RULES AND REGULATIONS
Title 10—BANKS AND BANKING
Title 64—SECURITIES
DEPARTMENT OF BANKING AND SECURITIES
[10 PA. CODE CHS. 1, 3, 7, 9—11, 13—15, 17, 19, 21, 23, 27—31, 31a, 32—34, 34a, 35—42, 44, 46—49, 55, 61, 63, 65, 67 AND 81 ]
[ 64 PA. CODE CHS. 101, 102, 202—211, 301—305, 401—407, 501—511, 513, 601—606, 609, 610, 701, 901 AND 1001 ]
Transfer of Regulations
[42 Pa.B. 7533]
[Saturday, December 15, 2012]The Department of Banking and Securities submits this notice for the purpose of renumbering regulations and statements of policy. This renumbering has been made necessary by the enactment of the act of July 2, 2012 (P. L. 814, No. 86) (Act 86), effective October 1, 2012.
Among other things, Act 86 reorganized the Department of Banking and the Securities Commission into the Department of Banking and Securities. See 42 Pa.B. 7016 (November 10, 2012) for the organization chart approved by the Executive Board effective October 18, 2012.
Act 86 amended the Department of Banking and Securities Code (code) (71 P. S. §§ 733-1—733-1203). Under section 1141-A of the code (71 P. S. § 733-1141-A), a reference to the Securities Commission in a regulation is deemed to be a reference to the Department of Banking and Securities.
Therefore, in recognition of the transfers of functions set forth in Act 86, the Department of Banking and Securities hereby requests the Legislative Reference Bureau to transfer Title 64 of the Pennsylvania Code to Title 10 of the Pennsylvania Code, to update the definition of ''Department'' and to make changes to the organizational numbering of the affected regulations and statements of policy as follows:
TITLE 10. BANKING AND SECURITIES PART I. General Provisions
Chapter 1. Preliminary Provisions
Chapter 3. [Reserved]
Chapter 7. Residential Real Estate Transactions
Chapter 9. Individual Retirement Accounts
Chapter 10. Minimum Capital RequirementsPART II. Bureau of Banks
Chapter 11. [Reserved]
Chapter 13. Loans
Chapter 14. [Reserved]
Chapter 15. Trusts
Chapter 17. [Reserved]
Chapter 19. Money Transmitters
Chapter 21. General Provisions for All State- Chartered Banking Institutions
Chapter 23. [Reserved]
Chapter 27. Leeway Investments
Chapter 28. Savings Banks Service Corporations
Chapter 29. Borrowings
Chapter 30. Negotiable Order of Withdrawal Ac countsPART III. Savings Association Bureau
Chapter 31. Investment Operations
Chapter 31a. Trust Powers
Chapter 32. [Reserved]
Chapter 33. Savings Deposit Accounts
Chapter 34. NOW Accounts
Chapter 34a. Consumer Loans, Commercial Paper and Corporate Debt Securities
Chapter 35. [Reserved]
Chapter 36. Treasury Tax and Loan Depositories
Chapter 37. Service Corporations
Chapter 38. Higher Rate Savings Accounts, Regu lar Savings Accounts and Serial Installment Ac counts
Chapter 39. Mobile Home Financing
Chapter 40. Alternate Reserve RequirementsPART IV. Bureau of Consumer Credit Agencies
Chapter 41. Consumer Discount Companies
Chapter 42. Registration of Loan Brokers
Chapter 44. [Reserved]
Chapter 46. Proper Conduct of Lending and Bro kerage in the Mortgage Loan Business
Chapter 47. Mortgage Loan Modifications—State ment of Policy
Chapter 48. First Mortgage Loan Business Prac tices
Chapter 49. Reverse Mortgages—Statement of Policy
Chapter 55. Financing Sales of Mobile HomesPART V. Pawnbrokers
Chapter 61. General Provisions
Chapter 63. Charges, Payment and Records
Chapter 65. Pawn Tickets
Chapter 67. Sale of PledgePART VI. Check Cashers
Chapter 81. Check Casher Licensing—Statement of PolicyPART VII. Securities
Subpart A. Definitions
Chapter 101. General Provisions
Chapter 102. DefinitionsSubpart B. Registration of Securities
Chapter 202. Exempt Securities
Chapter 203. Exempt Transactions
Chapter 204. Exemption Proceedings
Chapter 205. Registration by Coordination
Chapter 206. Registration by Qualification
