The American Stud Book Principal Rules and Requirements

• A. The transfer of ownership for all registered Thoroughbreds may be reported to The Jockey Club by completing a Transfer of Ownership Form or through Interactive Registration at www.registry.jockeyclub.com. Additionally, The Jockey Club will accept ownership information from a racetrack or sales company recognized by The Jockey Club.

• B. The ownership of all Thoroughbred Stallions and Broodmares should be reported to The Jockey Club each year. For Stallions, ownership is reported by submitting a Report of Mares Bred form (see Rule 14). In the case of a Broodmare, ownership is reported by submitting a Live Foal/No Foal Report (see Rules 2 and 15). Based on the ownership reported on the respective forms, The Jockey Club will record any transfer of ownership. If a Thoroughbred Stallion or Broodmare is sold or otherwise transferred after submitting a Report of Mares Bred form or Live Foal/No Foal Report, the new ownership should be reported by submitting a Transfer of Ownership form as in Rule 7(A).

• C. If The Jockey Club becomes aware of conflicting information with respect to the ownership of a horse or other rights in or related to a horse (including the management of a Digital Certificate of Foal Registration) (Ownership Issues), The Jockey Club may request additional information and The Jockey Club may defer action related to the horse until the interested parties agree to resolve the Ownership Issues or The Jockey Club may take action based upon court order (see Rule 21(F)) or other factors it deems appropriate in its discretion. The Jockey Club shall have no obligation to any party arising out of its decision to defer action or to take action.
  
  In addition, the failure of an owner to submit a valid Service Certificate pursuant to Rule 2(D) may be considered evidence of an ownership issue to be resolved as set forth above, but in the event action is deferred by The Jockey Club it will process but not issue the Certificate of Foal Registration until a valid Service Certificate is submitted to The Jockey Club and all other requirements of Rule 2 are satisfied.

• D. The Jockey Club will respond to inquiries pursuant to legal process, court order, approved foreign stud book authorities, recognized state racing commissions, racetrack authorities, or law enforcement agencies with respect to ownership information as to a specific horse, as well as upon written request, from a person whose name appears in The Jockey Club records as having an ownership interest in that horse. The Jockey Club may also make available to the public Breeder and ownership information in its discretion.

• E. It is advisable that no one complete the purchase of a Thoroughbred until the Certificate of Foal Registration has been transferred by the previous owner or is assigned by the previous Certificate Manager. Before completing the sale, the new owner should compare the description on the Certificate of Foal Registration with the horse.

• A. To obtain a Corrected Certificate of Foal Registration when the requested change is related to the color, gender, microchip number and/or recorded markings of the horse, the following must be submitted to the Registry Office:
  • 1. Payment to The Jockey Club covering the prescribed fee (see Fee Schedule);
  • 2. A set of four color photographs of the horse (front, both sides, and rear views) clearly showing the color and markings (or lack of markings) on the head, legs, and body, and showing any discrepancies, if possible, with the existing Certificate of Foal Registration;
  • 3. A completed and signed Corrected Certificate form containing the written description of the markings as they now appear on the horse, including the exact location of the head and neck cowlicks and microchip number. This report may be submitted via Interactive Registration at www.registry.jockeyclub.com; and
  • 4. The Certificate of Foal Registration.

• B. Nothing in this rule shall preclude the use of Genetic Typing information for the purpose of re-identifying any horse at any time. If the identity or pedigree of any horse is in question, The Jockey Club may require Genetic Typing and/or parentage verification to ensure proper identity or pedigree.

• C. To obtain a Corrected Certificate of Foal Registration when the requested change is related to the recording of Breeder, foaling date and/or foaling location, the applicant shall provide the completed and signed Corrected Certificate form and any evidence and assurances as The Jockey Club may require, such as notarized statements and/or farm records. The prescribed fee (see Fee Schedule) and the Certificate of Foal Registration must accompany any such Corrected Certificate request.

• A. If a Certificate of Foal Registration has been lost or destroyed, a Duplicate Certificate of Foal Registration may be issued by the Registry Office upon submission of the following:
  • 1. Payment to The Jockey Club covering the prescribed fee (see Fee Schedule);
  • 2. A set of four color photographs of the horse (front, both sides, and rear views) clearly showing the color and the markings (or lack of markings) on the head, legs, and body;
  • 3. A completed and signed Duplicate Certificate form containing the written description of the markings on the horse, including the exact location of the head and neck cowlicks;
  • 4. A notarized statement from the owner or his authorized agent describing the circumstances under which the Certificate of Foal Registration was lost or destroyed;
  • 5. Proof of ownership of that specific horse (for example, a bill of sale or cancelled check including the name or pedigree of the horse, date of sale, and the name of the new owner); and
  • 6. Any further evidence and assurances as The Jockey Club may require, such as Genetic Typing and/or parentage verification.

