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Form NRSRO Application For Registration As A Nationally Recognized Statistical Rating Organization (SEC1541) NRSRO - Official Federal Forms
| Form NRSRO Application For Registration As A Nationally Recognized Statistical Rating Organization (SEC1541) Form. This is a national form and can be used in Securities And Exchange Commission . |
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Form NRSRO OMB APPROVAL OMB Number: 3235-0625 Expires: June 30, 2015 Estimated average burden hours per response: 400 APPLICATION FOR REGISTRATION AS A NATIONALLY RECOGNIZED STATISTICAL RATING ORGANIZATION (NRSRO) Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. SEC 1541 (4-09) American LegalNet, Inc. www.FormsWorkFlow.com APPLICATION FOR REGISTRATION AS A NATIONALLY RECOGNIZED STATISTICAL RATING ORGANIZATION (NRSRO) INITIAL APPLICATION APPLICATION TO ADD CLASS OF CREDIT RATINGS ANNUAL CERTIFICATION UPDATE OF REGISTRATION Items and/or Exhibits Amended: ________________________________ APPLICATION SUPPLEMENT Items and/or Exhibits Supplemented: ________________________________ WITHDRAWAL FROM REGISTRATION Important: Refer to Form NRSRO Instructions for General Instructions, Item-by-Item Instructions, an Explanation of Terms, and the Disclosure Reporting Page (NRSRO). "You" and "your" mean the person furnishing this Form NRSRO to the Commission. "Applicant" and "NRSRO" mean the person furnishing this Form NRSRO to the Commission and any credit rating affiliate identified in Item 3. 1. A. Your full name: _______________________________________________________________________ B. (i) Name under which your credit rating business is primarily conducted, if different from Item 1A: ________________________________________________________________________ (ii) Any other name under which your credit rating business is conducted and where it is used (other than the name of a credit rating affiliate identified in Item 3): _______________________________________________________________________ C. Address of your principal office (do not use a P.O. Box): _______________________________________________________________________ (Number and Street) (City) (State/Country) (Zip/Postal Code) D. Mailing address, if different: _______________________________________________________________________ (Number and Street) (City) (State/Country) (Zip/Postal Code) E. Contact person (See Instructions): _______________________________________________________________________ (Number and Street) _______________________________________________________________________ (Number and Street) (City) (State/Country) (Zip/Postal Code) CERTIFICATION: The undersigned has executed this Form NRSRO on behalf of, and on the authority of, the Applicant/NRSRO. The undersigned, on behalf of the Applicant/NRSRO, represents that the information and statements contained in this Form, including Exhibits and attachments, all of which are part of this Form, are accurate in all significant respects. If this is an ANNUAL CERTIFICATION, the undersigned, on behalf of the NRSRO, represents that the NRSRO's application on Form NRSRO, as amended, is accurate in all significant respects. __________________ (Date) ___________________________________________________________________________________ (Name of the Applicant/NRSRO) By: _________________________________________________________________________________________ (Signature) (Print Name and Title) American LegalNet, Inc. www.FormsWorkFlow.com 2. A. Your legal status: Corporation Limited Liability Company Partnership Other (specify) __________ B. C. Month and day of your fiscal year end: ____________________________________________ Place and date of your formation (i.e., state or country where you were incorporated, where your partnership agreement was filed, or where you otherwise were formed): State/Country of formation: _________________________ 3. Your credit rating affiliates (See Instructions): ____________________________________________________________________________ (Name) (Name) (Name) (Name) (Name) (Address) (Address) (Address) (Address) (Address) Date of formation: ______________ ____________________________________________________________________________ ____________________________________________________________________________ ____________________________________________________________________________ ____________________________________________________________________________ 4. The designated compliance officer of the Applicant/NRSRO (See Instructions): ___________________________________________________________ (Name and Title) _________________________________________________________________________ (Number and Street) (City) (State/Country) (Postal Code) 5. Describe in detail how this Form NRSRO and Exhibits 1 through 9 to this Form NRSRO will be made publicly available on Web site of the Applicant/NRSRO, or through another comparable, readily accessible means (See Instructions): _______________________________________________________________________________ _______________________________________________________________________________ _______________________________________________________________________________ 6. COMPLETE ITEM 6 ONLY IF THIS IS AN INITIAL APPLICATION, APPLICATION SUPPLEMENT, OR APPLICATION TO ADD A CLASS OF CREDIT RATINGS. A. Indicate below the classes of credit ratings for which the Applicant/NRSRO is applying to be registered. For each class, indicate the approximate number of credit ratings the Applicant/NRSRO presently has outstanding in that class as of the date of this application and the approximate date the Applicant/NRSRO began issuing credit ratings as a "credit rating agency" in that class on a continuous basis through the present (See Instructions): Class of credit ratings financial institutions as that term is defined in section 3(a)(46) of the Exchange Act (15 U.S.C. 78c(a)(46)), brokers as that term is defined in section 3(a)(4) of the Exchange Act (15 U.S.C. 78c(a)(4)), and dealers as that term is defined in section 3(a)(5) of the Exchange Act (15 U.S.C. 78c(a)(5)) insurance companies as that term is defined in section 3(a)(19) of the Exchange Act (15 U.S.C. 78c(a)(19)) Applying for registration Approximate number currently outstanding Approximate date issuance commenced American LegalNet, Inc. www.FormsWorkFlow.com corporate issuers issuers of asset-backed securities as that term is defined in 17 CFR 229.1101(c) issuers of government securities as that term is defined in section 3(a)(42) of the Exchange Act (15 U.S.C. 78c(a)(42)), municipal securities as that term is defined in section 3(a)(29) of the Exchange Act (15 U.S.C. 78c(a)(29)), and foreign government securities B. Briefly describe how the Applicant/NRSR
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