10 Pa. Code § 603.011

Current through Register Vol. 54, No. 44, November 2, 2024

Section 603.011 - Filing requirements

(a) Except as set forth in subsection (f), documents and other communications to be filed with the Department shall be filed in the Harrisburg office of the Department.

(b) If mailed, all documents and communications shall be sent registered or certified mail, postage prepaid, return receipt requested.

(c) The Department will consider a completed and properly executed document or communication to be filed on receipt.

(d) Unless the filings and request are accompanied by the required fees or charges as provided by the act and this section, the Department will not:

(1) Accept for filing a notice, statement, form or other document.

(2) Grant a request for copies of documents.

(3) Take action.

(e) Except as set forth in subsection (f), checks for payment of fees and charges shall be:

(1) Made payable to the order of "Commonwealth of Pennsylvania."

(2) Delivered or mailed to the Department of Banking and Securities, 17 North Second Street, Suite 1300, Harrisburg, Pennsylvania 17101, or other address as the Department may designate.

(f) Required documents shall be filed in the following manner:

(1)Broker-dealer. The Uniform Application for Broker-Dealer Registration (Form BD), the Uniform Request for Withdrawal from Registration as a Broker-Dealer (Form BDW), or successor forms, and amendments thereto required to be filed with the Department by a member firm of FINRA with respect to an initial registration, renewal, amendment or withdrawal from registration as a broker-dealer shall be:

(i) Made solely with the CRD maintained by FINRA under an agreement and guidelines established by NASAA.

(ii) Mailed to NASAA/FINRA Central Registration Depository, Post Office Box 9401, Gaithersburg, Maryland 20898-9401 or any successor address.

(2)Agent.

(i) Documents and other communications required to be filed with the Department by a member firm of FINRA with respect to the initial registration, renewal, transfer or withdrawal from registration as an agent shall be made solely with the CRD to the address in paragraph (1)(ii).

(ii) Checks for payment of fees required under sections 602(d) and 602.1(a) of the act (70 P.S. §§ 1-602(d) and 1-602.1(a)) for the filing of a document described in this subsection shall be made payable to the order of "FINRA" and mailed with the documents to the address listed in paragraph (1)(ii).

(g) The Department will consider filings made with the CRD under subsection (f) as filed with the Department.

(h) Required forms will be available on the Department's web site at www.dobs.pa.gov and in paper format from the Department.

10 Pa. Code § 603.011

The provisions of this §603.011 adopted May 10, 1974, effective 5/11/1974, 4 Pa.B. 916; amended October 23, 1981, effective 11/2/1981, 11 Pa.B. 3627; amended November 30, 1984, effective 12/1/1984, 14 Pa.B. 4375; amended January 3, 1986, effective 2/3/1986, 16 Pa.B. 23; amended January 28, 1994, effective 1/29/1994, 24 Pa.B. 656; amended September 22, 1995, effective 9/23/1995, 25 Pa.B. 3994; amended December 30, 1999, effective 1/1/2000, 30 Pa.B. 18; amended December 8, 2006, effective 12/9/2006, 36 Pa.B. 7456; transferred and renumbered from 64 Pa. Code § 603.011, December 14, 2012, effective 12/15/2012, 42 Pa.B. 7533; amended January 12, 2018, effective 1/13/2018, 48 Pa.B. 389.

The provisions of this §603.011 issued under the Pennsylvania Securities Act of 1972 (70 P. S. §§ 1-101-1-704); amended under sections 202(g) and (i), 203(d), (i.1), (j) and (n)-(t), 204(a), 205, 206, 207(g), (j.1) and (n), 209(b), 211(a) and (b), 301, 303, 504, 513, 603(a), 606(d) and 609 of the Pennsylvania Securities Act of 1972 (70 P.S. §§ 1-202(g) and (i), 1-203(d), (i.1), (j) and (n)-(t), 1-204(a), 1-205, 1-206, 1-207(g), (j.1) and (n), 1-209(b), 1-211(a) and (b), 1-301, 1-303, 1-504, 1-513, 1-603(a), 1-606(d) and 1-609); sections 4 and 9(b) of the Takeover Disclosure Law (70 P.S. §§ 74 and 79(b)); and section 202.C of the Department of Banking and Securities Code (71 P.S. § 733-202.C).

This section cited in 10 Pa. Code § 303.011 (relating to broker-dealer registration procedures); and 10 Pa. Code § 303.013 (relating to agent registration procedures).