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U.S. Securities and Exchange Commission
Nationally Recognized Statistical Rating Organizations
Employment Transition Report Submission
 
Separation Date NRSRO Covered Company Senior Officer Participated Credit Rating Supervised Participated Credit Rating
2014-03-06 00:00:00 Moody's Investors Service Credit Suisse X
2014-02-18 00:00:00 Moody's Investors Service Morgan Stanley X
2014-02-01 00:00:00 S&P Standard Chartered Bank X
2014-01-31 00:00:00 Moody's Investors Service BNP Paribas X
2014-01-29 00:00:00 Moody's Investors Service Societe Generale X
2014-01-29 00:00:00 Moody's Investors Service Credit Suisse X
2014-01-22 00:00:00 Moody's Investors Service Australia and New Zealand Banking Group X
2013-12-31 00:00:00 S&P Danske Bank X
2013-12-31 00:00:00 Fitch HSBC Trinkaus & Burkhardt AG X
2013-12-27 00:00:00 Fitch United Overseas Bank Limited X
2013-12-18 00:00:00 Fitch Jefferies LoanCore LLC X
2013-12-13 00:00:00 Fitch Lloyds Banking Group plc X X
2013-12-10 00:00:00 S&P Barclay's X
2013-12-09 00:00:00 Moody's Investors Service HSBC X
2013-12-03 00:00:00 Moody's Investors Service Morgan Stanley & Co. LLC X
2013-12-03 00:00:00 Moody's Investors Service Citigroup X
2013-11-30 00:00:00 Moody's Investors Service Shinsei Securities Co., Ltd. X
2013-11-22 00:00:00 Moody's Investors Service Barclays X
2013-11-21 00:00:00 Moody's Investors Service Barclays X
2013-11-20 00:00:00 Moody's Investors Service JP Morgan X X
2013-11-06 00:00:00 Moody's Investors Service BMO Capital Markets X
2013-11-01 00:00:00 S&P Avoca Capital Holdings X
2013-10-28 00:00:00 Moody's Investors Service Morgan Stanley X
2013-10-26 00:00:00 Moody's Investors Service Banca ImI Spa X
2013-10-25 00:00:00 HR Ratings de México Bancomer X
2013-10-22 00:00:00 Moody's Investors Service Malayan Banking Berhad X
2013-10-21 00:00:00 Moody's Investors Service Regions Financial Corporation X
2013-09-25 00:00:00 Moody's Investors Service GreensLedge Capital Markets X
2013-09-23 00:00:00 Moody's Investors Service ING Bank X
2013-09-20 00:00:00 Fitch Porsche Financial Services Inc. X
2013-09-20 00:00:00 Moody's Investors Service Deutsche Bank X
2013-09-13 00:00:00 Fitch BlueBay Asset Management X
2013-08-27 00:00:00 Moody's Investors Service Morgan Stanley X
2013-08-22 00:00:00 Fitch Investec Bank plc X
2013-08-16 00:00:00 Fitch Banco Fator S.A. X
2013-08-08 00:00:00 Moody's Investors Service RBC X
2013-08-07 00:00:00 Moody's Investors Service AIA International Ltd X
2013-08-02 00:00:00 Moody's Investors Service Wells Fargo Securities X
2013-08-02 00:00:00 Moody's Investors Service HSBC Global Asset Management X
2013-08-01 00:00:00 Moody's Investors Service Societe Generale X
2013-07-29 00:00:00 Moody's Investors Service Goldman Sachs X
2013-07-19 00:00:00 Fitch Wells Fargo X
2013-07-15 00:00:00 S&P Credit Suisse X
2013-06-21 00:00:00 Moody's Investors Service Goldman Sachs X
2013-06-07 00:00:00 Moody's Investors Service Deutsche Bank X
2013-05-27 00:00:00 Fitch RBS X
