New EDGAR Forms

The new forms pertain to Nationally Recognized Statistical Rating Organizations (NRSROs). These forms pertain to Form NRSRO submissions made pursuant to paragraph (e), (f), or (g) of Rule 17g-1 (an update of registration, an annual certification, or a withdrawal from registration, respectively) and also the annual reports required by Rule 17g-3, as follows:

–  NRSRO-UPD: Update of Registration

–  NRSRO-CE: Annual Certification

–  NRSRO-CE/A: Amendment to Annual Certification

–  NRSRO-WCLS: Withdrawal from Credit Rating Class

–  NRSRO-WREG: Withdrawal from Registration

–  NRSRO-FR: Annual Financial Reports (Rule 17g-3)

–  NRSRO-FR/A: Amendment to Annual Financial Reports (Rule 17g-3)

Forms NRSRO that are submitted pursuant to paragraphs (a), (b), (c), and (d) of Rule 17g-1 (initial applications for registration, applications to register for an additional class of credit ratings, supplements to an initial application or application to register for an additional class of credit ratings, and withdrawals of initial applications or applications to register for an additional class of credit ratings, respectively) must continue to be submitted to the SEC in paper format.

The Form NRSRO and the exhibits required to be submitted with the form for each of these new EDGAR submission types must be filed electronically as a PDF.

The temporary hardship exemption in Rule 201 is available for the submissions of these new forms. If an NRSRO has unanticipated technical difficulties that prevent it from filing the electronic form in a timely manner, the NRSRO may submit the filing in paper format under cover of Form TH no later than one business day after the submission was to be made. The NRSRO must then submit an electronic copy of the form within six business days.

Other EDGAR Changes

New applicant types were added to the EDGAR Filer Management Website. When applying for new access to EDGAR using Form ID, these new applicant types will be available as options:

–  Nationally Recognized Statistical Rating Organization

–  Security-Based Swap Data Repository

–  Security-Based Swap Dealer and Major Security-Based Swap Participant

–  Security-Based Swap Execution Facility

Version 4.8a of the GoFiler family (released August 3, 2015) addresses these changes to EDGAR. If you need to update your version of GoFiler, use the Check for Updates function within your software. For a full list of improvements that were made for Version 4.8a, read our release notes.

References:

http://www.sec.gov/rules/final/2014/34-72936.pdf

http://www.sec.gov/info/edgar/edgarfm-vol1-v22.pdf

http://www.sec.gov/info/edgar/edgarfm-vol2-v33.pdf