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The Pennsylvania Code website reflects the Pennsylvania Code changes effective through 54 Pa.B. 1032 (February 24, 2024).

10 Pa. Code § 609.011. Amendments to filings with Department.

§ 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.


   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)).


   The provisions of this §  609.011 adopted October 11, 1974, effective October 12, 1974, 4 Pa.B. 2174; amended October 10, 1997, effective October 11, 1997, 27 Pa.B. 5255; transferred and renumbered from 64 Pa. Code §  609.011, December 14, 2012, effective December 15, 2012, 42 Pa.B. 7533; amended January 12, 2018, effective January 13, 2018, 48 Pa.B. 389. Immediately preceding text appears at serial page (364843).

Cross References

   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).

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