2013-05-13 00:00:00 S&P JP Morgan X
2013-05-02 00:00:00 S&P Votorantim Asset Mgmt X
2013-04-30 00:00:00 Fitch Dogan Yayin Holding AS X
2013-04-29 00:00:00 S&P Natixis X
2013-04-26 00:00:00 A.M. Best Brit Insurance X X
2013-04-26 00:00:00 Moody's Investors Service DB Group Services (UK) Ltd. X
2013-04-24 00:00:00 Moody's Investors Service Mitsubishi UFJ Financial Group X X X
2013-04-19 00:00:00 Fitch RBC Capital Markets X
2013-04-12 00:00:00 Moody's Investors Service J.P. Morgan X
2013-04-10 00:00:00 Moody's Investors Service Bank of America Merrill Lynch X
2013-04-04 00:00:00 Moody's Investors Service BNP Paribas X
2013-04-01 00:00:00 Fitch American International Group (AIG) X
2013-03-31 00:00:00 Moody's Investors Service DZ Bank AG X
2013-03-29 00:00:00 S&P Realogy Inc X
2013-03-21 00:00:00 Fitch Bank of America X
2013-03-14 00:00:00 Fitch Infonacot X
2013-01-31 00:00:00 Fitch Infonacot X
2013-01-30 00:00:00 Fitch Scotia Bank X
2013-01-21 00:00:00 Fitch Hipotecaria X
2013-01-18 00:00:00 Fitch Infonacot X
2013-01-15 00:00:00 HR Ratings de México, S.A. de C.V. Estrategia Financiera Profesional, S.C. X
2013-01-09 00:00:00 Moody's Investors Service Credit Suisse X
2012-12-31 00:00:00 Standard & Poors Raiffeisen Zentralbank Osterreich X
2012-12-31 00:00:00 Moody's Investors Service Natixis X
2012-12-21 00:00:00 Moody's Investors Service Goldman Sachs X
2012-12-20 00:00:00 Moody's Investors Service Westpac Institutional Bank X
2012-12-18 00:00:00 standard & Poors Guggenheim Investment Management, LLC X
2012-11-07 00:00:00 Moody's Investors Service Gazprombank X
2012-11-02 00:00:00 Standard & Poors Credit Suisse X
2012-10-12 00:00:00 Moody's Investors Service First Southwest Company X
2012-10-12 00:00:00 S&P Standard Chartered X
2012-10-03 00:00:00 Fitch Bank of America X
2012-09-28 00:00:00 Fitch De Lage Landen X
2012-09-21 00:00:00 S&P Royal Bank of Scotland X
2012-09-19 00:00:00 Standard & Poors AIG X
2012-09-12 00:00:00 Moody's Investors Service Kemper Corporation X
2012-09-05 00:00:00 Fitch UniCredit Bank AG X
2012-08-24 00:00:00 S&P Cassa Depositi E Prestiti Spa X
2012-08-03 00:00:00 Standard and Poors Goldman Sachs X
2012-07-31 00:00:00 Standard & Poors Banco de Sabadell S.A. X
2012-07-13 00:00:00 HR Ratings de México, S.A. de C.V. EFIM, S.A.P.I. de C.V., SOFOM, ENR X
2012-07-06 00:00:00 Moody's Investors Service Morgan Stanley X
2012-06-15 00:00:00 Fitch Barclays Bank X X
2012-06-15 00:00:00 Standard & Poors Natixis NY Branch X
2012-06-14 00:00:00 Moody's Investors Service RBC X
2012-06-08 00:00:00 Fitch Santander Asset Management X
2012-06-08 00:00:00 Fitch Friends Life X
2012-05-14 00:00:00 Fitch NRG Energy X
2012-05-02 00:00:00 Standard & Poors NC State University at Raleigh X
2012-04-30 00:00:00 Fitch SIAM Commercial Bank PCL X
2012-04-20 00:00:00 A.M. Best Company AmTrust Financial X X
2012-04-05 00:00:00 Standard & Poors Seguros Bancomer, S. A. de C.V. X
2012-04-04 00:00:00 Standard & Poors Hyundai Motor Finance Co X
