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REGISTRATION RULES AND REGULATIONS 200.

Stud Book 201.

Registration 202.

Registration Procedure 203.

To Obtain a Numbered Certificate 204.

To Obtain an Appendix Certificate 205.

Genetic Defects and Undesirable Traits 206.

Extraordinary Registration 207.

Authorizations 208.

Stallion Breeding Report 209.

Artificial Insemination, Cooled Transported Semen and Frozen Semen 210.

Genetic Testing 211.

Breeder and Breeder’s Certificate 212.

Embryo/Oocyte Transfer/Fertilized Egg 213.

Age of a Horse 214.

Naming a Horse 215.

Change of Horse’s Name 216.

Geldings – Spayed Mares 217.

Scars and Brands 218.

Re-registration Certification 219.

Correction of a Registration Certificate 220.

Duplicate Certificate 221.

Replacement Certificate 222.

Fees 223.

Syndicates 224.

Transfer of Ownership 225.

Leases 226.

Death of a Horse and Horses Sold without Papers 227.

Horses Not Eligible for Registration 228.

Colors 229.

Markings SECTION II.

Registration Rules and Regulations 200.

STUD BOOK.

The Official Stud Book of the American Quarter Horse Association shall consist of two parts: (a) Numbered, which refers exclusively to horses registered in the numbered part of the Official Stud Book, composed of: (1) Horses foaled January 1, 1962, or later and issued Numbered certificates by AQHA; (2) Horses foaled prior to January 1, 1962, and issued Permanent certificates by AQHA; (3) Horses foaled prior to January 1, 1962, and issued Tentative certificates by AQHA; and (b) Appendix, composed of: (1) New Appendix, for horses foaled on or after January 1, 1962; beginning January 1, 1978, each Appendix certificate will be assigned an Appendix code for identification purposes. (2) Old Appendix, for horses foaled prior to January 1, 1962. (A) All foals of 1961 and prior years in the old appendix had the rights and privileges of securing a number by having both parents acquire an AQHA number equivalent to a permanent number, unless this horse previously had been rejected on conformation inspection; by qualifying for one of the Registers of Merit that is not limited (such as age or amateur status of contestant); or by passing conformation inspection. (B) Any stallion or mare listed in the old appendix, which could not advance because of lack of bloodlines, American Quarter Horse conformation or inability to qualify for a Register of Merit, was eligible to compete in any AQHA-approved event.

Foals could not be registered, however, from stallions or mares in this category. (C) Any gelding listed in the old appendix was eligible to compete in any AQHA-approved event. 201.

REGISTRATION.

Assignment of Burden of Persuasion for Registration Eligibility.

In all proceedings concerned with or affecting the registrations and records of AQHA, and in all disciplinary actions, the burden of resolving any doubt as to the true parentage, identification of a horse or qualification for registration, including listing in the New Appendix, shall be upon the applicant, owner, lessee or other member or members involved.

The determination, decision and action of the Executive Committee upon all such questions shall be final and binding upon all parties.

As the above specified party or parties have the burden of persuasion, by failure to present relevant evidence concerning such questions to AQHA or at a hearing scheduled to resolve the question, they shall be deemed to have waived their right to later present such evidence to a court of law, if they seek judicial review of AQHA’s action. (a) Burden of Persuasion.

The burden of persuasion of a controverted registration fact is that amount of evidence admissible under AQHA’s rules pertaining to disciplinary procedure, which will convince an ordinary prudent person. (b) Parentage Testing.

Genetic tests may be required as the Executive Committee determines, including, but not limited to, questions of true parentage or identification of horses.

Taking into consideration the results of such tests, and other information as may 45 be available, the Executive Committee may authorize such corrections in the records as may be determined necessary or appropriate. (c) Conditional Issuance.

The certificate evidencing registration in the Numbered Section of the Stud Book or a listing in the New Appendix is issued on the following condition, which shall be printed on the face thereof: “The certificate is issued in reliance on the written application signed and attested by the individual specified by AQHA rules; and upon the express condition that AQHA has the privilege to correct and/or cancel the certificate for cause under its rules and regulations.” (d) Registration of Offspring.

In order to protect innocent, third party owners of offspring that are the product of breedings of previously eligible parents taking place prior to date of cancellation of the certificate of a parent or parents, such offspring are eligible for registration; however, a previously issued certificate shall be recalled to designate the pedigree behind the cancelled parent/s as “unknown”. 202.

REGISTRATION PROCEDURE. (a) To register a horse with AQHA, the record owner or record lessee of the foal’s dam at time of foaling (at time of breeding if an embryo transfer foal) is responsible for submitting a properly completed and signed registration application, a completed and signed breeder’s certificate, and the correct registration fee as specified in rule 222.

In the event a frozen embryo permit is used to register a foal, the owner of the permit shall sign the registration application as the owner at time of foaling. (b) Each registration application must be completed and signed by the owner of this foal’s dam at the time of foaling (at time of breeding if an embryo transfer foal) by the dam’s lessee (if a record of the lease is on file with AQHA) or by a person authorized to sign for the owner or lessee (if a record of the authorization is on file with AQHA) for the foal to be eligible for registration.

In the event a frozen embryo permit is used to register a foal, the owner of the permit shall sign the registration application as the owner at time of foaling. (c) If one parent of the horse being registered is a Thoroughbred, a photocopy of both sides of that Thoroughbred’s registration certificate issued by The Jockey Club of North America, or any Thoroughbred registry recognized by The Jockey Club of North America, must be on file in AQHA’s office to show correct ownership so any required information may be verified.

Thoroughbreds used for breeding after January 1, 1997, must comply with AQHA white requirements found in Rule 205(d) and AQHA may require four color photographs clearly showing all white markings.

As to subsequent registration applications for offspring, if the application indicates an ownership change of the Thoroughbred, an additional photocopy of both sides of its registration certificate showing such change in ownership must be filed with AQHA.

Proper fees as specified in rule 222 must be remitted. (d) Registration applications for horses foaled in any of the following countries, Austria, Belgium, Brazil, Denmark, Dominican Republic, France, Germany, Great Britain, Hungary, Israel, Italy, Japan, Luxembourg, South Africa, Sweden, Switzerland and The Netherlands should be submitted to the recognized International Association for processing and submission to AQHA for approval.

Properly completed registration applications received by AQHA 46 without evidence of such processing will require notification by AQHA to the recognized International Association that such application has been received and processed.

Applicant shall not be required to pay an additional fee, other than usual AQHA registration fees, for this service and shall not be required to be a member of the International Association; however, those applicants who are not AQHA members will be subject to AQHA’s non-member fee schedule. (e) Each horse will be registered to the name of the record owner (or record lessee) of the dam at the time when this horse was foaled (if foal is result of embryo transfer refer to Rules 211 and 212), and that owner or lessee (or authorized agent) must sign the registration application.

That record owner or lessee must have a current membership when the application is submitted or a non-member registration fee will be required. (f) If, after the horse is foaled, changes of ownership occur, then each change requires a properly completed and signed transfer report with correct transfer fee as specified in rule 222. (g) When a horse is inspected for possible excessive white markings, the owner will pay AQHA a $50 inspection fee prior to the inspection.

If the horse is found to be within the limitations described in rule 205(d) and its actual markings are shown to be as indicated on the registration application and other material submitted, the inspection fee will be refunded.

