Form NRSRO Application For Registration As A Nationally Recognized Statistical Rating Organization (SEC1541) {NRSRO} | Pdf Fpdf Docx | Official Federal Forms

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Form NRSRO Application For Registration As A Nationally Recognized Statistical Rating Organization (SEC1541) {NRSRO} | Pdf Fpdf Docx | Official Federal Forms

Form NRSRO Application For Registration As A Nationally Recognized Statistical Rating Organization (SEC1541) {NRSRO}

This is a Official Federal Forms form that can be used for Securities And Exchange Commission.

Alternate TextLast updated: 11/6/2018

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1 FORM NRSRO OMB APP R O V AL OMB Number: 3235-0625 Expires: 20 Estimated average burden hours per response: 36 APPLICATION FOR REGISTRATION AS A NATIONALLY RECOGNIZED STATISTICAL RATING ORGANIZATION (NRSRO) SEC 1541 (1-15) 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. American LegalNet, Inc. www.FormsWorkFlow.com 2 APPLICATION FOR REGISTRATION AS A NATIONALLY RECOGNIZED STATISTICAL RATING ORGANIZATION (NRSRO) INITIAL APPLICATION ANNUAL CERTIFICATION APPLICATION TO ADD CLASS UPDATE OF REGISTRATION OF CREDIT RATINGS 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). 223You224 and 223your224 mean the person filing or furnishing, as applicable, this Form NRSRO. 223Applicant224 and 223NRSRO224 mean the person filing or furnishing, as applicable, this Form NRSRO 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): (Name and Title) (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 American LegalNet, Inc. www.FormsWorkFlow.com 3 this is an ANNUAL CERTIFICATION, the undersigned, on behalf of the NRSRO, represents that the NRSRO222s application on Form NRSRO, as amended, is accurate in all significant respects. (Date) (Name of the Applicant/NRSRO) By: (Signature) (Print Name and Title) 2. A. Your legal status: Corporation Limited Liability Company Partnership Other (specify) B. Month and day of your fiscal year end: C. 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: Date of formation: 3. Your credit rating affiliates (See Instructions): (Name) (Address) (Name) (Address) (Name) (Address) (Name) (Address) (Name) (Address) 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 and freely available on an easily accessible portion of the corporate Internet website of the Applicant/NRSRO (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 obligors, securities, and money market instruments in that class as of the date of this application for which the Applicant/NRSRO has an outstanding credit rating and the approximate date the Applicant/NRSRO began issuing credit ratings as a 223credit rating agency224 in that class on a continuous basis through the present (See Instructions): American LegalNet, Inc. www.FormsWorkFlow.com 4 C las s o f c r e d i t r a t in g s Applying for r egi s tr a t i on A pp r o x ima te number currently ou t s t an d ing Approximate date is s ua n c e co m m e nc e d 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)) 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/NRSRO makes the credit ratings in the classes indicated in Item 6A readily accessible for free or for a reasonable fee (See Instructions): C. Check the applicable box and attach certifications from qualified institutional buyers, if required (See Instructions): The Applicant/NRSRO is attaching certifications from qualified institutional buyers to this application. Each is marked 223Certification from Qualified Institutional Buyer.224 The Applicant/NRSRO is exempt from the requirement to file certifications from qualified institutional buyers pursuant to section 15E(a)(1)(D) of the Exchange Act. Note: You are not required to make a Certification from a Qualified Institutional Buyer filed with this Form NRSRO publicly available on your corporate Internet website pursuant to Exchange Act Rule 17g-1(i). You may request that the Commission keep these certifications confidential by marking each page 223Confidential Treatment224 and complying with Commission rules governing confidential treatment. The Commission will keep the certifications confidential upon request to the extent permitted by law. American LegalNet, Inc. www.FormsWorkFlow.com 5 7. DO NOT COMPLETE ITEM 7 IF THIS IS AN INITIAL APPLICATION. A. Indicate below the classes of credit ratings for which the NRSRO is currently registered. For each class, indicate the approximate number of obligors, securities, and money market instruments in that class for which the NRSRO had an outstanding credit rating as of the most recent calendar year end and the approximate date the NRSRO began issuing credit ratings as a 223credit rating agency224 in that class on a continuous basis through the present (See Instructions): C las s o f c r e d i t r a t ing Currently r egi s t e r ed A pp r o x ima te number outstanding as of the most recent calendar y ea r end Approximate date issuance co m me n ced 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)) 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 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 NRSRO makes the credit ratings in the classes indicated in Item 7A readily accessible for free or for a reasonable fee (See Instructions): 8. Answer each question. Provide information that relates to a 223Yes224 answer on a Disclosure Reporting Page (NRSRO) and submit the Disclosure Reporting Page with this Form NRSRO (See Instructions). You are not required to make any disclosure reporting pages submitted with this Form publicly available on your corporate Internet website pursuant to Exchange Act Rule 17g-1(i).

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