The American Stud Book Principal Rules and Requirements
Section I
TABLE OF CONTENTS
Section II
Section III
Section IV
Section V
Section VI
Section VII
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Owners, breeders and/or their authorized agents are responsible for being familiar with the rules and
requirements of The American Stud Book.
Amendments and new rules are available on this website.
Section II
LOCATION OF OFFICES AND AVAILABILITY OF FORMS AND INFORMATION
The Jockey Club (Registry)
821 Corporate Drive
Lexington, Kentucky 40503-2794
Telephone: (859) 224-2700
Registration Services: (800) 444-8521
FAX: (859) 224-2710
The Jockey Club
40 East 52nd Street
New York, New York 10022
Telephone: (212) 371-5970
FAX: (212) 371-6123
All Registry office forms and current fee schedules are available from the Registration Services Department in the Lexington, Kentucky, office.
Canada:
The Jockey Club of Canada
P.O. Box 66
Station B
Etobicoke, Ontario M9W 5K9
Telephone: (416) 675-7756
FAX: (416) 675-6378
Availability of forms and information only.
Section III
GLOSSARY OF TERMS
The American Stud Book
The American Stud Book is the registry maintained by The Jockey Club
for all Thoroughbreds foaled in the United States, Puerto Rico and Canada
and for all Thoroughbreds imported into the United States, Puerto Rico and
Canada from countries that have a stud book approved by The Jockey Club and
the International Stud Book Committee.
Age of a Horse
Age of the Thoroughbred: For the purpose of determining age, the date of birth for all Thoroughbreds is deemed to be January 1 of the year of foaling.
Foal: A young horse of either sex in its first year of life.
Suckling: A foal of any sex in its first year of life while it is
still nursing.
Weanling: A foal of any sex in its first year of life after being
separated from its dam.
Yearling: A colt, filly or gelding in its second calendar year of
life (beginning January 1 of the year following its birth).
Two-Year-Old: A colt, filly or gelding in its third calendar year
of life (beginning January 1 of the year following its yearling year).
Breeding Practices Not Approved by The Jockey Club
Artificial Insemination: The process of depositing semen into the
reproductive tract of a broodmare in order to get a broodmare in foal (pregnant)
without the physical mounting by a stallion.
Cloning: Any method by which the genetic material of an unfertilized
egg or an embryo is (i) removed, (ii) replaced by genetic material taken from
another organism, (iii) added to with genetic material from another organism,
or (iv) otherwise modified by any means in order to produce a live foal.
Embryo Transfer (Transplants): The method whereby a developing embryo
or unfertilized egg is removed from its natural dam and implanted into the
reproductive tract of either the natural dam or a host dam for a portion of
the gestation period in order to produce a live foal.
Breeding Terminology
Bred (Mated): Any filly or mare that has undergone the physical act
of breeding (mating).
Bred (Area Foaled): The term "bred" is sometimes used to describe
the location where a foal was born, i.e., Kentucky bred, New York bred, etc.
Breeder: The breeder of a foal is the owner of the dam at the time
of foaling, unless the dam was under a lease or foal-sharing agreement at
the time of foaling. In that case, the person(s) specified by the terms of
the agreement is (are) the breeder(s) of the foal.
Stallion: A male horse that is used to produce foals.
Sire: A male horse that has produced, or is producing, foals.
Broodmare: A filly or mare that has been bred (mated) and is used
to produce foals.
Dam: A female horse that has produced, or is producing, foals.
Maiden: A filly or mare that has never been bred (mated).
In Foal (Pregnant) Broodmare: A filly or mare that was bred (mated),
conceived and is currently in foal (pregnant).
Aborted: A term used to describe a broodmare that has been pronounced
in foal (pregnant) based on an examination of 42 days or more post breeding
(mating) and lost her foal prematurely; or a broodmare from whom an aborted
fetus has been observed.
Barren (Not Pregnant): A term used to describe a filly or mare, other
than a maiden mare, that was bred (mated) and did not conceive during the
last breeding season.
Breeding (Mating): The physical act of a stallion mounting a broodmare
with intromission of the penis and ejaculation of semen into the reproductive
tract.
Gender of a Horse
Colt: An entire male horse four years old or younger.
