Defendant Name:
Moody's Investors Service, Inc.
Defendant Type:
Subsidiary of Public Company
Public Company Parent:
Moody's Corporation
SIC Code:
7299
CUSIP:
61536910
Document Reference:
34-62802
Document Details
Legal Case Name
Report of Investigation: Moody's Investors Service, Inc.
Document Name
Report of Investigation Pursuant to Section 21(a) of the Securities Act of 1934: Moody's Investors Service, Inc.
Document Date
31-Aug-2010
Document Format
Administrative Proceeding
Allegation Type
Other
Document Summary
According to the SEC: "The Division of Enforcement has investigated whether Moody's Investors Service, Inc. ('MIS'), the credit rating business segment of Moody's Corporation ('Moody's'), violated the nationally recognized statistical rating organization ('NRSRO') registration provisions or the antifraud provisions of the federal securities laws.... This Report cautions NRSROs that deceptive conduct in connection with the issuance of credit ratings may violate the antifraud provisions of the federal securities laws."
Disgorgement & Penalty Information
Resolutions
Report of Investigation