Regulatory Affairs | Form NRSRO

Pursuant to Exchange Act Rule 17g-1(i), a nationally recognized statistical rating organization (NRSRO) must make its current Form NRSRO and information and documents filed in Exhibits 1 through 9 to Form NRSRO publicly and freely available on an easily accessible portion of its corporate Internet website within 10 business days after the date of the Commission Order granting an initial application for registration as an NRSRO or an application to register for an additional class of credit ratings and within 10 business days after filing with or furnishing to, as applicable, the Commission an update of registration, annual certification, or withdrawal from registration on Form NRSRO. Exhibits 10 through 13 are not required to be made publicly available by the NRSRO pursuant to Rule 17g-1(i).

Exhibit 1: Credit rating performance measurement statistics
Exhibit 2: Procedures and methodologies used in determining credit ratings
Exhibit 3: Policies or procedures to prevent the misuse of material, non-public information
Exhibit 4: Organizational structure
Exhibit 5: Code of ethics
Exhibit 6: Identification of conflicts of interest
Exhibit 7: Policies and procedures to address and manage conflicts of interest
Exhibit 8: Certain information regarding credit analysts and credit analyst supervisors
Exhibit 9: Certain information regarding the designated compliance officer
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