Such inspection will be made on regular inspection tour only. (h) When a registration application shows the horse to be registered has white markings beyond the prescribed lines in rule 205(d), excessive white markings or white spot or spots, pictures of the horse shall be required and the horse may be inspected to determine if parentage verification is required before the application is processed. (i) Parentage must be verified through genetic testing before a foal can be registered if : (1) Either of the parents was less than 2 years of age at time of conception. (2) It was the result of an embryo/oocyte transfer. (3) It was conceived by the use of cooled transported semen. (4) It was conceived by the use of frozen semen. (5) It was more than 48 months of age at time application for registration is made. (6) Its dam was exposed to more than one stallion within a 30 day time period. (7) It has white markings exceeding the limitations specified in rule 205(d). (8) It is foaled January 1, 2007, or after and is a descendant of Impressive 0767246 as required in rule 205(c). (9) The Executive Committee has justifiable cause to question its parentage. (j) A genetic type must be on file with AQHA for any mare foaled on or after January 1, 1989, prior to the registration of any foal. (1) Proper fees as per rule 222 must be remitted. (2) Refer to rules 209(e), 212(a)(2) and 304(c). 203.

TO OBTAIN A NUMBERED CERTIFICATE.

Except as otherwise limited on proper compliance with the rules and regulations 47 of AQHA, a stallion, mare, gelding or spayed mare may be registered in the Numbered section of the Stud Book that: (a) Has a numbered American Quarter Horse sire and a numbered American Quarter Horse dam.

Such horse, when registered, shall receive a registration number.

There shall be no inspection for conformation for such registration.

For horses foaled on or after January 1, 1992, however, any undesirable trait or condition commonly considered a ‘Genetic Defect’ as listed in rule 205 shall be recorded on the registration certificate. (b) Previously has been listed in the New Appendix, and the following conditions are met: (1) the horse has qualified for Register of Merit in AQHA-approved events not restricted in any way (youth and/or amateur Register of Merit do not qualify a horse for advancement); (2) AQHA has received a signed statement from a licensed veterinarian certifying that the horse does not have a parrot mouth (see rule 205) and (3) if the horse is a stallion, AQHA has received a signed statement from a licensed veterinarian certifying it is not cryptorchid (see rule 205).

No horse having a genetic defect or undesirable trait as outlined in Rule 205 is eligible for advancement. (c) When a stallion or mare previously listed in the New Appendix attains a registration number, any offspring listed in the New Appendix shall on that date become eligible for advancement to the numbered registry.

Advancement of such offspring to the numbered registry shall be on request from the record owner and accompanied by the appendix certificate and payment of the advancement fee, or (d) Previously has been listed in the Old Appendix and which (1) has had both parents acquire an AQHA number, unless this horse already has been rejected on conformation inspection; or (2) has qualified for one of the Registers of Merit; or (3) has passed conformation inspection.

Such horse then will receive a registration number. (e) When a horse becomes eligible for advancement from the Appendix or New Appendix, it is necessary to surrender the Appendix or New Appendix certificate of registration before a numbered certificate can be issued.

If the record owner is unable to surrender the Appendix or New Appendix certificate because such certificate has been lost or destroyed, such owner or authorized agent must provide AQHA with a notarized statement giving satisfactory cause and reason why the certificate cannot be surrendered, along with four current full-view photographs of the horse, both sides, front and rear, whereupon AQHA may issue the numbered certificate. (f) Was foaled in an international country having a Quarter Horse Association recognized by the American Quarter Horse Association that operates its own stud book; was issued a registration certificate by such international association; and which traces to a minimum of 93.75percent (15/16) lineage to horses issued numbered registration certificates by the American Quarter Horse Association.

To receive such numbered certificate from the American Quarter Horse Association, the horse’s owner must make application through the recognized international association in the country he resides to supply the American Quarter Horse Association all required proof of breeding and identification.

Registration fee shall be twenty-five dollars ($25), or sixty-five dollars ($65) if owner does not have a current membership.

This procedure is applicable only to horses that were foaled after July 31, 1975. 48 (g) Proper fees as per rule 222 must be remitted. 204.

TO OBTAIN AN APPENDIX CERTIFICATE.

Except as otherwise limited on proper compliance with the rules and regulations of AQHA, a stallion, mare, gelding or spayed mare that has one parent with an AQHA number and the other parent registered in the New Appendix, The Jockey Club of North America or any Thoroughbred registry recognized by The Jockey Club of North America may be listed in the New Appendix. (a) There shall be no inspection for conformation for such registration.

For horses foaled on or after January 1, 1992, however, any undesirable trait or condition commonly considered a ‘Genetic Defect’ as listed in rule 205 shall be recorded on the registration certificate. (b) When application is made to register a foal sired by an unnamed Thoroughbred stallion or out of an unnamed Thoroughbred mare, that stallion or mare must be named with approval of The Jockey Club before the registration of the foal can be completed. (c) Horses listed in the New Appendix shall be eligible to compete in AQHA-approved events subject to meeting the requirements established for these events. (d) Any stallion or mare listed in the New Appendix that cannot qualify for at least one of the Registers of Merit shall remain in the New Appendix, unless both parents have qualified for a numbered American Quarter Horse Association certificate and the foal meets all other requirements. (e) A horse is eligible to receive a new appendix certificate if foaled in an international country with a Quarter Horse Association recognized by the American Quarter Horse Association which operates its own stud book; was issued a registration certificate by such association; and which traces to a minimum of 93.75 percent (15/16) lineage to horses registered with the American Quarter Horse Association and the Jockey Club of North America or any Thoroughbred registry recognized by the Jockey Club of North America.

To receive such new appendix certificate from the American Quarter Horse Association, the horse’s owner must make application through the recognized international association in the country he resides to supply the American Quarter Horse Association all required proof of breeding and identification.

Registration fee shall be $25, or $65 if owner does not have a current membership.

This procedure is applicable only to horses that were foaled after July 31, 1975. (f) Proper fees as per rule 222 must be remitted. 205.

GENETIC DEFECTS AND UNDESIRABLE TRAITS.

The conditions listed below and commonly considered undesirable traits or genetic defects by the Board of Directors shall be indicated on the registration certificate for horses foaled on or after the indicated date, once the condition is known.

Upon discovery, the owner shall immediately report such condition to AQHA for marking its condition on the registration certificate as provided below.

Failure to timely report these conditions may subject the owner to possible disciplinary action.

One or more of these conditions does not prevent a horse from being used as breeding stock or from participating in AQHAapproved events, subject to rules of the individual event: (a) Parrot Mouth – either overshot or undershot, defined by the American Association of Equine Practitioners as “no occlusal contact between the upper and lower central incisors.” Designation 49 effective for foals born on or after January 1, 1992. (b) Cryptorchid – meaning less than two visible testicles descended into the scrotum.

Designation effective for foals born on or after January 1, 1992. (c) Hyperkalemic Periodic Paralysis (HYPP) – designation effective for foals born on or after January 1, 1998.

A muscular disease caused by a hereditary genetic defect that leads to uncontrolled muscle twitching or profound muscle weakness, and in severe cases, may lead to collapse and/or death.

According to research, this condition exists in certain descendants of the stallion Impressive, AQHA registration number 0767246. (1) The following notification shall be placed on registration certificates of foals descending from the stallion Impressive or any other bloodline determined to carry the HYPP gene: “This horse has an ancestor known to carry HYPP, designated under AQHA rules as a genetic defect.

AQHA recommends testing to confirm presence or absence of this gene.” When the parent(s) tracing from the HYPP line has tested negative for HYPP with an appropriate designation appearing on their registration certificate, the above notification is not required, and will, instead, be substituted by the designation “N/N”; or, after testing negative for the gene, the notification may be substituted by the designation “N/N” upon request of the owner at his or her expense. (2) Mandatory testing for HYPP.

