Section 603.011. Filing requirements

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

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

(c) A document or communication, if complete and properly executed in all material respects, will be deemed filed when it is received by the Commission.

(d) No notice, statement, form or other document will be accepted for filing; no request for copies of documents will be granted; and no action will be taken by the Commission unless the filings and request are accompanied by the required fees or charges as provided by the act and this section.

(e) Except as set forth in subsection (f), checks for payment of fees and charges shall be made payable to the order of ‘‘Commonwealth of Pennsylvania’’ and delivered or mailed to: Secretary, Pennsylvania Securities Commission; 1010 N. Seventh Street, Harrisburg, Pennsylvania 17102-1410.

(f) 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 Commission by a member firm of the National Association of Securities Dealers, Inc. (NASD) with respect to an initial registration, renewal, amendment or withdrawal from registration as a broker-dealer shall be made solely with the Central Registration Depository (CRD) maintained by the NASD under an agreement and guidelines established by the North American Securities Administrators Association, Inc. and shall be mailed to: NASAA/NASD Central Registration Depository; Post Office Box 9401, Gaithersburg, Maryland 20898-9401. Documents and other communications required to be filed with the Securities Commission by a member firm of the NASD with respect to the initial registration, renewal, transfer or withdrawal from registration as an agent shall be made solely with the CRD at this address. Checks for payment of fees required by 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 ‘‘National Association of Securities Dealers, Inc.’’ and mailed with the documents to the address listed in this subsection. Filings made with the CRD under this subsection will be deemed as filed with the Commission.

(g) In connection with notice filings relating to a Federally-covered security under section 211 of the act (70 P. S. § 1-211), notice forms may be filed electronically with the Commission as permitted by order of the Commission. In conjunction with an electronic filing, fees or assessments required under sections 602 or 602.1 of the act (70 P. S. § § 1-602 and 1-602.1) shall be paid by means of an Automated Clearing House transfer of funds to the Commission’s depository bank.

(h) Required forms will be available on the Commission’s website at www. psc.state.pa.us. In addition, forms are available in paper format from the Commission.

The provisions of this § 603.011 adopted May 10, 1974, effective May 11, 1974, 4 Pa.B. 916; amended October 23, 1981, effective November 2, 1981, 11 Pa.B. 3627; amended November 30, 1984, effective December 1, 1984, 14 Pa.B. 4375; amended January 3, 1986, effective February 3, 1986, 16 Pa.B. 23; amended January 28, 1994, effective January 29, 1994, 24 Pa.B. 656; amended September 22, 1995, effective September 23, 1995, 25 Pa.B. 3994; amended December 30, 1999, effective January 1, 2000, 30 Pa.B. 18; amended December 8, 2006, effective December 9, 2006, 36 Pa.B. 7456; transferred and renumbered from 64 Pa. Code § 603.011, December 14, 2012, effective December 15, 2012, 42 Pa.B. 7533. Immediately preceding text appears at serial pages (324455) to (324456).

Notation

Authority

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); and the Takeover Disclosure Law (70 P. S. § 74).

Cross References

This section cited in 10 Pa. Code § 303.011 (relating to broker-dealer registration procedures); 10 Pa. Code § 303.013 (relating to agent registration procedures); and 10 Pa. Code § 604.011 (relating to filings of copies—by facsimile or otherwise—of submittals, pleadings and other nonoriginal documents—statement of policy).