Horse: When reference is made to gender, a "horse" is an entire male
five years old or older.
Ridgling ("rig"): A lay term used to describe either a monorchid
or cryptorchid.
Cryptorchid: A male horse of any age that has no testes in his scrotum
but was never gelded (the testes are undescended).
Monorchid: A male horse of any age that has only one testicle in
his scrotum (the other testicle was either removed or is undescended).
Gelding: A male horse of any age that is unsexed (had both testicles
removed).
Filly: A female horse four years old or younger.
Mare: A female horse five years old or older.
Thoroughbred
A Thoroughbred is a horse that has satisfied the rules and requirements set
forth herein and is registered in The American Stud Book or in a Foreign
Stud Book approved by The Jockey Club and the International Stud Book Committee.
United States
The United States includes the 50 states, the District of Columbia, and the
insular territories and possessions of the United States of America.
Interactive RegistrationTM
An internet site where breeders, owners and authorized agents can submit registration forms, check
registration status and browse the Online Names Book.
Genetic Typing
The process of determining the genetic factors present in a blood or DNA sample.
Section IV
COLOR GUIDE
The following colors are recognized by The Jockey Club:
Bay:
The entire coat of the horse may vary from a yellow-tan to a bright auburn.
The mane, tail and lower portion of the legs are always black, unless white
markings are present.
Black:
The entire coat of the horse is black, including the muzzle, the flanks, the
mane, tail and legs, unless white markings are present.
Chestnut:
The entire coat of the horse may vary from a red-yellow to a golden-yellow.
The mane, tail and legs are usually variations of the coat color, unless white markings
are present.
Dark
Bay/Brown: The entire coat of the horse will vary from a brown, with
areas of tan on the shoulders, head and flanks, to a dark brown, with tan areas
seen only in the flanks and/or muzzle. The mane, tail and lower portion of the
legs are always black, unless white markings are present.
Gray/Roan: The Jockey Club has combined these colors into one color
category. This does not change the individual definitions of the colors for
gray and roan and in no way impacts the two-coat color inheritance principle
as stated in Rule 1(E).
Gray:
The majority of the coat of the horse is a mixture of black and white hairs.
The mane, tail and legs may be either black or gray, unless white markings are
present.
Roan:
The majority of the coat of the horse is a mixture of red and white hairs or
brown and white hairs. The mane, tail and legs may be black, chestnut or roan,
unless white markings are present.
Palomino: The entire coat of the horse is golden-yellow, unless white markings are present. The mane
and tail are usually flaxen.
White:
The entire coat, including the mane, tail and legs, is predominantly white.
Section V
RULES FOR REGISTRATION, GENETIC TYPING AND PARENTAGE
VERIFICATION
7. TRANSFER AND REPORT OF OWNERSHIP; OWNERSHIP DISPUTES
- 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 RegistrationTM at www.registry.jockeyclub.com.
- 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(A), (B), 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 ("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. Before completing the sale, the new owner should
compare the description on the Certificate of Foal Registration with
the actual markings, including cowlicks, found on the horse.
8. CORRECTION OF CERTIFICATE OF FOAL REGISTRATION
- A. To obtain a Corrected Certificate of Foal Registration,
the following must be submitted to the Registry Office:
- 1. A check or money order payable 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, 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
- 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.
9. DUPLICATE CERTIFICATE OF FOAL REGISTRATION
- 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. A check or money order payable 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.
10. EXPORT REQUIREMENTS
- 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. A check or money order payable 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 RegistrationTM 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 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 pay an additional fee (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 and its sire or dam was not exported
in accordance with Rule 10, and 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.
11. IMPORT REQUIREMENTS
- A. Horses bred 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. A check or money order payable 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 RegistrationTM 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 should be relieved from the one-year registration requirement; and
- 2. The Jockey Club determines that the applicant
has sufficiently demonstrated mistake, inadvertence, excusable neglect
or other circumstances which justify late registration; and
- 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).
12. 30-DAY FOREIGN RACING PERMIT
- A. A 30-Day Foreign Racing Permit
is a permit issued by the Registry Office of The Jockey Club entitling
foreign Thoroughbreds to race in the United States, Puerto Rico or Canada
for a period of not longer than 30 days.
