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Form NRSRO-FR Filings

SEC Form NRSRO-FR is an annual non-public filing used by a nationally recognized statistical rating organization to submit required financial and other reports to the SEC under Rule 17g-3. It covers year-end financial information and related regulatory disclosures for the NRSRO.

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What Is SEC Form NRSRO-FR?

SEC Form NRSRO-FR is a required annual filing submitted by an NRSRO to provide the SEC with certain financial reports, revenue data, compensation information, and other Rule 17g-3 disclosures. It is filed within 90 calendar days after the end of the NRSRO’s fiscal year and is submitted on a non-public basis.

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

  • Audited financial statements
  • Unaudited consolidating financial statements, if applicable
  • Revenue by required category
  • Credit analyst compensation information
  • Largest issuers and subscribers by net revenue
  • Internal control and credit ratings action reports

SEC Form NRSRO-FR Filing Deadlines

SEC Form NRSRO-FR has specific timing requirements that NRSROs must follow each fiscal year. These deadlines are important to ensure compliance with Rule 17g-3 and the timely submission of required financial and other reports to the SEC.

Filing Stage Timeline Details
Fiscal Year End As of year-end Reports are prepared based on the NRSRO’s completed fiscal year
Form NRSRO-FR Filing Within 90 calendar days after the fiscal year end Filed electronically with the SEC under Rule 17g-3
Amended Filing As needed Corrections or updates are submitted using Form NRSRO-FR/A
Public Availability Not applicable Form NRSRO-FR is a non-public filing

Key Things to Know About Form NRSRO-FR Filing Rules

  • Annual Filing Requirement: An NRSRO must file Form NRSRO-FR each year no later than 90 calendar days after the end of its fiscal year.
  • Non-Public Submission: Unlike some other SEC company filings, Form NRSRO-FR is filed on a non-public basis with the Commission.
  • Multiple Reports May Be Required: The filing can include audited financial statements, unaudited revenue and compensation reports, issuer and subscriber concentration information, and internal control assessments.
  • Internal Control Reporting Matters: Rule 17g-3 requires management to report regarding the effectiveness of the internal control structure governing credit rating policies, procedures, and methodologies.
  • Amendments Are Filed As Needed: If an NRSRO needs to correct or update a previously submitted annual financial report, it files an amendment on Form NRSRO-FR/A.

To follow broader reporting trends and Research On SEC filings, our platforms that organize SEC disclosure data can help track regulatory filings and reporting activity across different form types.

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