At such time as AQHA requires mandatory parentage verification of any foals to be registered in either the numbered or appendix registry, (see 202(i)) any foal tracing to bloodlines known to carry the HYPP gene shall be tested for HYPP at the time the genetic testing for parentage is performed.

The results will be designated on the registration certificate in lieu of the above notification.

Such testing will not be necessary if the foal’s closest ancestors, tracing to the HYPP line, have been tested negative and designated on their registration certificates, these foals will automatically be designated “N/N” on their registration certificate. (3) Effective with foals born on or after January 1, 2007, all descendants of the stallion Impressive, AQHA registration number 0767246, shall be required to be parentage verified and HYPP tested, subject to the conditions in (c)(2) above.

Any foal testing homozygous positive for HYPP (H/H) will not be eligible for registration with AQHA. (d) White Markings: A horse having white markings with underlying light skin beyond any one of the following described lines shall be eligible for registration by AQHA only if it is parentage verified through DNA typing the offspring, its sire and its dam.

Breeders should be aware that the American Quarter Horse, while long recognized, identified and promoted as a solid-colored horse, can and does occasionally produce offspring with overo paint characteristics.

Such markings are uncharacteristic of the breed and are considered to be undesirable traits.

The following notification shall be placed on registration certificates of horses exceeding these marking limitations: “This horse has white markings designated under AQHA rules as an undesirable trait and uncharacteristic of the breed.” (1) A line parallel with the ground drawn around the front leg at the point halfway between the point of the elbow (the center of the olecranon tuberosity or proximal epiphysis of the ulna) and the protrusion on the back of the knee (the accessory carpal 50 bone or lateral styloid process). (2) A line parallel with the ground at the center of the gaskin on the hind legs. (The center of the gaskin shall be defined as an imaginary point on the front of the gaskin equidistant between the stifle joint and the center of the hock.) The top point of reference to be the bony protrusion on the inside (medial) of the stifle region (technically known as the medial condyle of the tibia) and the most prominent bony protrusion at the top and inside of the hock (technically known as the medial malleolus of the tibia). (3) A line around the horse’s neck immediately behind the poll and through the midpoint of the throat latch. (4) Within an area described as two inches on either side of the ventral midline, beginning at a point midway between the front legs and extending to, and including, the sheath and udder. (5) Additionally, there is allowed a single area of white markings with underlying light skin, such that it can be completely covered with a disk one inch in diameter, either free standing on the horse’s body or being a portion of white marking extending past the above prescribed lines. (6) Areas of white, pink or mottled skin located on the horse’s genitalia, including the sheath or udder, in the axillary region (armpits) or inside the hind legs, including the inner surface of the hindquarters up to and including the ventral surface of the tail, and which are not readily visible when the horse is in a standing position are not considered white markings as described in (d) above. 206.

EXTRAORDINARY REGISTRATION (a) The Executive Committee shall have authority to declare eligible for registration as breeding stock only, a horse whose registration certificate has been previously cancelled, but, in the majority opinion of the Executive Committee, is outstanding by performance or produce, and thus worthy of registration as breeding stock, though lacking some technical requirement of AQHA rules to allow it to remain registered. (1) “Outstanding by performance or produce” shall mean that the horse, before its certificate was cancelled, attained the designation of “AQHA Superior Event Horse,” or that one or more of its offspring attained such designation. (2) The Executive Committee shall accept as breeding stock only those horses that have a sire or dam which have a numbered certificate (registered in the numbered section of the Stud Book), and (1) the other parent so registered; or (2) listed in the AQHA New Appendix registry; or (3) registered with The Jockey Club of North America or any Thoroughbred registry recognized by The Jockey Club of North America; or (4) is proven to the satisfaction of the Executive Committee by genetic testing to be eligible by pedigree for a registration status named above. (3) A horse is not eligible for consideration under this rule if it has a parrot mouth, cryptorchid condition or excessive white markings as such conditions are defined by AQHA rules. (b) An owner may make application for consideration under this rule by payment of the requisite fee and submission of such photographs, reports of pedigree substantiation and other supporting materials as the Executive Committee may, from time to time, require. (c) Proper fees as per rule 222 must be remitted. 51 207.

AUTHORIZATIONS (a) When a horse is owned by a company, ranch, farm, club, corporation, university or school, family or partnership of related or unrelated persons, AQHA must have an authorization form on file to indicate who may sign documents for that entity.

Written authorization is also required when an individual owner appoints another individual to sign in his or her behalf.

Authorization forms are available upon request from AQHA at no charge. (b) On all AQHA documents, except transfers as limited in rule 224 (d), AQHA shall recognize the signature of any one of the joint owners of a horse if such owner is named on the horse’s current registration certificate.

Additionally, AQHA shall recognize the signature of any individual partner when that person is shown as an individual in the partnership name. (c) In the case of a minor younger than 18 years of age, AQHA requires a statement from the legal guardian or parent giving the birth date of the child and designating the person(s) signing on behalf of the minor. (d) When the owner of a horse is deceased, AQHA must have legal documentation on file appointing the agent or representative for the estate (letters testamentary, letters of administration, etc.) and bearing the original certification or seal of the clerk of the probate court.

In the event there was not formal probate of the estate, an affidavit of heirship must be completed by the heirs and notarized.

Affidavit of heirship forms are available from AQHA at no charge. (e) Authorization of agent may be cancelled by written notification signed by record owner or record lessee.

Such termination of authorization will take effect on the date received at AQHA. (f) When an authorization is granted by a lessee, that authorization will remain in effect until the date the cancellation of the authorization or termination of lease is received in AQHA’s office. 208.

STALLION BREEDING REPORT (a) The owner, authorized agent or lessee of every American Quarter Horse stallion must make a written report showing the names, registration numbers and breeding date(s) of exposure of all registered American Quarter Horse and Thoroughbred mares exposed to said stallion since the previous November 30, and the owner, authorized agent or lessee of every registered Thoroughbred stallion must make a written report showing the names, registration numbers and breeding date(s) of exposure of all registered American Quarter Horse mares exposed to said stallion since the previous November 30.

Such report must be postmarked or delivered to AQHA on or before November 30 of the breeding year.

Proper fees as per rule 222 must be remitted.

A payment of $30 in addition to the usual filing fees will be required for reports submitted after November 30 of the breeding year.

Such reports for stallions standing south of the equator must be postmarked or delivered to AQHA’s office on or before June 30 of the breeding year, and a payment of $30 in addition to the usual filing fees will be required for reports submitted after June 30 of the breeding year. (b) This report shall include all mares owned by the owner of the stallion as well as mares owned by other parties.

Mares bred with cooled transported semen or frozen semen must be designated on the report.

The report shall be made on a form provided free of charge by AQHA or online at aqha.com. 52 (c) Persons using a retained semen rights permit (refer to rule 209) must file a stallion breeding report or supplemental stallion breeding report listing mares bred using the stored semen by November 30 of the breeding season and pay fees specified in rule 222.

If the report is filed after November 30, a late fee of $30 in addition to the usual filing fee will be required to submit a report after the deadline. (d) Absent verification from an owner or lessee of a stallion indicating otherwise, only one foal can be registered per mare listing on a stallion breeding report.

In order for multiple foals resulting from breedings to a particular mare to be registered, the mare must be listed multiple times (with breeding dates) on the stallion breeding report corresponding to the number of foals sought to be registered.

