Pennsylvania Code & Bulletin
COMMONWEALTH OF PENNSYLVANIA

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The Pennsylvania Code website reflects the Pennsylvania Code changes effective through 52 Pa.B. 1354 (February 26, 2022).

52 Pa. Code § 1.62. Filing and record of securities certificate in bankruptcy proceedings.

§ 1.62. Filing and record of securities certificate in bankruptcy proceedings.

 After final approval of a plan by the bankruptcy court, but before issuing or changing the terms and conditions of securities, the debtor or its successor shall file with the Commission a securities certificate in respect to the issuance or change. Development of a record in the proceeding, however, may be unnecessary, if the petition contains a stipulation that the record in a previous proceeding relating to the plan may be considered by the Commission in passing upon the securities certificate.

Source

   The provisions of this §  1.62 adopted October 12, 1984, effective January 1, 1985, 14 Pa.B. 3819.

Cross References

   This section cited in 52 Pa. Code §  63.324 (relating to commission approval of a general rule transaction subject to 66 Pa.C.S. § §  1102(a)(3) and 1103); and 52 Pa. Code §  63.325 (relating to commission approval of a pro forma transaction subject to 66 Pa.C.S. § §  1102(a)(3) and 1103).



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