2012-04-04 00:00:00 Moody's Investors Service Raiffeisen Bank X
2012-04-02 00:00:00 Standard & Poors Inter-American Development Bank, European INvestment Fund, Islamic Investment bank X
2012-03-25 00:00:00 Standard and Poors Cardif-Assicurazioni SpA X
2012-03-14 00:00:00 Fitch Sberbank of Russia X
2012-03-09 00:00:00 Standard & Poors Federation Nationale du Credit Agricole X
2012-03-06 00:00:00 Fitch Scotiabank El Salvador X
2012-02-12 00:00:00 Fitch Nedbank Limited X
2012-02-03 00:00:00 Fitch Irvine Company X
2012-02-03 00:00:00 DBRS National Bank of Canada X
2012-01-20 00:00:00 Moody's Investors Service KfW Bankengruppe X
2012-01-13 00:00:00 Standard and Poors Federation UBS X
2012-01-05 00:00:00 Standard & Poors Alon Isreal Oil Co X
2011-12-28 00:00:00 Standard & Poors US Steel X
2011-12-23 00:00:00 Moody's Investors Service JP Morgan X
2011-12-09 00:00:00 Fitch MacQuarie Funds Group X
2011-12-05 00:00:00 Moody's Investors Service Morgan Stanley X
2011-11-30 00:00:00 Moody's Investors Service Mizuho Securities X X X
2011-11-23 00:00:00 Fitch Public Financial Management X
2011-10-28 00:00:00 Moody's Investors Service The College of New Jersey X
2011-09-30 00:00:00 Moody's Investors Service Deutsche Bank AG X
2011-09-23 00:00:00 Moody's Investors Service Citi Capital Advisors X
2011-09-23 00:00:00 Fitch Scotiabank Mexico X
2011-09-23 00:00:00 Moody's Investors Service PSEG X
2011-09-21 00:00:00 Standard and Poors American Express X
2011-09-15 00:00:00 Fitch Banorte Generali X
2011-09-09 00:00:00 Fitch BBVA Securities X X
2011-09-06 00:00:00 Standard and Poors Wells Fargo Securities X
2011-09-05 00:00:00 Standard and Poors Credit Suisse X
2011-09-04 00:00:00 Moody's Investors Service Citicorp X
2011-09-02 00:00:00 DBRS Royal Bank of Canada X
2011-07-29 00:00:00 Standard & Poor's Ratings Services Credit Suisse X
2011-07-22 00:00:00 Moody's Investors Service Credit Suisse X
2011-07-19 00:00:00 A.M. Best Company, Inc MetLife Inc X
2011-07-18 00:00:00 Standard and Poors Gazprom Bank X
2011-07-13 00:00:00 Fitch Scotia Capital X
2011-07-13 00:00:00 Fitch GE Capital Retail Finance X
2011-07-01 00:00:00 Moody's Investors Service Royal Bank of Scotland X X
2011-06-30 00:00:00 Standard & Poor's Rating Services Commerzbank AG X
2011-06-27 00:00:00 Moody's Investors Service Bank of America X
2011-06-27 00:00:00 Standard & Poor's Ratings Services UBS X
2011-06-20 00:00:00 Moody's Investors Service Goldman Sachs Japan Co. Ltd X
2011-06-13 00:00:00 Standard & Poor's Ratings Services Deutsche Bank X
2011-06-07 00:00:00 Moody's Investors Service BNP-Paribas X
2011-05-20 00:00:00 Moody's Investors Service First Trust Portfolio X
2011-05-13 00:00:00 Fitch Alpina S.A. X
2011-05-10 00:00:00 Standard & Poor's Rating Services Barclays Capital X
2011-05-06 00:00:00 Moody's Investors Service Assured Guaranty X
2011-04-29 00:00:00 A.M. Best Company, Inc Asia Capital Reinsurance Group Pte. Ltd X
2011-04-25 00:00:00 Moody's Investors Service UBS Investment Bank X
2011-04-22 00:00:00 Moody's Investors Service Bank of Tokyo Mitsubishi UFJ X
