NRSROs are required to complete a Form NRSRO for application for registration, registration updates and annual certification, under Section 15E of the Securities Exchange Act of 1934 and the rules thereunder.
NRSROs are generally required to make their Forms NRSRO publicly available on their web sites, and links to these forms are found here. Below are links to a template Form NRSRO and additional regulatory forms.
Form NRSRO Template and Instructions
- Form NRSRO (Template) — Application for Registration as a Nationally Recognized Statistical Rating Organization
- Form ABS DD-15E — Certification of Provider of Third-Party Due Diligence Services for Asset-Backed Securities
- Form 1661 — Supplemental Information for Entities Subject to Inspection by the Commission and Directed to Supply Information Other Than Pursuant to Commission Subpoena
- Form 2866 — Supplemental Information for Persons Requested to Supply Information Voluntarily to the Commission's Examination Staff
- Form 2903 — Supplemental Information for Persons Requested to Supply Information Voluntarily to the Office of Credit Ratings' Monitoring Staff