The requisite per mare fee specified in rule 222 is required for each multiple listing referenced in the preceding sentence, subject to the deadlines listed in rule 208(a) above. (e) Thirty days (30) must elapse between exposure to different stallions for foals to be eligible for registration.

Refer to rule 202(i)(6). (f) If the stallion for which the report is being filed is a Thoroughbred, a photocopy of both sides of that Thoroughbred’s registration certificate issued by The Jockey Club of North America or any Thoroughbred registry recognized by The Jockey Club of North America, must be recorded with the fee in AQHA’s office showing the correct ownership and photographs clearly showing white markings as required by rule 202(c). (g) Proper fees as per rule 222 must be remitted. 209.

ARTIFICIAL INSEMINATION, COOLED TRANSPORTED SEMEN AND FROZEN SEMEN (a) If cooled semen or frozen semen is to be transported for the purpose of breeding a mare or mares at any place other than the premises of collection, the stallion owner or lessee and mare owner must both complete their respective portions of the collection/insemination certificate which must accompany the shipment of cooled semen or frozen semen to the mare owner.

See (c) below. (b) A collection/insemination certificate form will be provided by AQHA, at no charge, to the stallion owner or agent.

The collection/insemination certificate must be completed in part by the stallion owner/lessee and accompany the semen transported to the mare owner or agent.

This certificate is not to be confused with a breeder’s certificate (see rule 211) and cannot be used as such. (c) Upon receiving the semen and the collection/insemination certificate from the stallion owner, the owner or lessee of the mare for which semen is received shall complete and sign the certificate, including the date of insemination.

This certificate (not a breeder’s certificate) shall be sent in time to be received by the AQHA office within 15 days from the date of insemination.

Any subsequent breeding in the same breeding season will require another certificate. (d) The stallion owner or lessee shall clearly distinguish those mares bred using transported cooled semen or frozen semen and those mares bred immediately following collection, hand bred or pasture bred on the Stallion Breeding Report (see rule 208). (e) In the event a stallion owner wishes to sell a stallion, but retain rights to use frozen semen, he may purchase retained semen rights permits for $50 each from AQHA.

The application for purchase must be on a form provided by AQHA.

The application must 53 be signed by the record owner or lessee of the stallion and only the record owner or lessee can purchase retained semen rights permits.

Once a stallion is sold, a former owner or lessee cannot purchase additional permits from AQHA. (1) Each of the retained semen rights permits purchased may be used as the stallion breeder’s certificate for the registration of only one foal.

These permits shall require only the signature of the permit owner.

AQHA will record the number of outstanding permits for each individual stallion and that number will be a matter of public record.

It is the ultimate responsibility of a prospective buyer to confirm with the seller, the number of outstanding permit applications not yet recorded on AQHA records as of the date of sale. (2) The ownership of the retained semen rights permits may be transferred.

Each transfer of ownership of the permit shall be recorded by AQHA.

The rules of transfer of ownership as listed in rule 224 for transfer of ownership of a horse shall apply, except the request to transfer ownership of the permit shall be accompanied by the retained semen rights permit instead of the certificate of registration. (3) Purchaser of the retained semen rights permit is responsible for filing the appropriate stallion breeding report as required by rule 208 and paying the requisite filing fees. (f) Any foal resulting from the use of transported cooled semen or frozen semen must have its pedigree verified by genetic testing, including sire, dam and foal and/or by other genetic testing as AQHA deems necessary, all expense of which shall be the registration applicant’s.

In addition, the Executive Committee has the authority to require parentage verification by genetic testing of all foals born on any premise receiving transported semen. (g) Any foal resulting from the use of transported cooled semen or frozen semen shall not be registered without a transported semen or frozen semen breeder’s certificate (not the breeder’s certificate on the registration application).

Such breeder’s certificates are available at no charge to stallion owners upon request. (h) The Executive Committee has the authority to send representatives to inspect the premises and practices of any person or breeding establishment using artificial insemination and no person shall refuse, upon reasonable request, full access to said premises. (i) When a foal is produced by cooled transported semen or frozen semen, such fact will be listed on its registration certificate. 210.

GENETIC TESTING (a) If there is justifiable cause to question parentage of a foal, the Executive Committee may require the foal, sire and dam to be genetically tested, the expenses of which shall be allocated as the Executive Committee determines.

The results of this test, together with other available information, may be taken into consideration by the Executive Committee in its determination of the foal’s parentage as recognized by AQHA.

Such genetic testing shall be done by an organization approved by AQHA. (b) The owner or lessee of a stallion exposed to one or more mares after January 1, 1998, as reported to AQHA, shall, at his own expense, file with AQHA a written report of the stallion’s genetic type, obtained from a laboratory approved by AQHA, and in accordance with procedures adopted by AQHA.

Presence of an AQHA identifier at the time the sample is obtained is not required.

Once 54 such type is filed with AQHA, it is not necessary to repeat such filing annually, except as requested by AQHA.

This type must be on file with AQHA prior to the registration of any foal sired by such stallion from mares covered in (c) below. (c) A genetic type must be on file with AQHA for any mare foaled on or after January 1, 1989, prior to the registration of any foal produced by them. (d) Proper fees as per rule 222 must be remitted. (e) Refer to rules 202(i), 209(e), 212(a)(2) and 304(c). 211.

BREEDER AND BREEDER’S CERTIFICATE (a) The breeder of a horse is the owner of the dam at the time of service, except when a mare is held under lease at time of breeding and written notification of such lease signed by the lessee and lessor is on file with AQHA at time of registration, in which event the registration certificate shall show the lessee as the breeder.

When a frozen embryo permit is used to register a foal, the original purchaser of the frozen embryo permit shall show as the breeder. (b) Registration applications must be accompanied by a completed breeder’s certificate signed by the record owner of the sire and the record owner of the dam at the time of service, with the exceptions: When a properly signed frozen embryo permit is used to register a foal, no additional breeder’s certificate is required.

The breeder’s certificate requirements were met when application to purchase the frozen embryo permit was made. (1) When a stallion or mare is bred under a lease agreement, notice of which is filed with AQHA, the signature of such lessee on breeder’s certificates and stallion breeding reports will be accepted. (2) When written authorization, on a form furnished by AQHA upon request, has been filed in the AQHA office, AQHA will accept the signature of such authorized individual on a breeder’s certificate.

The written authorization must be signed by the record owner of the horse specified in such authorization. (3) If the same entity, person, ranch, corporation, etc., is the record owner of sire, dam and foal, a breeder’s certificate is not required. (4) When a retained semen rights permit is used to register a foal, AQHA shall require only the signature of the permit owner on the permit to verify the service of the sire.

Record owner of the dam at time of breeding must sign the appropriate breeder’s certificate on the registration application. (c) All registration applications for foals resulting from the use of cooled transported semen or frozen semen must be accompanied by a Transported Semen Breeder’s Certificate as required by rule 209(f ).

Such breeder’s certificates are available at no charge to stallion owners upon request. (d) Alteration of information on a breeder’s certificate will necessitate verification. (e) On a breeder’s certificate, AQHA will recognize the signature of any one of the joint owners of a horse if such owner is named on the horse’s current registration certificate.

For a horse covered by a lease, the notice of which has been filed with AQHA, only the lessee or lessee’s authorized agent may sign a breeder’s certificate for breedings that occurred during the effective period of the lease. 55 212.

EMBRYO/OOCYTE TRANSFER (a) A horse foaled by a mare that is not its genetic dam but transferred to her by embryo/oocyte transfer technique shall be eligible for registration.

