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Form NRSRO-FR/A Filings

SEC Form NRSRO-FR/A is an amendment filing used by a nationally recognized statistical rating organization to amend annual financial and other reports previously submitted to the SEC under Rule 17g-3. The submission type is filed electronically on EDGAR and is designated as non-public.

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What Is SEC Form NRSRO-FR/A?

SEC Form NRSRO-FR/A is an amendment to the annual financial report required under Rule 17g-3 of the Securities Exchange Act of 1934. It is used by an NRSRO to correct, revise, or update previously filed Rule 17g-3 financial report information submitted to the SEC. It relates to confidential annual reporting by credit rating agencies rather than public exchange-traded issuer disclosure.

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

  • Name of the nationally recognized statistical rating organization
  • Identification of the fiscal year covered by the amended report
  • Audited financial statements or amended financial statement information, if applicable
  • Amended unaudited revenue information by Rule 17g-3 category
  • Amended analyst compensation or the largest customer information, if applicable
  • Signed statement from an authorized person responsible for the report

SEC Form NRSRO-FR/A Filing Deadlines

SEC Form NRSRO-FR/A does not have a separate fixed statutory deadline like the original Rule 17g-3 annual report. The underlying annual financial report is due no later than 90 calendar days after the end of the NRSRO’s fiscal year, while an amendment is generally filed as needed to correct or update a prior submission.

Filing Stage Timeline Details
Original Annual Report Due Within 90 calendar days after the fiscal year-end Rule 17g-3 annual financial reports must be filed with the SEC
Amendment Filing As needed Filed electronically with the SEC to amend a previously submitted NRSRO-FR filing
Public Availability Not applicable NRSRO-FR/A is identified in EDGAR as a non-public submission type
Extension or Exemption By written request, if granted The SEC may grant an extension of time or exemption under Rule 17g-3

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

  • Amendment to a Prior Rule 17g-3 Filing: Form NRSRO-FR/A is used to amend an annual financial report previously filed under Rule 17g-3 rather than to make an initial registration or annual certification filing.
  • Original Filing Deadline Still Matters: Although the amendment itself is event-driven, the underlying annual financial report is tied to the Rule 17g-3 deadline of no more than 90 calendar days after the end of the fiscal year.
  • The Filing Is Non-Public: EDGAR identifies Form NRSRO-FR and NRSRO-FR/A as non-public Rule 17g-3 submission types, unlike public Form NRSRO annual certifications.
  • Rule 17g-3 Covers Multiple Financial Reports: The annual report framework includes audited financial statements and, where applicable, unaudited reports concerning revenue, analyst compensation, and the largest users of rating services.
  • Authorized Certification Is Required: Each financial report furnished under Rule 17g-3 must include a signed statement from a duly authorized person stating that, to the best of that person’s knowledge, the report fairly presents the required information in all material respects.

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