• B. Except as expressly provided in this Rule 9, a Duplicate Certificate of Foal Registration will not be issued as long as the Certificate of Foal Registration is known to be in existence; provided, however, in the event of a sheriff's (or similar) sale or under a non-appealable court order, a Duplicate Certificate of Foal Registration will be issued if the original Certificate of Foal Registration cannot be obtained from the previous owner only after a good faith effort to recover it is made by the seller and/or the new owner. In either case, the requirements of Rule 9(A) 1, 2, 3, 5, and 6 must be met and an opinion must be submitted to The Jockey Club from an attorney or an official representative of the court, indicating that the sale (if applicable) was conducted in accordance with the laws of the state and providing such other information as The Jockey Club may request regarding the circumstances and validity of the sale or court order.

• C. Once a Duplicate Certificate of Foal Registration is issued, the original Certificate of Foal Registration becomes null and void, and if located, must be returned to the Registry Office.

• A. When a horse is to be exported to a country outside of the United States, Puerto Rico, or Canada, a Certificate of Exportation and passport must be obtained from The Jockey Club within 60 days after exportation. If for any reason the requirements are not completed within 60 days after exportation, the Certificate of Exportation may be obtained only after approval of The Jockey Club and the payment of an additional fee (see Fee Schedule).

• B. To obtain a Certificate of Exportation and passport, a horse must be genetically typed or be in the process of being genetically typed (samples must have arrived at the laboratory in a testable condition) unless the horse was genetically typed previously. If Genetic Typing is required, a Genetic Typing kit must be obtained as set forth in Rule 5(B) and the following must be completed and submitted to The Jockey Club Registry Office by the time of the horse's departure:
  • 1. Payment to The Jockey Club covering the prescribed fee (see Fee Schedule);
  • 2. A set of four color photographs of the horse (front, both sides, and rear views) clearly showing the color and the markings (or lack of markings) on the head, legs, and body;
  • 3. A completed Export Identification form. The form must be signed by the owner or authorized agent and must also indicate the country of destination, name of broker, date of shipment, and ownership of the horse. This form may also be submitted through Interactive Registration at www.registry.jockeyclub.com;
  • 4. The Certificate of Foal Registration, 30-Day Racing Permit or Certificate of Foreign Registration;
  • 5. A valid Service Certificate for all mares In Foal. If a Service Certificate is not available at the time of shipment, it must be submitted to The Jockey Club as soon as it is received by the owner.

• C. The Jockey Club will forward directly to the appropriate foreign stud book authority the Certificate of Exportation and any other necessary documents as may be reasonably requested by that stud book authority.

• D. If a horse is exported to a country whose stud book is not approved by The Jockey Club and then returns to the United States, Puerto Rico, or Canada, the owner or authorized agent must satisfy all of the requirements of Rule 10(A) and (B), and the horse must be genetically typed and identified within 60 days after its return. No progeny foaled or conceived in a country whose stud book is not approved will be eligible for registration in The American Stud Book.

• E. Any horse exported without receiving a Certificate of Exportation that returns to the United States, Puerto Rico, or Canada must be re-identified, genetically typed, obtain a Certificate of Exportation, and an additional fee must be paid (see Fee Schedule) before The Jockey Club will reissue the Certificate of Foal Registration.

• F. Any horse imported into the United States, Puerto Rico, or Canada whose sire or dam was not exported properly in accordance with Rule 10 will not receive a Certificate of Foreign Registration until that sire or dam has fulfilled the export requirements.

• G. If a horse is imported into the United States, Puerto Rico, or Canada, its sire or dam was not exported in accordance with Rule 10, and it has since died, The Jockey Club will issue a Certificate of Foreign Registration only upon written application and approval of The Jockey Club to waive the export requirements.

• A. Horses born outside of the United States, Puerto Rico, or Canada must satisfy the eligibility requirements of Rules 1(C) and 1(D) and must obtain a Certificate of Foreign Registration from The Jockey Club when imported into the United States, Puerto Rico, or Canada. Additionally, to obtain a Certificate of Foreign Registration, the registrar may require a change of name to satisfy the requirements of Rule 6(G).

