.gov/content/pkg/FR-2014-01-08/pdf/2013-31426.pdf","presidential_document_number":null,"proclamation_number":null,"public_inspection_pdf_url":"https://public-inspection.federalregister.gov/2013-31426.pdf?1389102867","publication_date":"2014-01-08","raw_text_url":"https://www.federalregister.gov/documents/full_text/text/2014/01/08/2013-31426.txt","regulation_id_number_info":{"3235-AL14":{"issue":"202304","html_url":"https://www.federalregister.gov/regulations/3235-AL14/removal-of-references-to-credit-ratings-from-regulation-m","title":"Removal of References to Credit Ratings From Regulation M","xml_url":"http://www.reginfo.gov/public/do/eAgendaViewRule?pubId=202304&RIN=3235-AL14&operation=OPERATION_EXPORT_XML","priority_category":"Substantive, Nonsignificant"}},"regulation_id_numbers":["3235-AL14"],"regulations_dot_gov_info":{"supporting_documents":[],"regulatory_plan":{"html_url":"https://www.federalregister.gov/regulations/3235-AL14/removal-of-references-to-credit-ratings-from-regulation-m","title":"Removal of References to Credit Ratings From Regulation M"},"comments_url":"https://www.regulations.gov/docketBrowser?rpp=50&so=DESC&sb=postedDate&po=0&dct=PS&D=SEC-2014-0044","supporting_documents_count":0,"docket_id":"SEC-2014-0044","regulation_id_number":"3235-AL14","title":"Removal of Certain References to Credit Ratings under the Securities Exchange Act","checked_regulationsdotgov_at":"2014-01-28T08:06:30Z"},"regulations_dot_gov_url":null,"significant":false,"signing_date":null,"start_page":1522,"subtype":null,"title":"Removal of Certain References to Credit Ratings Under the Securities Exchange Act of 1934","toc_doc":"Removal of Certain References to Credit Ratings under the Securities Exchange Act","toc_subject":null,"topics":["Brokers","Fraud","Reporting and recordkeeping requirements","Securities"],"type":"Rule","volume":79}