2011-04-15 00:00:00 Moody's Investors Service Lloyds Banking X
2011-04-15 00:00:00 Moody's Investors Service Jefferies X
2011-04-08 00:00:00 Moody's Investors Service Bank of Tokyo Mitsubishi UFJ X
2011-04-07 00:00:00 Moody's Investors Service Royal Bank of Scotland X X
2011-03-31 00:00:00 Moody's Investors Service DZ Bank X
2011-03-31 00:00:00 Fitch Deutsche Bank X
2011-03-31 00:00:00 Standard & Poor's Ratings Services SBI Sumishin Net Bank Ltd. X
2011-03-31 00:00:00 Moody's Investors Service Hypovereinsbank X
2011-03-31 00:00:00 Moody's Investors Service JP Morgan X
2011-03-30 00:00:00 Fitch PT Adaro Indonesia X
2011-03-29 00:00:00 Standard & Poor's Ratings Services Deutsche Bank X
2011-03-28 00:00:00 Fitch Empresa Colombiana de Petroleos - ECOPETROL X
2011-03-25 00:00:00 Fitch Citigroup X
2011-03-18 00:00:00 Moody's Investors Service Deutsche Bank AG X
2011-03-18 00:00:00 Moody's Investors Service Credit Suisse X
2011-03-11 00:00:00 Moody's Investors Service Jefferies X
2011-03-11 00:00:00 S&P UBS X
2011-02-07 00:00:00 Standard & Poor's Ratings Services BP Paribas X
2011-02-04 00:00:00 Moody's Investors Service New York Life Insurance Company X
2011-02-04 00:00:00 Moody's Investors Service Citigroup X
2011-01-28 00:00:00 Fitch Deutsche Bank X X
2011-01-26 00:00:00 Standard & Poor's Ratings Services Banco Bilbao Vizaya SA X
2011-01-21 00:00:00 S&P NAB X
2011-01-21 00:00:00 Standard & Poors National Australia Bank X
2011-01-20 00:00:00 Standard & Poor's Ratings Services Allianz X
2011-01-19 00:00:00 Moody's Investors Service Prudential Investment Management X
2011-01-15 00:00:00 Standard & Poor's Ratings Services Australian and New Zealand Banking Group X
2011-01-11 00:00:00 Standard & Poor's Ratings Services Morgan Stanley Investment Management X
2010-12-28 00:00:00 Moody's Investors Service Citigroup X
2010-12-15 00:00:00 Fitch Wells Fargo Governmental & Institutional Banking Group X
2010-11-26 00:00:00 Fitch WestLB X
2010-11-12 00:00:00 Moody's Investors Service CPPIB X
2010-11-12 00:00:00 Fitch Raymond James X
2010-11-12 00:00:00 Fitch Wells-Wachovia X
2010-10-22 00:00:00 Moody's Investors Service RBC Capital Markets X
2010-10-15 00:00:00 Moody's Investors Service Barclays Capital X
2010-10-07 00:00:00 Fitch Goldman Sachs X
2010-10-06 00:00:00 Moody's Investors Service Whitehead Institute for Biomedical Research X
2010-09-27 00:00:00 DBRS Manulife Financial X
2010-09-24 00:00:00 Moody's Investors Service UBS X
2010-09-24 00:00:00 Standard & Poor's Ratings Services Goldman Sachs X
2010-09-22 00:00:00 Fitch Wells Fargo X
2010-09-10 00:00:00 Standard & Poor's Ratings Services Lloyd's X
2010-09-10 00:00:00 Standard & Poor's Ratings Services BNP Paribas X
2010-09-03 00:00:00 Moody's Investors Service HSBC X X
2010-09-03 00:00:00 Moody's Investors Service United Overseas Bank X
2010-09-02 00:00:00 Moody's Investors Service Bank of Tokyo X
2010-08-31 00:00:00 Moody's Investors Service Lazard X X