• B. To obtain a Certificate of Foreign Registration, the owner or broker must cause the exporting country's registry to submit the following directly to the Registry Office within 60 days after arrival of the horse in the United States, Puerto Rico, or Canada:
  • 1. The Stud Book Certificate or Export Certificate containing the written description and diagrams of the markings on the horse, including the exact location of the head and neck cowlicks;
  • 2. A certified copy of the horse's complete racing record. Racing records from the World Hub may also be accepted if available; and
  • 3. A valid service certificate if the imported Broodmare is In Foal.

• C. In addition, within 60 days after arrival of the horse in the United States, Puerto Rico, or Canada, the owner or broker of the horse must submit the following to The Jockey Club Registry Office:
  • 1. Payment to The Jockey Club covering the prescribed fee (see Fee Schedule);
  • 2. A completed and signed Import Registration form containing the written description and diagrams of the markings on the horse including the exact location of the head and neck cowlicks. This form may also be submitted through Interactive Registration at www.registry.jockeyclub.com;
  • 3. Four color photographs of the horse (front, both sides, and rear views) taken in this country clearly showing the color and the markings (or lack of markings) on the head, legs, and body; and
  • 4. The passport book, if applicable.

• D. If, for any reason, the requirements are not completed within 60 days after arrival, the Certificate of Foreign Registration may be obtained only after approval of The Jockey Club and the payment of an additional fee (see Fee Schedule). A horse is not eligible for a Certificate of Foreign Registration unless all requirements, including the appropriate fee (see Fee Schedule), are received by The Jockey Club within one year of the date of arrival in the United States, Puerto Rico, or Canada; provided, however, under limited circumstances, late registration may be granted to a horse that has been in the United States, Puerto Rico, or Canada for more than one year since its arrival provided the following conditions are met:
  • 1. The applicant sets forth in writing to The Jockey Club the reasons the applicant believes he/she should be relieved from the one-year registration requirement;
  • 2. The Jockey Club determines that the applicant has sufficiently demonstrated mistake, inadvertence, excusable neglect, or other circumstances that justify late registration;
  • 3. The horse had been genetically typed in its country of birth and/or its identity can be established to the satisfaction of The Jockey Club; and
  • 4. The applicant completes all registration requirements, including Genetic Typing, and submits a late registration fee (see Fee Schedule).

• If a Thoroughbred that was issued a 30-Day Foreign Racing Permit prior to September 2020 returns to the United States, Puerto Rico, or Canada, the owner must obtain a Certificate of Foreign Registration from The Jockey Club. See Rule 11.

• A. All Stallion owners must report each Thoroughbred Broodmare that was bred (mated) to their Stallion(s) on the Report of Mares Bred form, which should be sent to The Jockey Club no later than August 1 of each breeding year along with the prescribed fee (see Fee Schedule). This form may also be submitted through Interactive Registration at www.registry.jockeyclub.com. Failure to comply with this deadline will result in delays in the issuance of Service Certificates. Mares bred (mated) on Southern Hemisphere time must be reported as soon as possible.

• B. A separate Report of Mares Bred form must be completed yearly for each Stallion and must be signed by the Stallion owner, lessee, or authorized agent. If the Stallion was leased, check the appropriate box provided on the Report of Mares Bred form. If the Stallion has died since the last Stallion Report, a Report of Deaths form must also be submitted.

• C. Based on the information on a completed Report of Mares Bred form, The Jockey Club will forward to the Stallion owner, lessee, or authorized agent a preprinted Service Certificate for each Broodmare bred (mated), including the name of the Stallion, the name of the Broodmare, the name of the Dam of the Broodmare, and the date of the last cover.

  When the Stallion owner, lessee, or authorized agent receives the preprinted Service Certificate, it should be examined for accuracy, signed by the Stallion owner, lessee, or authorized agent and forwarded to the Breeder of the foal or submitted to The Jockey Club through Interactive Registration at www.registry.jockeyclub.com. The Service Certificate is required to register a foal. Service Certificates will not be issued unless a completed Report of Mares Bred form is on file at The Jockey Club and until genetic or re-DNA typing of the Stallion has been completed (see Rule 5).

• D. If the preprinted Service Certificates are lost, duplicate Service Certificates will be issued upon request of the Stallion owner, lessee, or authorized agent.