In addition to other AQHA registration rules, the offspring shall not be eligible for registration unless: (1) Prior to the intended collection of the fertilized egg, record owner or lessee has notified AQHA in writing of its intention to attempt an embryo/oocyte transfer and has paid the proper fee as per rule 222.

For mare enrollments received after collection of the embryo/oocyte, but prior to foaling, a late fee of $25 will be assessed, in addition to fees required by rule 222.

For mare enrollments received after foaling, a late fee of $50 will be assessed, in addition to fees required by rule 222.

This enrollment must be made each year that a transfer is to be performed, and once made, the fee is not refundable, nor can any substitution be made. (2) Its pedigree has been verified through genetic testing of foal, sire and donor mare; and by such other testing as AQHA reasonably deems necessary to verify the validity of the genetic testing, all expense of which shall be the registration applicant’s. (b) The enrollment notice must be sent by certified mail, return receipt requested, to preserve for the record owner or lessee of the donor mare, the only acceptable proof to AQHA of timely compliance, if such proof is requested. (c) In accordance with AQHA-approved procedures, an embryo/oocyte transfer may be transported from the premises where the donor mare was located at the time of its removal from her for use in a recipient mare at another location.

To be eligible for such transportation, notice of intention to transport the embryo/oocyte transfer shall be given AQHA in conjunction with the advanced notice of intended collection specified above. (d) If a mare is designated with AQHA for embryo/oocyte transfer but the procedure is not attempted regarding the mare in the designated year to avoid necessity of genetic testing for parentage verification, AQHA must be notified in writing by December 31 of the designated year that the owner has elected not to attempt embryo/oocyte transfer.

Without such notice, a foal produced the following year by designated mare is not eligible for registration without genetic testing for parentage verification. (e) In the event a mare owner wishes to sell a mare, but retain rights to use frozen embryos, he may purchase frozen embryo permits for $50 each from AQHA.

The application for purchase of a permit must be on a form provided by AQHA.

Once a mare is sold, a former owner cannot purchase additional permits from AQHA. (1) The application for a frozen embryo permit must be signed by both the mare owner and the stallion owner at time of breeding.

This permit, when used to register a foal, will serve as both the stallion breeding report and the breeder’s certificate. (2) Each of the frozen embryo permits purchased may be used for the registration of only one foal.

AQHA will record the number of outstanding certificates for each individual mare and that number will be a matter of public record.

It is the ultimate responsibility of a prospective buyer to confirm with the seller, the number of outstanding permit applications not yet recorded on AQHA records as of the date of sale. (3) The ownership of the permit may be transferred. 56 — 71 RACING RULES & REGULATIONS 300.

General Provisions 301.

S peed Index and Racing Points 302.

Enhancement of Penalty Rule 303.

Horse Ownership 304.

Identification Tattooing and Parentage Verification 305.

S takes Race 306.

Racing Awards and Champions 307.

Cutter and Chariot Racing 308.

General Rules and Conditions for the MBNA America Racing Challenge SECTION III.

Racing Rules and Regulations IMPORTANT NOTICE: The welfare of the horse and all other animals is paramount to AQHA.

Before proceeding, please read AQHA’s welfare statement concerning American Quarter Horse racing on page 10.

Rules 300 (b) and 302 are examples of ways that AQHA has worked to protect horses involved in racing. 300.

GENERAL PROVISIONS (a) AQHA’S STATEMENT OF DISCLAIMER OF RESPONSIBILITY FOR SAFETY AT THE TRACK (1) AQHA will accept race results in Amarillo, Texas, as official and use such results to calculate awards and/or qualification for advancement of a horse in AQHA’s breed registry. (2) AQHA does not assume or accept duty or responsibility for safety at any race or races in regard to participants or any other third parties, or for the horses or other property thereof, which responsibility, as between AQHA and track management, this responsibility remains solely with track management. (3) As an express condition of the privilege to participate at an AQHA-approved race event, each owner of an American Quarter Horse, trainer and participant assumes the risks of participation and releases and discharges AQHA, its officers, directors, representatives and employees from any and all liability, whenever or however arising, as to personal injury or property damage occurring as a result of participation in a race event conducted by the race management or on race grounds thereof. (b) RACE RECOGNITION AND RESULTS.

In order for the results of a race to be eligible for recognition by AQHA, the race in question must (1) be run under the supervision of a state, provincial or national racing commission (collectively “Racing Commissions”) or other recognized turf governing body and (2) observe the rules and regulations contained in Section III of the AQHA Official Handbook of Rules & Regulations.

As of April 1, 1992, there will be a moratorium on applications for AQHA sanction and regulation of nonpari-mutuel race meets.

In adopting the rules and regulations contained in this Section III, it is not AQHA’s intention that they conflict with the rules and regulations of Racing Commissions or recognized turf governing bodies in regard to racing.

In cases where races eligible for AQHA approval are run under the supervision of a Racing Commission or recognized turf governing body, the rules of such Racing Commission or recognized turf governing body take precedence.

While the rules of Racing Commissions or recognized turf governing bodies take precedence, AQHA reserves the right to deny or revoke its approval of a race which does not observe the rules and regulations contained in this Section III. (1) Unless otherwise specified in this handbook, AQHA recognizes and requests adoption of the “Model Rules for Flat Racing.” (2) AQHA recommends that all stewards at American Quarter Horse tracks be certified as accredited stewards and have adequate experience and/or education concerning American Quarter Horse racing. (3) A race will not be recognized in which a 2-year-old starts prior to March 1; competes against older horses; or is allowed to compete at a distance greater than 440 yards prior to September 72 1.

The trials and finals for the West Texas Futurity and the Mardi Gras Futurity are exempt from the March 1st rule.

Races will be recognized in which an American Quarter Horse competes with a horse registered with other breed associations: Thoroughbreds registered with The American Jockey Club, The Canadian Jockey Club or The Mexican Jockey Club as well as horses registered with the American Paint Horse Association or the Appaloosa Horse Club. (4) The track is responsible for setting starting gates so races are actually run at designated distances.

There shall not be a downhill slope in excess of one degree (1°) over the length of the straightaway.

A certified statement by a licensed surveyor that all American Quarter Horse distances at each track have been surveyed for grade and distance within the last five years shall be filed with AQHA. (5) Race results charts and an official program shall be filed with AQHA following each day’s racing by fax, online computer transmission or express delivery.

The race results chart should include all of the necessary information to produce past performance lines as well as information concerning monies earned (purse and bonus) paid through the horseman’s bookkeeper.

The official program should include conditions of the races and distances, names of the horses in each race, post positions, color, sex, age, breeding, owner, trainer, jockey and weight carried.

A videotape of all graded or restricted graded stakes shall be provided to AQHA at the track’s expense. (6) An American Quarter Horse may not earn a speed index or achieve register of merit at a distance exceeding 870 yards or around more than one turn; however, such races will be listed on the participating horse’s race record. (7) All racetracks conducting American Quarter Horse racing shall utilize an electric photo-finish camera or computerized video tape photo-finish camera.

The minimum accuracy of the camera shall be no less than 1/100th (.01) of a second.

The maximum accuracy of the camera shall be no greater than 1/1000 (.001) of a second.

The photo-finish camera shall be calibrated every year with a copy of the calibration report filed with AQHA.

In cases of questionable times reported from tracks where the performance records indicate possible error, issuance of Register of Merit certificates and acceptance of the time and speed index as official is to be withheld until the race is reviewed by AQHA.

AQHA reserves the right to adjust questionable times when the presiding race officials and racing commission do not provide reasonable justification for the questionable time using the procedure described in AQHA rule 300 (d)(10).

