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Form NRSRO-CE/A Filings

SEC Form NRSRO-CE/A is an amended annual certification filing used by a nationally recognized statistical rating organization to amend a previously filed annual certification on Form NRSRO. It is submitted to the SEC on EDGAR as part of the Form NRSRO filing framework.

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What Is SEC Form NRSRO-CE/A?

SEC Form NRSRO-CE/A is an amendment to the annual certification filed on Form NRSRO under Section 15E of the Securities Exchange Act of 1934 and Rule 17g-1. Form NRSRO is used by an NRSRO to file its annual certification with the SEC, and EDGAR identifies NRSRO-CE/A as the amendment to that annual certification.

This form is typically filed when an NRSRO needs to amend information in a previously submitted annual certification. After registration, annual certifications and related amendments are filed electronically on EDGAR as PDF documents, and the current Form NRSRO and Exhibits 1 through 9 must be made publicly available on the NRSRO’s website within 10 business days after filing.

Form NRSRO-CE/A helps maintain transparency by updating the public annual certification record for a registered credit rating agency. NRSRO-CE and NRSRO-CE/A submissions must include an EX-99.E1 NRSRO attachment, and the underlying annual certification framework is part of the NRSRO’s ongoing yearly reporting obligations.

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

  • Name of the NRSRO
  • Date of the amendment filing
  • Signature of an authorized representative
  • Legal status and fiscal year-end of the NRSRO
  • Updated Form NRSRO items and exhibits, as applicable
  • Required EX-99.E1 NRSRO attachment

SEC Form NRSRO-CE/A Filing Deadlines

SEC Form NRSRO-CE/A does not have a separate fixed filing deadline like the underlying annual certification. It is filed as needed when an NRSRO amends a previously submitted annual certification, while the related annual certification framework is tied to yearly reporting requirements.

Filing Stage Timeline Details
Annual Certification Deadline Within 90 days of the end of the NRSRO’s fiscal year The annual certification framework is part of the NRSRO’s yearly reporting obligations.
Form NRSRO-CE/A Filing As needed Filed electronically on EDGAR as a PDF document to amend a previously submitted annual certification.
Website Posting Within 10 business days after filing The current Form NRSRO and Exhibits 1 through 9 must be made publicly available on the NRSRO’s website.
Amendment Effective Date Not applicable The form updates a previously filed annual certification record rather than creating a separate delayed effectiveness period.

Key Things to Know About Form NRSRO-CE/A Filing Rules

  • Amendment to Annual Certification: Form NRSRO-CE/A is used to amend a previously filed annual certification on Form NRSRO, not to file an initial registration or update of registration.
  • EDGAR Filing Required: After registration, these filings are submitted electronically on EDGAR as PDF documents in the format required by the EDGAR Filer Manual.
  • Exhibit Requirement Applies: An NRSRO-CE/A submission is invalid without an EX-99.E1 NRSRO attachment.
  • Public Website Posting Still Matters: Under Rule 17g-1(i), the 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 within 10 business days after filing.
  • Used for Ongoing Disclosure Maintenance: Form NRSRO-CE/A fits within the annual certification process for registered NRSROs and is used when the previously filed annual certification needs to be amended.

To monitor amended annual certifications, related annual filing activity, broader insights of SEC FIlings and other disclosure categories through SEC filing search, our platform helps you stay informed about key SEC filing activity.

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