• A. The breeding status of all Thoroughbred Broodmares must be reported yearly to The Jockey Club by submitting a Live Foal/No Foal Report indicating either live foal information or no foal information. This report may also be submitted through Interactive Registration at www.registry.jockeyclub.com.

• B. In the case of a live foal, a fully completed and signed Live Foal Report must be submitted to The Jockey Club within 30 days after the birth of the foal as required in Rule 2.

• C. In the case of no foal to be registered, the Breeder should submit to The Jockey Club a fully completed and signed No Foal Report within 30 days of the projected birth of the foal. If the Mare was not bred (mated) submit the No Foal Report in January.

• A. If an owner desires a Thoroughbred to be considered retired from racing, the owner/owner's agent must submit the following to The Jockey Club within 60 days after the date of transfer of such Thoroughbred to a transferee:
  • 1. The Certificate of Foal Registration;
  • 2. A completed Transferred as Retired from Racing form bearing signatures of both the transferee/transferee's agent and the transferor/transferor's agent. This form may also be submitted through Interactive Registration at registry.jockeyclub.com;
  • 3. A set of four color photographs of the horse (front, both sides, and rear views) clearly showing the color and the markings (or lack of markings) on the head, legs, and body; and
  • 4. Any further evidence and assurances as The Jockey Club may require.

• B. Upon receipt in the Registry Office, the respective Certificate of Foal Registration will be stamped "Retired from Racing" and will be returned to the transferee/transferee's agent. A copy of the stamped Certificate of Foal Registration will be made available on The Jockey Club Registry website at www.registry.jockeyclub.com.

• C. Notations upon a Certificate of Foal Registration such as "not to be raced" without the requirements set forth in rule 18A will not cause the Registry Office to record the horse as Retired from Racing. Submission to The Jockey Club of any such Certificate of Foal Registration may cause a Corrected Certificate of Foal Registration to be issued.

• A. Any person or entity (collectively "Person") may be denied any or all of the privileges of The American Stud Book in the event:
  • 1. That Person either knowingly misrepresents or aids or abets the misrepresentation of the identity, name, age, appearance, pedigree, genetic type, eligibility for registration, or any other information in, or in connection with, any communication to The Jockey Club;
  • 2. That Person steals, counterfeits, forges, or alters a certificate or document issued by The Jockey Club or knowingly receives a stolen, counterfeited, forged, or altered certificate or document issued by The Jockey Club;
  • 3. That Person knowingly violates any of the Principal Rules and Requirements of The American Stud Book; or
  • 4. There is a final determination by a court (whether civil, criminal, or administrative), an official tribunal or an official racing body that such Person: (a) misrepresented or aided or abetted the misrepresentation of a horse's identity, name, age, appearance, pedigree, genetic type, or any other information in connection with either entry in a race or the racing of any horse; (b) misrepresented or aided or abetted the misrepresentation of a horse's eligibility for registration or any other matter related to The American Stud Book; (c) stole, counterfeited, forged, or altered a certificate or document issued by The Jockey Club or knowingly received a stolen, counterfeited, forged, or altered certificate or document issued by The Jockey Club; (d) killed, abandoned, mistreated, neglected or abused, or otherwise committed an act of cruelty to a horse; or (e) violated applicable racing authority statutes, Rules, or regulations relating to horses (i) on one or more occasions involving prohibited or restricted drugs, medications or substances that have been classified by the Association of Racing Commissioners International, Inc. (RCI) as class 1 or class 2 (whether or not so classified in the jurisdiction(s) that made the final determination) or (ii) on three or more occasions in any 365-day period involving prohibited or restricted drugs, medications, or substances in any RCI class (whether or not so designated or classified in the jurisdiction(s) making the final determination).

• B. In the event the registrar has a reasonable basis upon which to conclude that any of the circumstances identified in subparagraphs 1 through 4 above may apply, the registrar shall notify such Person in writing (the "Rule 19 Notification"): (i) of the specific subpart(s) of this rule which apply; (ii) of the basis upon which the registrar believes that the subparts apply; (iii) of the registrar's proposed action; and (iv) that the Person has the right, within 30 days following the date the registrar sends the Rule 19 Notification to the last known address for the Person, either to submit to a committee consisting of employees of The Jockey Club (excluding the registrar) who are annually appointed by the board of stewards of The Jockey Club ("Rule 19 Committee") written information to be considered in their determination of the matter or to request a hearing by submitting to the Rule 19 Committee a written request for a hearing, briefly stating the reasons why that Person asserts that this rule does not apply and/or that the proposed action is not appropriate ("Rule 19 Hearing Request").

