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Pennsylvania Code



208.010.    Denial for abandonment.

§ 208.010. Denial for abandonment.

 (a)  General rule. The Department may deny as abandoned an application for registration of securities which has been on file with the Department for a minimum of 12 consecutive months if the applicant failed to do any of the following:

   (1)  Respond to the Department’s notice of abandonment sent by first class mail to the applicant’s last known address in the Department’s files within 60 calendar days after the date the notification was mailed by the Department.

   (2)  Respond to a request for additional information required under the act.

   (3)  Otherwise complete the showing required for action on the application.

 (b)  Voluntary withdrawal. An applicant may withdraw an application at any time with the consent of the Department.

 (c)  No refund of fee. On denial for abandonment, the Department will not refund any filing fees paid before the date of abandonment or withdrawal.


   The provisions of this §  208.010 issued under section 202.C of the Department of Banking and Securities Code (71 P.S. §  733-202.C); section 609(a) of the Pennsylvania Securities Act of 1972 (70 P.S. §  1-609(a)); and section 9(b) of the Takeover Disclosure Law (70 P.S. §  79(b)).


   The provisions of this §  208.010 adopted January 12, 2018, effective January 13, 2018, 48 Pa.B. 389.

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