Pennsylvania Code & Bulletin

• No statutes or acts will be found at this website.

The Pennsylvania Code website reflects the Pennsylvania Code changes effective through 52 Pa.B. 7348 (November 26, 2022).

52 Pa. Code § 1029.5. Broker registration.

§ 1029.5. Broker registration.

 (a)  General. To obtain a broker registration, an individual shall complete and file Form BR-1 ‘‘Broker Application,’’ along with the application fee as provided in § §  1001.42 and 1001.43 (relating to mode of payment to the Authority; and Authority fee schedule). The BR-1 may be obtained on the Authority’s web site at

 (b)  BR-1 application. The completed BR-1 shall be verified as provided in §  1001.36 (relating to verification and affidavit) and be filed with the Director in person and include the information required by the Authority, including all of the following:

   (1)  The name of the applicant and contact information, including a mailing address, a telephone number, an email address and a facsimile number.

   (2)  A list of all Authority rights, common carrier rights issued by the PUC and other transportation rights issued by any jurisdiction outside of this Commonwealth in which the applicant has any controlling interest.

   (3)  The name, address, telephone number, facsimile number and email address of any attorney or broker, or both, assisting the applicant through the Authority’s broker registration process.

   (4)  A criminal history report, issued within 30 days of the filing of the application, from any jurisdiction in which the following individuals have lived during the last 5 years:

     (i)   The applicant.

     (ii)   Each key employee of the applicant.

   (5)  A written statement verified as provided in §  1001.36, which provides that:

     (i)   The applicant and each key employee have not been subject to a conviction as provided in §  1001.10 (relating to definitions).

     (ii)   The applicant and each key employee are in compliance with §  1011.7 (relating to payment of outstanding fines, fees and penalties).

     (iii)   The applicant and each key employee are current on all reports due in relation to other rights issued by the Authority.

     (iv)   The applicant can comply with the requirements in this chapter.

   (6)  A completed original of Form BR-5 ‘‘Business Experience Questionnaire.’’ A copy of the BR-5 may be obtained on the Authority’s web site at

   (7)  The applicant’s Social Security number.

   (8)  A copy of the applicant’s Social Security card or documents confirming a legal permanent resident status or an alien authorized to work status, if applicable.

   (9)  The applicant’s driver’s license or other government issued photographic identification.

   (10)  A resume detailing the applicant’s work history for the 5 years preceding the filing of the BR-1 and qualifications to be a broker.


   The provisions of this §  1029.5 temporarily amended under 53 Pa.C.S. §  57B02.


   The provisions of this §  1029.5 temporarily amended May 5, 2017, effective February 25, 2017, expire upon promulgation of final-form regulations or on November 5, 2018, whichever is later, as set forth in 53 Pa.C.S. §  57B02(b), 47 Pa.B. 2558. Immediately preceding text appears at serial pages (360470) to (360471).

Cross References

   This section cited in 52 Pa. Code §  1029.6 (relating to broker training); and 52 Pa. Code §  1029.7 (relating to broker testing).

No part of the information on this site may be reproduced for profit or sold for profit.

This material has been drawn directly from the official Pennsylvania Code full text database. Due to the limitations of HTML or differences in display capabilities of different browsers, this version may differ slightly from the official printed version.