Defendant Name:
Moody's Investors Service, Inc.
Defendant Type:
Subsidiary of Public Company
Public Company Parent:
Moody's Corporation
SIC Code:
7323
CUSIP:
61536910
Document Reference:
34-83966
Document Details
Legal Case Name
In the Matter of Moody's Investors Service, Inc.
Document Name
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-And-Desist Order
Document Date
28-Aug-2018
Document Format
Administrative Proceeding
Allegation Type
Other
Document Summary
According to the Commission: "This matter concerns Moody's failure to establish, maintain, enforce and document policies and procedures reasonably designed to clearly define and consistently apply credit rating symbols as required by the Exchange Act."
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Other Compliance Related Undertaking
Monetary Penalties:
Civil Penalty
Individual:
$1,250,000.00
Shared:
