10 Pa. Code § 609.011

Current through Register Vol. 54, No. 49, December 7, 2024

Section 609.011 - Amendments to filings with Department

A person wishing to amend or otherwise ensure that a previously filed application, notice, statement, report or any other document is current and accurate in all material respects shall file with the Department an amendment which meets all of the following conditions:

(1) The amendment must identify the previously filed document being amended.

(2) If amending a form promulgated by the Department, the amendment must identify the:

(i) Name of the form.

(ii) Date the form originally was filed with the Department.

(iii) Items or schedules of the form which are being amended.

10 Pa. Code § 609.011

The provisions of this § 609.011 adopted October 11, 1974, effective 10/12/1974, 4 Pa.B. 2174; amended October 10, 1997, effective 10/11/1997, 27 Pa.B. 5255; transferred and renumbered from 64 Pa. Code § 609.011, 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 § 609.011 amended under sections 102(k), 202(h) and (i), 203(r), 204(a), 207(h), (i) and (k), 209(a), 606(a) and 609(a) of the Pennsylvania Securities Act of 1972 (70 P.S. §§ 1-102(k), 1-202(h) and (i), 1-203(r), 1-204(a), 1-207(h), (i) and (k), 1-209(a), 1-606(a) and 1-609(a)); section 202.C of the Department of Banking and Securities Code (71 P.S. § 733-202.C); and section 9(b) of the Takeover Disclosure Law (70 P.S. § 79(b)).

This section cited in 10 Pa. Code § 203.041 (relating to limited offerings); 10 Pa. Code § 203.191 (relating to Rule 505 offerings); 10 Pa. Code § 203.201 (relating to accredited investor exemption); 10 Pa. Code § 205.021 (relating to registration by coordination); and 10 Pa. Code § 206.010 (relating to registration by qualification).