4Adoption of Amendments to Rule 15c3 - 1 and Adoption of Mtemative Net Capital Requirement for Certain Brokers and Dealers , Release No. 34 - 11497 ( June 26,1975 ).
9Larry P. Ellsworth and Keith V. Porapaiboon, Credit Rating Agencies in the Spotlight--A New Casualty of the Mortgage Meltdown, Business Law Today, Volume 18, Number 4, March/April 2009.
10Summary Report of issues Identified in the Commission Staff's Examinations of Select Credit Rating Agencies By the Staff of the Securities and Exchange Commission July 8, 2008.