• C. If a hearing is requested (i) a non-refundable administrative fee of one thousand dollars ($1,000.00) must be submitted with the Rule 19 Hearing Request, and (ii) all further proceedings shall be conducted in accordance with the procedures set forth in Rule 20(C).
  
  If no hearing is requested, then all information submitted by the registrar and the Person shall be considered by the Rule 19 Committee within 90 days following the date the registrar sends the Rule 19 Notification to the last known address for the Person, at which time the Rule 19 Committee shall make a determination as to whether to deny the Person any or all of the privileges of The American Stud Book and the nature and extent of any such denial. The Rule 19 Committee's determination shall be promptly reduced to writing, stating the decision made and briefly stating the reasons for such decision, and delivered to the Person (and his counsel, if any) and to the registrar.

• D. Any Person who receives a Rule 19 Notification may request an expedited determination by submitting a written request to the Rule 19 Committee with a detailed explanation as to why an expedited determination is warranted.
  
  The authority of the Rule 19 Committee under this rule and of any hearing officer appointed under Rule 20 to hear a matter pursuant to a Rule 19 Hearing Request shall be limited to considering (i) whether a denial of any or all of the privileges of The American Stud Book is warranted under the criteria in this rule and (ii) the nature and extent of any denial of those privileges.

  Any determination of the Rule 19 Committee may be appealed to the board of stewards of The Jockey Club pursuant to Rule 20(B).

• A. Any person or entity (Person) wishing to object to any action or decision of the registrar or officer of The Jockey Club (collectively Registrar/Officer) (other than Rule 19 Notifications and Rule 19 Committee determinations) in the application of the rules to such Person or to such Person's horse(s), may, within 30 days after being advised of such action or decision (by telephone, email, facsimile, or mail to the last address on file for the Person), submit to the board of stewards of The Jockey Club (Stewards) a written statement (Statement) including:
  • 1. The specific nature and basis for objecting to the action or decision of the Registrar/Officer;
  • 2. A brief statement of the facts and any documents, affidavits or other written material the Person believes will be helpful in considering the matter; and
  • 3. If a hearing is desired, a specific request for a hearing.
  
  If a hearing is requested, a non-refundable administrative fee of one thousand dollars ($1,000.00) must be submitted with the Statement.
  
  If no hearing is requested, then all relevant information and materials submitted by the Person and the Registrar/ Officer shall be considered by the Stewards at their next meeting after receipt of the Statement, at which time the Stewards shall make a final determination. That determination shall be promptly reduced to writing, stating the decision made and briefly stating the reasons for such decision, and delivered to the Person (and his counsel, if any) and the Registrar/Officer.
  
  Any Person submitting a Statement under this rule may request an expedited determination by submitting a written request to the Stewards with a detailed explanation as to why an expedited determination is warranted; provided, however, that the Stewards shall have full discretion as to whether an expedited determination is possible or appropriate under the circumstances.
  
  
• B. Any Person wishing to appeal a determination of the Rule 19 Committee may, within 30 days following the date of issuance of such Rule 19 Committee determination, submit to the Stewards a written statement of the grounds for the appeal (Rule 19 Appeal) based solely upon the information considered by the Rule 19 Committee in making its determination. Upon the filing of a Rule 19 Appeal, the Rule 19 Committee will submit to the Stewards the Rule 19 Committee's determination and a summary of the evidence and information considered by the Rule 19 Committee in making its determination. The Stewards shall, no later than the next meeting of the Stewards after the Rule 19 Appeal is received, make a final determination of the matter. The determination of the Stewards shall then be promptly reduced to writing, stating the decision made and briefly stating the reasons for such decision, and delivered to the Person (and his counsel, if any), the registrar and the Rule 19 Committee.
  
  
• C. If a hearing is requested under either Rule 20(A) or Rule 19, then, within 15 days after receiving the Statement or the Rule 19 Hearing Request, whichever applies, the designee of the chairman of the Stewards or the Rule 19 Committee, whichever applies, shall provide written notice to the Person of the name, address and telephone number of the independent hearing officer (Hearing Officer) appointed to hear the matter.
  