- B. To obtain a 30-Day (Foreign)
Racing Permit, the owner or broker must cause the exporting country's
registry to submit directly to The Jockey Club:
- 1. The Stud Book Certificate or Export Certificate containing
the written description of the markings on the horse including the
exact location of the head and neck cowlicks, or if neither of these
documents are available at that time, a written confirmation of
the identity of the horse from the exporting country's Stud Book
Authority;
- 2. A certified copy of the horse's complete racing record.
- C. The owner or broker of the horse
must submit the following directly to The Jockey Club Registry Office:
- 1. A check or money order payable 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;
- 3. 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. The Passport Book, if applicable.
- D. A 30-Day Foreign Racing Permit
shall expire upon the expiration date on the permit or earlier if the
Thoroughbred leaves the country prior to the expiration date.
- E. In the event a Thoroughbred with a 30-Day Foreign Racing Permit
remains in the United States, Puerto Rico or Canada more than 30 days,
the owner or authorized agent must apply for a Certificate
of Foreign Registration and all import requirements must be satisfied
as stated in Rule 11.
13. LEASES AND FOAL-SHARING AGREEMENTS
When a Thoroughbred, through contract or agreement, is leased or entered
into foal sharing, it must be reported to The Jockey Club each year. The
lease of a stallion should be reported by checking the lessee box on the Report of Mares Bred form. For a broodmare, a
lease or foal-sharing agreement must be reported by checking the lessee or foal-sharing box on the Live Foal Report.
14. STALLION REPORTS (REPORT OF MARES BRED)
- A. All stallion owners must report
each Thoroughbred broodmare that was bred 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. This form may also be submitted
through Interactive RegistrationTM at www.registry.jockeyclub.com.
Failure to comply with this deadline will result in delays in the issuance
of Service Certificates. Mares bred 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 should also be submitted.
- C. Based on the information on
the Report of Mares Bred form submitted by August 1, The Jockey Club
will forward to the stallion owner, lessee or authorized agent a preprinted
Service Certificate for each broodmare bred, 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 RegistrationTM at www.registry.jockeyclub.com.
The Service Certificate is required to register a foal.
Service Certificates will not be issued unless a 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.
15. LIVE FOAL/NO FOAL REPORTS (MARE REPORTS)
- 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 RegistrationTM at www.registry.jockeyclub.com.
- B. In the case of a live foal, a fully
completed and signed Live Foal Report should 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 intended birth of the
foal. If the mare was not bred submit the No Foal Report in January.
16. DEATH REPORTS
If a Thoroughbred, or foal for which registration is pending, has died, the owner or authorized
agent should promptly report that information to The Jockey Club Registry Office by submitting a
completed Report of Deaths form, or through Interactive RegistrationTM
at www.registry.jockeyclub.com, and returning the Certificate of Foal Registration,
if issued. Additionally, The Jockey Club will accept death reports from a racetrack recognized by The Jockey Club.
17. GELDING REPORTS
If a Colt or Horse has been gelded, the owner or authorized agent
should promptly report that information to The Jockey Club Registry Office by submitting
a completed Gelding Report or by furnishing the information through Interactive RegistrationTM at www.registry.jockeyclub.com.
Additionally, The Jockey Club will accept gelding reports from a racetrack
recognized by The Jockey Club.
18. SOLD AS RETIRED FROM RACING
- 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 sale:
- 1. The Certificate of Foal Registration;
- 2. A completed Sold as Retired from Racing form bearing notarized signatures of both the owner / owner’s agent and the purchaser / purchaser’s agent;
- 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 purchaser / purchaser’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. Certificates of Foal Registration for Thoroughbreds that were recorded by the Registry Office as Sold Without Pedigree prior to March 2013 shall remain cancelled.
19. DECEPTIVE PRACTICES; CRUELTY TO A HORSE; MEDICATION VIOLATIONS
20. APPEALS AND HEARINGS
- 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, e-mail, 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 which that 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 information 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.
- 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.
Any Person requesting a hearing may appear personally and/or through counsel authorized
to act on such Person's behalf, and may present witnesses and other evidence. The Registrar/Officer
of The Jockey Club may appear with counsel and may testify and present witnesses and other evidence.
Any other person having an interest in the subject matter may appear at the hearing if the Hearing
Officer determines that such person might materially assist in the determination of the matter.
