Section 11.11. Requirements to be met by filed documents

(a) Section 135 of the code (relating to requirements to be met by filed documents) provides that a document shall be accepted for filing by the Department if it satisfies the following requirements:

(1) The document purports on its face to relate to matters authorized or required to be filed under the code or other applicable law or contains a caption indicating that relationship and, if no applicable docketing statement has been prescribed (see § 13.51 (relating to official forms)), contains sufficient information to permit the Department to prepare a docket record entry:

(i) Identifying the name of the association or other person to which the document relates.

(ii) Identifying the association or associations, if any, the existence of which is to be created, extended, limited or terminated by reason of the filing and the duration of existence of the association.

(iii) Specifying the date upon which the creation or termination of existence, if any, of the association effected by the filing will take effect.

(2) The document complies as to size, shape and other physical characteristics with Chapter 13 (relating to special rules of administrative practice and procedure) and other applicable provisions of this subpart incorporated therein by reference.

(3) In the case of a document that creates a new association or effects or reflects a change in name one of the following applies:

(i) The document is accompanied by evidence that the proposed name has been reserved by or on behalf of the applicant.

(ii) The proposed name is available for use under the applicable standard established by the code and 54 Pa.C.S. (relating to names) and other applicable provisions of law.

(4) In the case of another document that sets forth a name or mark, the proposed name or mark is available for use under the applicable standard established by law. See Chapter 17 (relating to names).

(5) A registered office set forth in the document complies with § 19.1 (relating to blind addresses prohibited) and other applicable provisions of Chapter 19 (relating to registered offices and addresses).

(6) The document is executed. See § 13.8 (relating to execution).

(7) If required, the filing is accompanied by the docketing statement provided for under § 13.12 (relating to docketing statements).

(8) Fees, taxes and certificates or statements relating thereto required by § 13.13 (relating to tax clearance certificates) or otherwise have been tendered therewith.

(9) Certificates and other instruments required by statute evidencing the consent or approval of a department, board, commission or other agency of this Commonwealth as a prerequisite to the filing of the document in the Department have been incorporated into, attached to or otherwise tendered with the document. See § 13.14 (relating to governmental approvals).

(b) It is the policy of the Department, in all cases of doubt, to resolve that doubt in favor of the prompt filing of the questioned document subject to later correction, if necessary. Under the applicable law there is no longer an implication from the acceptance of a submittal that the Department has ruled that a document conforms to law except in the limited instances noted in subsection (a). Under § 11.4 (relating to subordination of code to regulatory laws), the filing of a questionable document will not adversely affect a public right, and, if unlawful, cannot permanently affect a private right in view of the remedies currently available under § 11.18 (relating to statement of correction) to private parties.

The provisions of this § 11.11 adopted April 17, 1992, effective April 18, 1992, 22 Pa.B. 1993.

Notation

Cross References

This section cited in 19 Pa. Code § 3.2 (relating to date of deposit as filing date); 19 Pa. Code § 3.27 (relating to immediate certified copy fee); 19 Pa. Code § 11.6 (relating to limited Departmental review function); 19 Pa. Code § 11.12 (relating to processing of documents by Department); and 19 Pa. Code § 13.14 (relating to governmental approach).