  Within 15 days after the date of the appointment of the Hearing Officer, the Hearing Officer shall conduct a telephonic prehearing conference for the purpose of ruling on preliminary matters, clarifying and narrowing the issues, entering into stipulations, scheduling the hearing, and considering other issues as may aid in the disposition of the matter. The final hearing shall be scheduled no less than 15 and no more than 30 days after the date of the prehearing conference unless the parties otherwise agree. All hearings shall take place at the offices of The Jockey Club, 821 Corporate Drive, Lexington, Kentucky 40503.
  
  The parties may appear personally and/or through counsel authorized to act on such party's behalf, and may present witnesses and other evidence; provided, however, that the Hearing Officer shall exclude any evidence that is not directly relevant to the factual circumstances of the rule application at issue and shall exclude any witnesses or testimony that are not directly related to the factual circumstances of the rule application at issue. All testimony at the hearing shall be under oath and stenographically recorded. The Hearing Officer shall not be bound by technical rules of evidence and may receive hearsay evidence to the extent The Hearing Officer considers it to be reliable and relevant, and not unduly repetitious. No third party shall have a right of intervention and no third party may appear at or participate in the hearing unless the Hearing Officer determines that such person will materially assist in the determination of the matter. There shall be no right to conduct discovery by any party and the Hearing Officer shall have no authority to issue subpoenas. The Hearing Officer's determination shall be limited to consideration of the Statement and any relevant, non-privileged, and non- proprietary information and materials provided by the parties, the testimony of witnesses and exhibits entered into evidence at the hearing, and any facts which are not in dispute or are of generally-recognized technical or scientific nature, so long as the Hearing Officer provides notice to all parties before or during the hearing of any facts so noticed. Notwithstanding anything in these Rules to the contrary, the Hearing Officer may make a recommended order at any time prior to the conclusion of the hearing if the Hearing Officer determines there are no genuine issues of material fact in dispute and judgment is appropriate as a matter of law.
  
  The Hearing Officer shall, within 45 days after the close of the hearing, submit written factual findings and recommendations to the Stewards and provide a copy of those findings and recommendations to the Person (and his counsel, if any) and to counsel for the Registrar/Officer. As part of any recommendation, the Hearing Officer may award reasonable attorneys' fees and costs to the prevailing party if the Hearing Officer determines that the non-prevailing party asserted or pursued any appeal, claim, or defense in bad faith and/or for the purpose of harassment, embarrassment, or delay. The Stewards shall, no later than the next meeting of the Stewards after the findings and recommendations are made, make a final determination of the matter. The Stewards may accept or reject the findings and/or recommendations in whole or in part. The determination of the Stewards shall then be promptly reduced to writing, stating the decision made and briefly stating the reasons for such decision, and delivered to the Person (and his counsel, if any) and to counsel for the Registrar/Officer.
  
  A Person who has requested a hearing may subsequently waive the right to a hearing by submitting to the Hearing Officer a written statement waiving the right to hearing, in which case, the matter shall proceed under Rule 20(A) or Rule 19, whichever applies, as if no hearing had been requested. Any requests for postponement of a scheduled hearing must be made in writing showing good cause why the postponement should be granted and must actually be received by the Hearing Officer at least three business days prior to the scheduled date of the hearing, absent extreme exigent circumstances.
  
  If a Person requests a hearing but fails to appear on the scheduled date, the matter shall proceed under Rule 20(A) or (B) or Rule 19, whichever applies, as if no hearing had been requested.
  
  
• D. The authority of the Stewards and any Hearing Officer appointed to hear any matter initiated under Rule 19 or Rule 20 shall be strictly limited to considering whether the Registrar/Officer or Rule 19 Committee acted in accordance with the Principal Rules and Requirements of The American Stud Book and any applicable policies of The Jockey Club, including the extent of a denial of privileges of The American Stud Book pursuant to Rule 19. Any determination of the Stewards made pursuant to this Rule 20 shall be final.

• A. Owners, breeders, and authorized agents are responsible for being familiar with and complying with the Principal Rules and Requirements of The American Stud Book. Amendments and new rules are available on The Jockey Club Registry website at www.registry.jockeyclub.com. By registering a Thoroughbred with The Jockey Club, registrants and their principals and agents agree to be bound by and subject to the Principal Rules and Requirements of The American Stud Book and all subsequent amendments thereto.

• B. Notwithstanding any other provisions in these rules, it is the responsibility of each applicant to obtain from The Jockey Club all necessary forms and to submit all completed forms and other requirements by the applicable deadlines.