Such decisions by AQHA may be appealed to the AQHA Racing Council for further consideration.

Decisions of the Racing Council may be appealed to the AQHA Executive Committee as per rule 107.

A questionable time is a race time that is significantly inconsistent with the past performance record of the horses participating in that race. (8) Any commission or breed registry ruling involving horses registered by AQHA or affecting personnel engaged in American Quarter Horse racing shall be filed with AQHA unless the fine is less than $500 or the suspension is less than 90 days. (9) Should an owner participate in a race while currently under AQHA suspension or ineligible for a license or ineligible to participate under the rules of any state racing commission, turf governing body or stud book registry, the horse may not receive an official speed index or racing points for having started in the race. 73 (10) If the laboratory report on the chemical analysis of the urine or other specimen taken from a horse indicates the presence of a forbidden drug or medication and the horse is disqualified, the horse shall receive no official speed index or racing points for having started in the race. (11) The recommended minimum scale of weights of American Quarter Horse jockeys riding 2-year-olds is 120 pounds; 3-yearolds is 122 pounds; and 4-year-olds or older is 124 pounds. (12) All monetary amounts recorded as part of race results (purses, bonus earnings, claiming prices, wagering pool, payoffs, etc.) will be recorded in U.S.

Funds. (c) EARNINGS.

AQHA will only record the following as total money earned in the Official AQHA Race Record: (1) Purse earnings reported in the race result chart; and (2) Bonus earnings, including annuity awards, that are: (A) Paid to the owner(s) of a horse as a result of the horse’s performance in a specific race or series of races that are not included in the actual purse of the race(s) but are paid through the horseman’s bookkeeper (in the case of a series of races, paid through the horseman’s bookkeeper at the track where the last leg of the series was held); and (B) Reported in the race result chart. (3) Bonus earnings will be recorded separately from purse earnings, and an annotation will appear on materials such as Champions Balloting specifying that the horse’s total earnings include a particular amount of bonus earnings. (4) Bonus earnings in the form of an annuity award will be recorded as the cash value of the annuity on the date the award was earned, whether or not the owner receives the award as a lump sum or in periodic payments.

In the event an owner receives an annuity award in periodic payments, the determination of the cash value of the annuity on the date the award was earned shall be in accordance with generally accepted accounting principles. (d) TIME TRIALS In the absence of specific conditions for a particular elimination or time trial race, the following rules shall apply: (1) Except in cases where the starting gate physically restricts the number of horses starting, each time trial shall consist of no more than 10 horses. (2) The time trials shall be raced under the same conditions as the finals.

If the time trials are conducted on the same day, the horses with the 10 fastest times shall qualify to participate in the finals.

If the time trials are conducted on two days, the horses with the five fastest times on the first day and the horses with the five fastest times on the second day shall qualify to participate in the finals.

When time trials are conducted on two days, the racing secretary shall make his/her best effort to split owners with more than one entry into separate days and/or time trials. (3) If the association’s starting gate has less than 10 stalls, then the maximum number of qualifiers will correspond to the maximum number of starting gate post positions. (4) Except in races around a turn, if only 11 or 12 horses are entered to run in time trials from a gate with 12 or more stalls, the association may choose to run finals only.

If 11 or 12 horses participate in the finals, only the first 10 finishers will receive purse money. (5) In the time trials, horses shall qualify on the basis of 74 time and order of finish.

The times of the horses in the time trial will be determined to the limit of the timer.

The only exception is when two or more horses have the same time in the same trial heat.

Then the order of finish shall also determine the preference in qualifying for the finals.

Should two or more horses in different time trials have the same qualifying time to the limit of the timer for the final qualifying position(s), then a draw by public lot shall be conducted as directed by the stewards.

Qualifying times in separate trials shall not be determined beyond the limit of the timer by comparing and/or enlarging photo-finish images. (6) Except in the case of disqualification, under no circumstances shall a horse qualify ahead of a horse that finished ahead of that horse in the official order of finish in a time trial. (7) Should a horse be disqualified for interference during the running of a time trial, it shall receive the time of the horse it is immediately placed behind plus one hundredth of a second, or the maximum accuracy of the electronic timing device.

No adjustments will be made in the times recorded in the time trials to account for head-wind, tail-wind, off-track, etc.

If a horse is disqualified for interference with another horse causing loss of rider or the horse not to finish the race, the disqualified horse shall be given no time and that horse should not be eligible to run in the finals. (8) Should a malfunction occur with the electronic timer on any time trial, finalists from that time trial will then be determined by official hand times operated by three official and disinterested persons.

The average of the three hand times will be utilized for the winning time, unless one of the hand times is clearly incorrect.

In such cases, the average of the two accurate hand times will be utilized for the winning time; other horses shall be given times according to the order and margins of finish with the aid of the photo finish, if available. (9) When there is a malfunction of the timer during some time trials, but the timer operates correctly in other time trials, the accurate electronic times shall not be discarded, nor shall the average of the hand times be used for all time trials. (10) If the accuracy of the electronic timer and/or the average of the hand times are questioned, the video of a time trial may be used by the stewards to estimate the winning time by counting the number of video frames in the race from the moment the starting gate stall doors are fully open parallel to the racing track.

When the timer malfunctions and there are no hand times, the stewards may select qualifiers based on the video. (11) Should there be a malfunction of the starting gate and one or more stall doors not open or open after the exact moment when the starter dispatches the field, the stewards may declare the horses with malfunctioning stall doors non-starters or may allow any horse whose stall door opened late, but still ran a time fast enough to qualify, to be declared a starter for qualifying purposes.

If a horse breaks through the stall door, or the stall door opens prior to the exact moment the starter purposely dispatches the field, the horse may be declared a non-starter, and the stewards may direct that all entry fees be refunded.

If one or more, but not all, stall doors open at the exact moment the starter purposely dispatches the field, these horses should be considered starters for qualifying purposes and placed according to their electronic time.

If the electronic timer malfunctions in this instance, the average of the hand times, or if not 75 available, the video may be utilized for the horses declared starters. (12) If a horse should be scratched from the time trials, the horse’s owner shall not be eligible for a refund of the fees paid and shall not be allowed to enter the final.

If a horse that qualified for the final should be unable to enter due to racing soundness or scratched for any reason other than a positive drug test or a rule violation, the horse shall be deemed to have earned and the owner will receive last place purse money.

If more than one horse is scratched from the final, then those purse monies shall be added together and divided equally among those owners. (13) If a qualifier for a final or consolation is disqualified for ineligibility or a rule violation after the time trials are declared official, but prior to entry for the final or consolation, the non-qualifier with the next fastest time shall replace the disqualified horse.

If a qualifier is disqualified after entry for the final or consolation for any reason other than racing unsoundness, illness or death, if necessary, the purse shall be redistributed among the remaining qualifiers. 301.

SPEED INDEX AND RACING POINTS (a) Speed index ratings are based on an average of the three fastest winning electric times run each year for the immediate past three years for each distance at each track.

The average of the nine times (to the nearest 1/1000 (.001) of a second) will represent a speed index rating of 100. (1) In the event the average time or any of the fastest times included therein are slower than the minimum standard time(s), the minimum standard will be used to compile the average(s) from which the speed index ratings will be computed the following year.

No horse will be used more than one time in any one year at a particular distance at any one track in calculating the nine fastest times.

At tracks with less than a three-year immediate history, the minimum standard will be used for the year(s) when the track was not in operation. (2) Horses starting at tracks eligible for recognition by AQHA for the first time will receive a speed index rating based on the following: (A) First year: A speed index of 100 will be based on an average of the three fastest winning electric times at each distance run for the previous year at each of the five tracks with the largest number of race starters the previous year.