Chapter 207. General Registration Provi sions
Chapter 209. Books, Records, and Accounts
Chapter 210. Retroactive Registration of Certain Investment Company Securities
Chapter 211. Federally Covered SecuritiesSubpart C. Registration of Broker-Dealers, Agents, Investment Advisers and Investment Adviser Rep resentatives and Notice Filings by Federally- Covered Advisers
Chapter 301. Registration Requirement
Chapter 302. Exemptions
Chapter 303. Registration Procedure
Chapter 304. Postregistration Provisions
Chapter 305. Denial, Suspension, Revoca tion and Conditioning of RegistrationSubpart D. Fraudulent and Prohibited Practices
Chapter 401. Sales and Purchases
Chapter 403. Prohibited Transactions; Broker-Dealers and Agents
Chapter 404. Prohibited Activities; Invest ment Advisers and Investment Adviser RepresentativesSubpart E. Enforcement
Chapter 501. Civil Liabilities
Chapter 504. Time Limitations on Rights of Action
Chapter 513. Rescission OrdersSubpart F. Administration
Chapter 601. Administration
Chapter 602. Fees
Chapter 603. Administrative Files
Chapter 604. Interpretive Opinions of Com mission—Statement of Policy
Chapter 605. Commissioners and Commis sion Employees; Relationship with
Licensed Persons or Qualified Organiza tions
Chapter 606. Miscellaneous Powers of Com mission
Chapter 609. Regulations, Forms and Or ders
Chapter 610. Destruction of Documents and RecordsSubpart G. General Provisions
Chapter 701. Service of ProcessSubpart H. Practice and Procedure
Chapter 901. Special Rules of Administra tive Practice and ProcedureSubpart I. Takeover Offerors
Chapter 1001. Takeover Disclosures
TITLE 64. [Reserved and Renumbered]
TABLE OF REGULATIONS TO BE TRANSFERRED The following chapters are transferred from Title 64 to Title 10:
Former Pa. Code Reference New Pa. Code
ReferenceTitle 64, Chapter 101 Title 10, Chapter 101 Title 64, Chapter 102 Title 10, Chapter 102 Title 64, Chapter 202 Title 10, Chapter 202 Title 64, Chapter 203 Title 10, Chapter 203 Title 64, Chapter 204 Title 10, Chapter 204 Title 64, Chapter 205 Title 10, Chapter 205 Title 64, Chapter 206 Title 10, Chapter 206 Title 64, Chapter 207 Title 10, Chapter 207 Title 64, Chapter 209 Title 10, Chapter 209 Title 64, Chapter 210 Title 10, Chapter 210 Title 64, Chapter 211 Title 10, Chapter 211 Title 64, Chapter 301 Title 10, Chapter 301 Title 64, Chapter 302 Title 10, Chapter 302 Title 64, Chapter 303 Title 10, Chapter 303 Title 64, Chapter 304 Title 10, Chapter 304 Title 64, Chapter 305 Title 10, Chapter 305 Title 64, Chapter 401 Title 10, Chapter 401 Title 64, Chapter 403 Title 10, Chapter 403 Title 64, Chapter 404 Title 10, Chapter 404 Title 64, Chapter 501 Title 10, Chapter 501 Title 64, Chapter 504 Title 10, Chapter 504 Title 64, Chapter 513 Title 10, Chapter 513 Title 64, Chapter 601 Title 10, Chapter 601 Title 64, Chapter 602 Title 10, Chapter 602 Title 64, Chapter 603 Title 10, Chapter 603 Title 64, Chapter 604 Title 10, Chapter 604 Title 64, Chapter 605 Title 10, Chapter 605 Title 64, Chapter 606 Title 10, Chapter 606 Title 64, Chapter 609 Title 10, Chapter 609 Title 64, Chapter 610 Title 10, Chapter 610 Title 64, Chapter 701 Title 10, Chapter 701 Title 64, Chapter 901 Title 10, Chapter 901 Title 64, Chapter 1001 Title 10, Chapter 1001
REGULATIONS NOT TRANSFERRED The following chapters in Title 64 never contained regulations and will not be transferred to Title 10:
Title 64, Chapter 208
Title 64, Chapter 402
Title 64, Chapter 405
Title 64, Chapter 406
Title 64, Chapter 407
Title 64, Chapter 502
Title 64, Chapter 503
Title 64, Chapter 505
Title 64, Chapter 506
Title 64, Chapter 507
Title 64, Chapter 508
Title 64, Chapter 509
Title 64, Chapter 510
Title 64, Chapter 511GLENN E. MOYER,
Secretary
[Pa.B. Doc. No. 12-2425. Filed for public inspection December 14, 2012, 9:00 a.m.]
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