2010-08-25 00:00:00 Moody's Investors Service Toronto Dominion Bank X
2010-08-24 00:00:00 Standard & Poor's Ratings Services Merrill Lynch X
2010-08-23 00:00:00 Moody's Investors Service Deutsche Bank X
2010-08-20 00:00:00 Standard & Poor's Rating Services Merrill Lynch X
2010-08-19 00:00:00 Standard & Poor's Ratings Services HSBC, Bank, Brazil X
2010-08-18 00:00:00 Fitch LNR Property Corporation X
2010-08-15 00:00:00 Moody's Investors Service BNP-Paribas X
2010-08-13 00:00:00 Standard & Poor's Ratings Services National Australian Bank X
2010-08-13 00:00:00 Moody's Investors Service TD Securities X
2010-08-13 00:00:00 Moody's Investors Service Credit Suisse X
2010-08-06 00:00:00 Standard & Poor's Ratings Services Royal Dutch Shell X
2010-08-06 00:00:00 Moody's Investors Service Credit Suisse X
2010-08-06 00:00:00 Moody's Investors Service Citibank X
2010-08-06 00:00:00 Moody's Investors Service Barclays Capital X X
2010-08-04 00:00:00 Moody's Investors Service Morgan Stanley Smith Barney X
2010-08-04 00:00:00 Standard and Poors Votorantim Corretora de Valores X
2010-07-30 00:00:00 Fitch J.P. Morgan X
2010-07-28 00:00:00 Standard & Poor's Ratings Services Barclays Bank Plc X
2010-07-16 00:00:00 Fitch MDM Bank X
2010-07-15 00:00:00 Fitch Capstone X
2010-07-06 00:00:00 S&P HSBC X
2010-06-30 00:00:00 Fitch Hypo Real Estate X
2010-06-30 00:00:00 Fitch Natixis Global AM X
2010-06-04 00:00:00 Fitch CIII Asset Management X X
2010-06-04 00:00:00 Fitch Chicago Public Schools X
2010-06-03 00:00:00 Fitch SocGen X
2010-05-19 00:00:00 Fitch Deutsche Bank X
2010-05-14 00:00:00 Fitch SSM Healthcare X
2010-04-30 00:00:00 S&P Uni Credit SPA X
2010-04-16 00:00:00 Fitch Bank of America X
2010-04-16 00:00:00 Fitch Citigroup X
2010-04-02 00:00:00 Fitch Societe Generale X
2010-03-31 00:00:00 Standard & Poors Deutsche Bank X
2010-02-12 00:00:00 Fitch Investec Bank Ltd. X
2010-02-12 00:00:00 Fitch City of New York X
2010-02-07 00:00:00 Fitch Nomura Securities X
2009-10-02 00:00:00 Standard & Poors Deutsche Bank X
2009-06-27 00:00:00 A.M. Best Company Fairfax Financial Holdings X
2009-06-26 00:00:00 Fitch RBS X X
2009-01-31 00:00:00 Rating and Investment Information, Inc. Sojitz Corporation X
2008-10-03 00:00:00 Fitc Ohio Budget Office X
2008-09-26 00:00:00 Fitch First Marble Head X X
2008-08-08 00:00:00 DBRS BMO X
2008-03-31 00:00:00 Rating and Investment Information, Inc. Development Bank of Japan X
2008-03-14 00:00:00 DBRS TD Canada Trust X
2008-02-01 00:00:00 Fitch City Colleges of Chicago X
2008-02-01 00:00:00 Fitch Chicago Public Schools X
2007-08-24 00:00:00 Fitch Morgan Stanley X
2007-07-31 00:00:00 Japan Credit Rating Agency,Ltd. Mitsubishi UFJ Trust and Banking Corporation X
2007-07-02 00:00:00 Fitch JP Morgan Asset Management X
2007-06-08 00:00:00 DBRS Scotiabank X
2007-04-17 00:00:00 Fitch Citigroup X
2007-02-09 00:00:00 Fitch UBS X
2007-02-09 00:00:00 Fitch Wachovia Securities X
2006-02-28 00:00:00 Fitch UBS X
2006-01-25 00:00:00 Fitch MezzCap Partners LLC X
2006-01-24 00:00:00 Fitch City of Baltimore MD X