CHAPTER 602. FEES

§ 602.010. [Reserved].

§ 602.022. Denial for abandonment.

 The Commission may order an application for registration of securities or an application for registration as a broker-dealer, investment adviser, agent or investment adviser representative denied upon the failure of the applicant, within 60 days after written notice warning the applicant that an application will be denied and deemed abandoned, to respond to any request for additional information required under the act or the provisions thereunder or otherwise to complete the showing required for action upon the application; or the applicant may with the consent of the Commission withdraw the application. Upon denial for abandonment, there shall be no refund of any filing fee paid prior to the date of abandonment.

   The provisions of this §  602.022 amended under sections 203(d), (o) and (p), 205, 206, 301, 303, 504, 603(a) and 609 of the Pennsylvania Securities Act of 1972 (70 P. S. § §  1-203(d), (o) and (p), 1-205, 1-206, 1-301, 1-303, 1-504, 1-603(a) and 1-609); and the Takeover Disclosure Law (70 P. S. §  74).

   The provisions of this §  602.022 adopted May 10, 1974, effective May 11, 1974, 4 Pa.B. 916; amended December 8, 2006, effective December 9, 2006, 36 Pa.B. 7456. Immediately preceding text appears at serial page (268869).

§ 602.024. [Reserved].

§ 602.025. [Reserved].

§ 602.030. [Reserved].

§ 602.040. [Reserved].

§ 602.050. [Reserved].

§ 602.060. Charges for Commission publications.

 Under section 602(f) of the act (70 P. S. §  1-602(f)), the Commission has fixed the following charges for publications, issued under its authority:

   (1)  Compendium of Commission and Staff Positions, Summary of Significant Commission Orders and Compilation of Staff No-Action Letters (Compendium), including annual supplement service for the calendar year in which Compendium was purchased: $95.

   (2)  Compendium Annual Supplement Service: $20 per annual subscription.

   (3)  Orders for specific Compendium Supplements: $10 per Supplement.

   The provisions of this §  602.060 amended under sections 602(f) and 609(a) of the Pennsylvania Securities Act of 1972 (70 P. S. § §  1-602(f) and 1-609(a)).

§ 602.080. [Reserved].