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Form NRSRO-CE Filings

SEC Form NRSRO-CE is an annual certification filing submitted by a nationally recognized statistical rating organization under Form NRSRO. It is used to certify that previously filed registration information remains accurate and to report material changes for the prior calendar year.

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What Is SEC Form NRSRO-CE?

SEC Form NRSRO-CE is an important filing used by a nationally recognized statistical rating organization to submit its annual certification to the Securities and Exchange Commission (SEC) under Section 15E(b)(2) of the Securities Exchange Act of 1934 and Rule 17g-1. It is filed on Form NRSRO after registration has been granted.

This form is typically filed each year to confirm that the information and documents previously submitted in the NRSRO’s registration continue to be accurate, and to provide a list of material changes that occurred during the previous calendar year. Filers and researchers may review these types of recurring disclosures through an Edgar Database when monitoring regulatory updates.

Form NRSRO-CE helps maintain transparency by requiring registered credit rating agencies to renew and update core registration disclosures on an annual basis. It is a recurring compliance filing rather than an initial application, and it works alongside other SEC filing insights used to follow ongoing disclosure activity.

Key elements typically found in SEC Form NRSRO-CE include:

  • Name of the NRSRO
  • Primary business name and other business names used
  • Principal executive office and contact information
  • Certification that previously filed information remains accurate
  • List of material changes that occurred during the previous calendar year
  • Updated Items and Exhibits required for annual certification

SEC Form NRSRO-CE Filing Deadlines

SEC Form NRSRO-CE has specific timing requirements that registered NRSROs must follow after registration has been granted. These deadlines are important for maintaining compliance and keeping annual registration information current, particularly when comparing recurring certifications with other annual reporting disclosures.

Filing Stage Timeline Details
Annual Certification Due Not later than 90 days after the end of each calendar year The NRSRO must file its annual certification with the SEC on Form NRSRO
Form NRSRO-CE Filing Annually Used to certify the continued accuracy of prior filings and disclose material changes from the previous calendar year
Public Website Availability Within 10 business days after filing Current Form NRSRO and Exhibits 1 through 9 must be made publicly and freely available on an easily accessible portion of the NRSRO’s corporate website
Additional Updates As needed Material inaccuracies outside the annual certification process may require an update of registration or an application supplement

Key Things to Know About Form NRSRO-CE Filing Rules

  • Annual Certification Is Required: A registered NRSRO must file Form NRSRO-CE not later than 90 days after the end of each calendar year.
  • It Is Filed on Form NRSRO: Form NRSRO-CE is the annual certification filing category under Form NRSRO, not a separate initial registration form.
  • Material Changes Must Be Disclosed: The filing must include a list of all material changes made to the NRSRO’s registration information during the previous calendar year.
  • Not Every Exhibit Is Updated Annually: Exhibits 10 through 13 and certain investor certifications are not updated through the annual certification and instead are reported separately where applicable.
  • Public Availability Still Applies: After filing, the current Form NRSRO and Exhibits 1 through 9 must be posted on an easily accessible portion of the NRSRO’s corporate Internet website within 10 business days.

To monitor annual certifications, registration updates, and related disclosure activity, filings such as Form NRSRO-CE are tracked through our Notifications for new SEC filings.

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