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 any evidence which he considers to be
reliable and relevant, if not unduly repetitious, including testimony
which would be hearsay if presented in a court 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.
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 3 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 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.
21. GENERAL RULES
- A. Owners, breeders and
authorized agents are responsible for being familiar 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.
- 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
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 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 appropriate
office of The Jockey Club; or (ii) if transmitted by United States Mail
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 which 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).
- F. 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.
- G. The Jockey Club may decline
to process any material received from an owner 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, genetic typing, naming, imports, exports,
duplicates or corrections.
- H. 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.
- I. 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.
- 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. 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.
Section VI
DEADLINES
Report of Mares Bred (Stallion Reports):
This report should be filed by August 1 of the breeding year.
Live Foal/No Foal Report (Mare Reports)
- Reporting live foal information
This report should be filed no later than 30 days after the foaling date.
- Reporting no foal information
This report should be filed no later than 30 days after the intended foaling date or in January if the mare was not bred.
Foal Registration:
All requirements must be completed by one year from the foaling date, including genetic typing, to avoid paying an additional fee.
Death:
Should be reported within 30 days after the death.
Export:
All requirements must be met within 60 days after the horse’s departure to avoid paying an additional fee.
Foreign Registration:
All requirements must be met within 60 days after the horse’s arrival to avoid paying an
additional fee.
Geldings:
Should be reported immediately.
Naming:
All foals must be named by February 1 of the two-year-old year to avoid paying a fee.
Sold as Retired from Racing:
Should be reported within 60 days after the date of the sale.
Section VII
ALPHABETICAL INDEX
To find information on topics, look in section(s) and rule(s) listed to the right of topics.
TOPIC |
SECTION |
RULE |
Age (definitions) |
III |
|
Age (determination) |
V |
|
Altered Certificate |
V |
19 (A) |
American Stud Book (defined) |
III |
|
Appeals and Hearings |
V |
20 |
Artificial Insemination |
III |
|
|
V |
1 (D) |
Barren (defined) |
III |
|
Bred (defined) |
III |
|
Breeder (defined) |
III |
|
Breeding (defined) |
III |
|
Breeding Practices Not Approved |
III |
|
Breeding Status (definitions) |
III |
|
Mare Reports of Breeding Status |
V |
15 |
Broodmare (defined) |
III |
|
(see “Mares”) |
|
|
Certificates, Cancellation of |
V |
21 (C) |
Revocation of |
V |
5(E) |
|
|
21 (C) |
Certificates, Types of |
|
|
Corrected |
V |
8 |
Duplicate |
V |
9 |
Export |
V |
10 |
Foal Registration |
V |
2 |
Foreign |
V |
11 |
Cloning |
III |
|
|
V |
1 (D) |
Coat Color Inheritance Principles |
V |
1 (E) 3 |
Color Guide |
IV |
|
Corrected Certificate |
|
|
of Registration (within 6 months) |
V |
4 (B) |
Counterfeited, Stolen, Forged |
|
|
Certificates |
V |
19 (A) |
