Skip to content
  • Sign In
  • Create Account
  • Sign Out
  • My Account
Cart
  • Inside Mortgage Finance
  • MBS & ABS
  • The GSEs
  • The CFPB
  • Mortgage Trends
  • FHA/VA Lending
  • Nonconforming Markets
  • Data
    • Subscribe to Data
Home » SEC Finds Numerous Problems at Rating Services, Suggests Compliance is Improving
Looking to read the full article? Register for free access to IMFnews content today!

SEC Finds Numerous Problems at Rating Services, Suggests Compliance is Improving

January 9, 2015
The Securities and Exchange Commission uncovered a number of compliance issues at the credit rating services in 2013, according to a report released by the federal regulator at the end of December. However, compliance is improving compared with previous exams conducted by the SEC. In exams covering rating activity in 2013, the SEC found issues ranging from conflicts of interest to adherence to policies for reviewing credit ratings to the use of affiliates or third-party contractors. The SEC didn’t single out any of the rating services other than to note whether an issue occurred at one of the big three rating firms or at one of several smaller rating services. For example, the SEC said...
News Inside MBS & ABS Inside the CFPB Agency MBS Non-Agency MBS Ratings
Purchase this article for $55.00
Subscribe To The Newsletter

Latest Imf News

  • Rocket the First Nonbank to Top Owned Servicing Ranking

  • House Passes Legislation Aimed at Housing Affordability

  • CFPB Revises Complaint Process for Credit Report Issues

  • Consumer Advocates Seek Financial Relief for Borrowers in Minnesota

More Imf News

Featured Data

  • Mortgage Complaints to CFPB Tick Up in Fourth Quarter

  • Agency MSR Transfers Pick Up in Fourth Quarter of 2025

  • Record Year for CLO, But Issuance Slowed in 4Q25

  • Originations Increase in Fourth Quarter With Refi Push

More Featured Data

Featured Reports

  • IMF Mortgage Directory: Full interactive database

  • Agency Seller-Issuer Profile: 3Q25 (PDF)

  • IMF HMDA Dashboard: 2024

  • Top Mortgage Players: 3Q25 (PDF)

More Latest Reports

Featured Poll

As homeowner equity continues to build, more and more lenders are launching home equity lending products. Are you thinking of joining this market?

View Results
  • About
    • About Inside Mortgage Finance
    • Contact Us
    • Advertising
    • Privacy Policy/Terms
    • Article Reprints/Web Postings
    • Copyright FAQ
  • Customer Center
    • Subscribe
    • Request a Sample
    • Account Inquiries
    • Change of Address
    • Change of Delivery Method
    • Data Licensing
    • Password Reminder
    • Group Subscriptions
    • Refunds
    • Renew Your Subscription
    • E-mail Newsletters
  • Mortgage Data
    • Origination
    • Servicing and Portfolios
    • Mortgage Insurance
    • Securitization
    • Agency MBS Activity
    • Non-Agency MBS Activity
    • MBS Investor Activity
    • ABS Activity
    • Commercial MBS Activity
    • Funding Activity
    • Earnings and Financials
    • Regulatory Data
    • Mortgage Rates and Terms
    • Subscribe to Data
    • Lender Profiles
    • HMDA Dashboard
    • Contacts Directory
    • Custom Data
    • Data Licensing
  • Reports
    • Data Reports
    • Industry Studies
    • Regulatory Reports
    • Statistical Annual
    • Free Reports

© Copyright 2026 Inside Mortgage Finance Publications
Design, CMS, Hosting & Web Development :: ePublishing