No horse will be counted more than once. (B) Second year: A speed index of 100 will be based on an average of the three fastest winning electric times at each distance run for the previous year at each of the five tracks with the largest number of race starters the previous year and the average of three fastest times at the new track for the previous year.

No horse will counted more than once. (C) Third year: A speed index of 100 will be based on an average of the three fastest winning electric times at each distance run for the previous year at each of the five tracks with the largest number of race starters the previous year and the average of the three fastest times at the new track for the previous two years.

No horse will be counted more than once. (3) A speed index point varies according to the distance of the race as follows: .087 equals one speed index point at 870 yards. .077 equals one speed index point at 770 yards. 76 — 2 1 2 1 1 81 stallions, provided: (A) the stallions involved are the property of a minimum of five distinct owners, and (B) the foals eligible for the race represent a minimum of eight stallions on the original nomination list. (b) Annually, AQHA will consider for grading, all eligible stakes and restricted stakes races as outlined in the Graded Stakes Committee Guidelines.

Stakes may be graded as Grade 1, 2 or 3, with Grade 1 being the highest grade.

Restricted stakes may be graded as Restricted 1, 2 or 3, with Restricted 1 being the highest grade.

Primary consideration for grading will be the quality of horses attracted to the race and such factors as competition, conditions, purse and prestige of the race.

In order for AQHA to grade stakes race, such race must limit entry and competition to only American Quarter Horses registered with the American Quarter Horse Association. 306.

RACING AWARDS AND CHAMPIONS. (a) Racing Register of Merit can be achieved by obtaining a speed index of 80 or higher.

A speed index will only be awarded for approved electric times at AQHA recognized official distances.

Should a horse receive no speed index due to a hand-time caused by the malfunction of the electric timer; and the time would have resulted in a speed index of 80 or higher; and the hand-time is certified by track stewards, the owner of the horse may appeal to AQHA for designation of the horse as a Register of Merit qualifier.

Upon request, a Register of Merit certificate will be furnished to the recorded owner at the time the Register of Merit is earned. (b) World Champion and Champion Racing American Quarter Horses will be awarded annually by written ballot. (1) Awards will be given as follows: champion 2-year-old colt; champion 2-year-old filly; champion 2-year-old gelding; champion 3-year-old colt; champion 3-year-old filly; champion 3-year-old gelding; champion aged stallion; champion aged mare; champion aged gelding; champion distance horse and broodmare of the year. (2) In each age division, a champion will be named; those being champion 2-year-old, champion 3-year-old and champion aged horse. 3) Voters are instructed to select the overall World Champion American Quarter Horse from their choices for the three age divisional champions. (4) Champion honors will be considered for American Quarter Horse Racing conducted internationally upon request from the host country’s AQHA affiliate, providing there is a significant race season and pari-mutuel wagering is conducted. (5) An appropriate award will be given the horse’s record owner as of December 31. (c) Leading owner, breeder, trainer and jockey will be awarded annually by written ballot.

The five top-ranked individuals with the best overall placings according to money earned, races won and points earned will be placed on a ballot.

An appropriate award will be presented to the selected persons. (d) Regional High Point Champions will be awarded annually to the highest point earner in each of 10 regions and each of 12 categories. (1) Awards will be given in the following categories: 3year-old colt; 3-year-old filly; 3-year-old gelding; aged stallion; aged 82 mare; aged gelding; distance and claiming.

In addition, an award will be given to the top jockey, trainer, owner and breeder in each region. (2) The distance horse in each region will be based upon points earned in regional races at distances of 550 yards and longer. (3) The claiming horse in each region will be based upon points earned in regional claiming races. (4) An appropriate award will be given to the horse’s record owner as of December 31. (e) Superior Race Horse will be awarded to any American Quarter Horse that earns 200 racing points. (f) Supreme Race Horse will be awarded to any American Quarter Horse that has achieved each of the following: (1) Earnings of $500,000 or more (2) Winner of two open Grade 1 (G1) stakes races or two races of Grade 1 historical significance prior to 1983, and (3) Winner of ten races. (g) World and Track Records.

AQHA designation as a new/tied world or track record will be awarded under the following circumstances: (1) The winning time is equal to or faster than the existing track record. (2) The second-place time is equal to or faster than the existing track record, if the winner is disqualified. (3) The race must be electronically timed. (4) The race is run at an official surveyed distance. (5) At a racetrack racing for the first time, or racing for the first time in ten years or longer, the fastest winning time for the race meet at each distance will be recognized as the track record. (6) At a distance that is being run for the first time at that racetrack, or the first time in ten years or longer, the fastest winning time for the race meet at each distance will be recognized as the track record. (7) In order to be recognized as an AQHA track record, a speed index of 80 or better must be achieved. (h) For the purpose of racing awards, a male horse that has not been gelded shall be considered a colt at 2 and 3 years old, and a stallion at 4 years and older. (i) Dam of Distinction will be awarded to any American Quarter Horse mare that meets at least one of the following criteria: (1) Produced two or more individual Champion Racing American Quarter Horses. (2) Produced at least three individual American Quarter Horse Grade 1 stakes winners. (3) Produced at least two American Quarter Horse foals ranked in the top ten money earners of any particular year (as of December 31 of that year) and two G1 stakes winners. (4) Produced at least three American Quarter Horse foals that were in the top ten money earners of any particular year (as of December 31 of that year). (5) Produced at least three individual American Quarter Horse stakes winners prior to 1983 and those wins were equivalent of Grade 1 quality race. 307.

CUTTER AND CHARIOT RACING.