Cruelty |
V |
19 (A) 4 |
Dead Foal (no live foal) |
V |
15 (C) |
Deadlines |
VI |
|
Responsibility |
V |
21 (B) |
Meeting of |
V |
21 (D) |
Death Reports |
V |
16 |
Deceptive Practices |
V |
19 |
Defaced Certificate |
V |
18 (C) |
Destroyed or Lost Certificates |
V |
9 (A) |
Double Qualifying Sires |
V |
1 (E) |
Duplicate Certificate |
|
|
of Foal Registration |
V |
9 |
Eligibility for Foal Registration |
V |
1 |
Foreign Registration |
V |
11 (D) |
Stud Books Unapproved |
V |
10 (D) |
Embryo Transfer (transplants) |
III |
|
|
V |
1(D) |
Export Requirements |
V |
10 |
GeneticTyping |
V |
5 (A) |
|
|
10 (B,D,E) |
Fee to Register a Foal |
V |
4 |
Fee Schedule |
V |
4 (B) |
|
|
21 (K) |
Foal Registration Process |
V |
2 |
Foal-Sharing Agreement and Leases |
V |
13 |
Foreign Registration |
V |
11 |
|
|
12 (E) |
Forged, Stolen, Counterfeited |
|
|
Certificates |
V |
19 (A) |
Forms, Availability of |
II |
|
Gelding Reports |
V |
17 |
Gender/Sex (defined) |
III |
|
General Rules |
V |
21 |
Genetic Typing/Parentage |
|
|
Verification/Registration |
V |
1 |
|
|
2 |
Genetic Typing Requirements |
V |
5 |
|
|
8 (B) |
|
|
9 (A) |
|
|
10 (B,D,E) |
Glossary of Terms |
III |
|
Good Standing |
V |
21 (G) |
Hearings, Appeals and |
V |
20 |
Import Requirements |
V |
11 |
Internet (registry.jockeyclub.com, jockeyclub.com) |
|
Late Registration |
|
|
Foal |
V |
1 (F) |
Foreign |
|
|
Export |
V |
10 (A) |
Import |
V |
11 (D) |
Leases and Foal-Sharing Agreement |
V |
13 |
Location of Offices |
II |
|
Lost or Destroyed |
|
|
Certificate of Foal Registration |
V |
9 (A) |
Mailing Address |
V |
21 (E) |
Mares |
|
|
Genetic Typing Requirements |
V |
5 (A) |
Mare Bred to Two or More Stallions |
V |
1 (E) |
Mare Reports of Breeding Status |
V |
15 (A) |
Live Foal |
V |
15 (B) |
No Foal |
V |
15 (C) |
Medication Violations |
V |
19 (A)4 |
Microchip |
V |
2 (C,D) |
Misrepresentation of Information |
V |
19 |
Multiple Birth (twins) |
V |
2 (F) |
Naming |
V |
6 |
Changing Names |
V |
6 (D) |
Criteria for Naming |
V |
6 (A,E,F) |
Deadline |
V |
6 (B) |
Foreign Language Names |
V |
6 (A) |
Permanent Names |
V |
6 (F)13 |
Reserving Names |
V |
6 (C) |
Ownership Disputes |
V |
7 (C) |
|
|
21 (F) |
Ownership Reporting or Changing |
V |
7 |
Parentage Verification |
V |
1 (B) |
|
|
2 |
|
|
5 (E) |
|
|
8 (B) |
|
|
9 (A) |
Parentage Verification/Registration/ |
|
|
Genetic Typing |
V |
2 |
|
|
10 (E) |
Passport Book |
V |
10 (A,B) |
|
|
11 (C) 4 |
|
|
12 (C) 4 |
Pedigree |
V |
1 (C) |
Permanent Names |
V |
6 (F) 13 |
Racing Permit |
|
|
Domestic |
V |
3 |
Foreign |
V |
12 |
Racing Record |
V |
11 (B) |
|
  |
12 (B) |
Refunds |
V |
4 (C) |
Registration, Eligibility for |
V |
1 |
Registration/Genetic Typing/ |
|
|
Parentage Verification |
V |
2 |
Report of Mares Bred |
V |
14 |
Report of Ownership |
V |
7 (A,B,E) |
Revocation of Certificate |
V |
5 (E) |
|
|
21 (C) |
Rules and Requirements |
|
|
Responsibility |
V |
21 (A) |
Sale and Transfer |
V |
7 |
Service Certificate |
V |
2 (D,F) |
|
|
7 (C) |
|
|
10 (B) |
|
|
11 (B) |
|
|
14 (A,C,D) |
Sex/Gender (defined) |
III |
|
Sheriff’s Sale |
V |
9 (B) |
Sold as Retired from Racing |
V |
18 |
Stallions |
|
|
Genetic Typing |
V |
5 (A) |
Stallion Reports |
V |
14 |
Stolen, Counterfeited, |
|
|
Forged Certificates |
V |
19 (A) |
Stud Book Certificate |
V |
11 (B) |
|
|
12 (B) |
30-Day Foreign Racing Permit |
V |
12 |
Thoroughbred (defined) |
III |
|
Transfer and Sale |
V |
7 |
Transplants, Embryo Transfer (defined) |
III |
|
Twin Foals |
V |
2 (F) |
United States (defined) |
III |
|
Violation of Rules |
V |
19 (A) |
Website |
|
|
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