52 Pa. Code § 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.

Notes

52 Pa. Code § 1.62

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

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).