Only results of cutter and chariot racing contests conducted under the direct supervision of a state racing commission and/or the World’s Champion Cutter and Chariot Racing Association (WCCCRA) will be accepted for recognition by AQHA. 83 (a) AQHA’S STATEMENT OF DISCLAIMER OF RESPONSIBILITY FOR SAFETY AT CUTTER AND CHARIOT RACING CONTESTS: (1) AQHA will accept cutter and chariot racing contest results in Amarillo, Texas, as official and use such results to calculate awards and/or qualification for advancements of a horse in AQHA’s breed registry. (2) AQHA does not assume or accept duty or responsibility for safety at these racing contests in regard to participants or any other third parties, or for the horses or other property thereof, which responsibility, as between AQHA, track management and WCCCRA, remains solely with track management and the WCCCRA. (b) Unless otherwise specified in this handbook, the racing rules of the WCCCRA will be utilized for the governance of cutter and chariot racing recognized by AQHA. (c) A cutter and chariot racing contest shall consist of a series 1ST PLACE 2ND PLACE 3RD PLACE WORLD CHAMPIONSHIP CHARIOT RACING FINALS * 1st Division . . . . . . . . . . . . . . . . .16 10 5 2nd Division . . . . . . . . . . . . . . . .12 6 3 3rd Division . . . . . . . . . . . . . . . . .10 5 3 4th Division . . . . . . . . . . . . . . . . . .8 4 2 5th Division . . . . . . . . . . . . . . . . . .6 3 2 6th Division . . . . . . . . . . . . . . . . . .5 3 2 WORLD CHAMPIONSHIP QUALIFYING RACES* – 1ST DIVISION Two-team race . . . . . . . . . . . . . . .10 Three-team race . . . . . . . . . . . . . .10 5 Four-team race . . . . . . . . . . . . . . .10 6 4 WORLD CHAMPIONSHIP QUALIFYING RACES* – 2ND DIVISION Two-team race . . . . . . . . . . . . . . . .8 Three-team race . . . . . . . . . . . . . . .8 4 Four-team race . . . . . . . . . . . . . . . .8 5 3 WORLD CHAMPIONSHIP QUALIFYING RACES* – 3RD DIVISION State Finals – 1st Division and World Chariot Challenge Day Two 1st Division Two-team race . . . . . . . . . . . . . . . .7 Three-team race . . . . . . . . . . . . . . .7 3 Four-team race . . . . . . . . . . . . . . . .7 4 2 WORLD CHAMPIONSHIP QUALIFYING RACES* – 4TH DIVISION State Finals – 2nd Division and World Chariot Challenge Day Two 2nd Division Two-team race . . . . . . . . . . . . . . . .6 Three-team race . . . . . . . . . . . . . . .6 3 Four-team race . . . . . . . . . . . . . . . .6 4 2 WORLD CHAMPIONSHIP QUALIFYING RACES* – 5TH DIVISION State Finals – 3rd Division and World Chariot Challenge Day Two 3rd Division Two-team race . . . . . . . . . . . . . . . .5 Three-team race . . . . . . . . . . . . . . .5 2 Four-team race . . . . . . . . . . . . . . . .5 3 2 WORLD CHAMPIONSHIP QUALIFYING RACES – 6TH DIVISION State Finals – 4th through 12th Division and World Chariot Challenge Day One; Day Two – 4th Division and Extra Teams Two-team race . . . . . . . . . . . . . . . .4 Three-team race . . . . . . . . . . . . . . .4 2 Four-team race . . . . . . . . . . . . . . . .4 3 2 HOME ASSOCIATION RACES Two-team race . . . . . . . . . . . . . . . .3 Three-team race . . . . . . . . . . . . . . .3 1 Four-team race . . . . . . . . . . . . . . . .3 2 1 * First four days of World Championships and the 1st thru next-to-last divisional races on the final day are Qualifying races.

Only the last race in each division on the final day is for that division’s overall winner – the winners of the last race in the 1st Division are the World Champion AQHA POINTS DISTRIBUTION FOR WCCCRA RACES 84 of races constituting one complete go-round for all horses entered, each race shall match two or more two-horse teams pulling a cutter and driver or a chariot and driver.

For a contest to be recognized, 12 teams of registered horses (24 horses) must compete. (d) All American Quarter Horses participating in cutter and chariot races must be properly identified. (e) Cutter and chariot racing is a timed event, with placings determined on the basis of time lapsed for each team in the contest.

The winning team in each contest will be the team with the least lapsed time, between the time the starting gate opens to dispatch the horses until the nose of the leading horse on such team crosses the finish line. (f) Any horse finishing first, and any horse randomly selected by the stewards in a cutter and chariot racing contest shall be properly tested for the presence of unauthorized drugs or foreign substances. (g) Officials of a cutter and chariot racing contest shall consist of a presiding steward and two associate stewards, a starter, a clerk of the scales and three timers.

In the event an electric timer is used, there must still be two hand-timers.

The time for any given team will be the time electrically recorded for that team, or the average of the hand timers in the event the electric timer is not used or fails to operate. (h) To be eligible for placing, the aggregate weight of the cutter or chariot, harnesses, bridles and driver for such team must not be less than 275 pounds. (i) A cutter and chariot race must be started from a closed starting gate and conducted on a straight course. (j) During the course of a cutter and chariot race, if a team moves out of the lane in which it starts in such a manner that it interferes with or impedes another team, the offending team shall be disqualified when, in the opinion of the stewards, the outcome of the contest was affected.

Any such team disqualified shall be placed behind the team or teams it fouled, and shall be given the time of the team it was placed behind, plus .01 second, or the maximum accuracy of the timer not to exceed .001 second. (k) Register of Merit shall be awarded according to rule 306.

Official speed indexes shall be awarded according to rule 301. (l) High-Point Champions will be awarded at the end of the cutter and chariot racing season in the following categories: 3-yearold colt, 3-year-old filly, 3-year-old gelding, aged stallion, aged mare and aged gelding.

An appropriate award will be given to the horse’s recorded owner as of April 1. (m) Superior Chariot Horse will be awarded to any American Quarter Horse who earns 200 chariot racing points. (n) Chariot racing points will be awarded according to the order of finish in each division as listed in the chart above. 308.

General Rules And Conditions For The Bank of America® Racing Challenge (a) All American Quarter Horses registered with the American Quarter Horse Association, or eligible for registration with the American Quarter Horse Association are eligible to be enrolled into the Bank of America Racing Challenge.

Nominator must be recorded owner or lessee at time of enrollment.

Nomination awards will be paid based on this information as shown on AQHA records at time of enrollment. (b) The enrollment fee is based on the age of the horse at time 85 of enrollment.

On or before December 31, 2009, the enrollment fees for this period are as follows: Weanlings (foals of 2009) $300 Yearlings (foals of 2008) $600 2-year-olds (foals of 2007) $8,000 3-year-olds and older $20,000 For South American enrollment information call 877-AAA-RACE.

Weanling and yearling enrollment fees may be refunded during the same enrollment year in which the candidate is nominated for the Bank of America Racing Challenge.

Written notice must be postmarked on or before the last day of the stated grace period. (c) Enrollment fees received by the Bank of America Racing Challenge will be deposited in interest bearing accounts and invested according to the currently approved investment policy of AQHA.

AQHA administration and promotional costs may be deducted from the interest and investment earnings from the enrollment fees with the remainder of the earnings allocated for purses and awards. (d) At AQHA’s sole discretion, the fund of enrollment fees will be allocated to yearly purse supplement funds of races designated by AQHA based on the year foaled of the enrolled horse as follows: 17% will be allocated for 2-year-olds. 36% will be allocated for 3-year-olds. 47% will be allocated for 4-year-olds and older.

Thus eligible horses compete for purse supplement funds paid by other foal crops contributed according to this schedule.

For example, a 5-year-old is also racing for purse monies contributed by horses one and two years younger. (e) Nominator awards will be paid to the top five finishers in regional and championship races.

All award monies will be recorded and combined for each nominator.

Checks will be issued at the conclusion of the racing season, on or before December 1 of each year.

The payout structure for each race is as follows: first place, 52%; second place, 23%; third place, 11.5%; fourth place, 7.5%; and fifth place, 6%. (f) For the purpose of purse distributions for Bank of America Racing Challenge races, “horses” shall mean official starters in a race without trial heats and official qualifiers for the final in a race with trial heats.

Any Bank of America Racing Challenge race with less than five (5) entries shall be canceled, and any purse supplement monies contributed by the Bank of America Racing Challenge shall return to the purse supplement fund for future allocation to purses.

Nomination, sustaining and late fees paid into the canceled race will be refunded to the payer.

No other refunds will be made. (g) All disputes arising out of the application or interpretation of any rules or conditions of the Bank of America Racing Challenge or distribution of funds, shall be decided by the Executive Committee of the American Quarter Horse Association without necessity of prior notice of hearing.

AQHA reserves the right to alter the rules and conditions of the Bank of America Racing Challenge as it, in its sole discretion, determines to ensure fairness and equality to all participants.

Further, at its sole discretion, AQHA may cancel the Bank of America Racing Challenge or any portion thereof at any time and refund nomination fees, if it deems horsemen’s participation is insufficient, or for any other reason AQHA deems sufficient. (h) An entrant is ineligible to participate in the Bank of America Racing Challenge where such program is prohibited by law because of legal residence, situs of approved event, or any other basis.

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