SEC Form NRSRO

The agency's current Form NRSRO, as filed with the United States' SEC, and associated public exhibits are accessible under the hyperlinks on this page.  Questions on Fitch Ratings' regulatory status should be directed to heather.merrigan@fitchratings.com, in the Americas or sharon.raj@fitchratings.com, outside the Americas.

External Credit Assessment Institution (ECAI) Recognition

In recent months, detailed reviews have been conducted by bank regulators to determine which rating agencies’ ratings will be considered eligible for Basel II purposes.  Those rating agencies whose ratings are deemed appropriate for this purpose are referred to as External Credit Assessment Institutions (ECAIs).  Although the timing of Basel II implementation, and ECAI recognition, varies by country, Fitch Ratings has been accepted as an ECAI in each marketplace where a decision has been taken on international agency eligibility.  A list containing the current status of Fitch Ratings' ECAI recognitions is accessible from the hyperlink below.  For further information, please contact sharon.raj@fitchratings.com.

Fitch Ratings History Sample

This ratings history sample is being provided by Fitch Ratings in response to an SEC requirement that each NRSRO provide, on a six-month delayed basis, rating action histories for a randomly selected sample of 10% of its issuer-paid credit ratings in each of the following five rating classes (the Classes) in which such NRSRO has issued 500 or more credit ratings: Financial Institutions, Insurance, Corporates, Asset Backed Securities and Municipal/Government Securities. Using an Oracle-based program, on August 7, 2009, Fitch Ratings randomly chose 10% of its then current, active long-term credit ratings in each of the Classes and posted all of the credit ratings and the entire ratings histories of the entities or securities (collectively, the Credits) associated with such long-term credit ratings. Fitch Ratings shall update the credit histories of each Credit that it has chosen on a monthly basis and will keep each Credit in the ratings history sample until such Credit reaches maturity, is paid-off or is withdrawn. Whenever one Credit is removed, another Credit from the same Class will be randomly selected to replace it. Fitch Ratings will adjust the size of the ratings history sample to reflect any material changes in its overall number of credit ratings. The file containing the ratings history sample can be found as a hyperlink on the left side of this screen. Please contact david.weinfurter@fitchratings.com, for any additional information.

Complete Ratings History Disclosure

Fitch Ratings is disclosing its entire ratings history pursuant to an SEC requirement that each NRSRO disclose ratings history information for 100% of its credit ratings initially determined on or after June 26, 2007, with each ratings action to be disclosed no later than twelve months or twenty-four months after it is taken, depending on whether the rating is issuer-paid.   Any ratings action information required under the 100% disclosure requirement with respect to issuer-paid credit ratings need not be made public less than twelve months from the date such ratings action is taken.  A ratings action on a rating that is not issuer-paid need not be made public less than twenty-four months from the date it is taken.  The Commission believes that ratings history information for outstanding credit ratings is the most direct means of comparing the performance of two or more NRSROs. The file containing the complete ratings history disclosure can be found as a hyperlink on the left side of this screen. Please contact david.weinfurter@fitchratings.com, for any additional information.