• C. Certificates of Foal Registration, Certificates of Foreign Registration, Certificates of Exportation, Names, Passports, Racing Permits, and Stallion Service Certificates (Official Documents) are issued on the basis of information submitted to The Jockey Club by the applicant and are subject to revocation and cancellation at The Jockey Club's discretion if further information is received by The Jockey Club indicating improper or erroneous issuance.
  
  Modification of the heritable genome of a Thoroughbred at any time of its life may disqualify such a horse from being considered a Thoroughbred by The Jockey Club. In such a case, Official Documents issued for the horse are subject to revocation and cancellation.
  
  In the event of cancellation or revocation, the original Official Document must be promptly returned to The Jockey Club Registry Office.

• D. For the purpose of determining whether a deadline has been met, any document or other material submitted to The Jockey Club shall be deemed to have been submitted to and/or received by The Jockey Club only upon (i) actual receipt in the Registry Office of The Jockey Club or (ii) if transmitted by United States Post Office or other recognized mail carrier, the date such carrier received the material from the sender if that date is noted by the carrier on the outside of the container.

• E. Any notices or other material sent by The Jockey Club to any person, including any owner or authorized agent, shall be mailed to the last known address on file with The Jockey Club for the horse that is the subject of the notice or other material regardless of whether the same person has other addresses on file with The Jockey Club for other horses. Change of Address forms are available from The Jockey Club and may be submitted by the horse owner or authorized agent to notify The Jockey Club of a change of address for mailing notices or other material for any specified horse(s). This form may also be submitted through Interactive Registration at www.registry.jockeyclub.com.

• F. The Jockey Club may require any party who requests action (or inaction) from The Jockey Club or who submits information to The Jockey Club in connection with the processes and functions of The Jockey Club to provide such evidence and further assurances as The Jockey Club may reasonably require, and may also require any such party to make the horse(s) involved available for inspection.

• G. Notwithstanding any other provisions in these rules, The Jockey Club may require any party(ies) who requests action (or inaction) from The Jockey Club arising out of or relating to a dispute or controversy with a third party(ies) to settle that dispute in a court of competent jurisdiction and The Jockey Club may defer a decision concerning the matter pending resolution of the dispute as aforesaid. The Jockey Club shall have no obligation to any party arising out of any decision to defer action or to take action under any provision of these rules.

• H. The Jockey Club may decline to process any material received from an owner, owner's agent, or Breeder not in good standing with The Jockey Club. An owner or Breeder will be considered not in good standing if the owner or Breeder has any outstanding fees owed to The Jockey Club for any horse including, but not limited to, fees related to registration, Report of Mares Bred, Genetic Typing, naming, imports, exports, duplicates, or corrections.

• I. Subject to the rules requiring payment of late fees, all fees are due at the time of the submittal of the applicable form or request to The Jockey Club. The Fee Schedule sets forth each submittal to The Jockey Club for which there is a fee and the amount of each fee. In the event any person fails to pay a fee owed to The Jockey Club, then The Jockey Club may apply any payment subsequently received from that person to the outstanding fees owed by that person to The Jockey Club.

• J. Registration applications and other materials of any kind provided to The Jockey Club or its designee in connection with the registration of a horse, or otherwise pursuant to the Principal Rules and Requirements of The American Stud Book, shall become the sole and exclusive property of The Jockey Club for any and all purposes. The Jockey Club shall have no obligation to return any such items to the owner of the horse or to any other person or entity.

• K. With respect to Digital Certificates of Foal Registration, errors or required updates in the assignment of a Digital Certificate may be corrected based upon evidence and assurances as The Jockey Club may require.

• L. Neither the use of the term "owner" in these Rules nor the listing of an owner on the Digital Certificate shall be evidence (a) that the person identified as owner actually holds legal title over the particular horse or (b) that the person identified as owner has the right to manage a particular horse's Digital Certificate unless such person is the Certificate Manager for such horse.

• M. The term "Principal Rules and Requirements of The American Stud Book" includes Sections I through VII and the Fee Schedule, which may be amended by The Jockey Club at its discretion from time to time.

1. 1. Reporting live foal information
   
   This report must be filed no later than 30 days after the foaling date.


2. 2. Reporting no foal information
   
   This report must be filed no later than 30 days after the projected foaling date or in January if the Mare was not bred (mated).

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