§  1.948   Assignment of authorization or transfer of control, notification of
consummation.

   (a) General. Except as provided in this section, authorizations in the
   Wireless Radio Services may be assigned by the licensee to another
   party, voluntarily or involuntarily, directly or indirectly, or the
   control of a licensee holding such authorizations may be transferred,
   only upon application to and approval by the Commission.

   (b) Limitations on transfers and assignments. (1) A change from less
   than 50% ownership to 50% or more ownership shall always be considered
   a transfer of control.

   (2) In other situations a controlling interest shall be determined on a
   case-by-case basis considering the distribution of ownership, and the
   relationships of the owners, including family relationships.

   (3) Designated Entities, as defined in § 1.2110(a) of this part, must
   comply with § § 1.2110 and 1.2111 of this part when seeking to assign or
   transfer control of an authorization.

   (4) Stations must meet all applicable requirements regarding transfers
   and assignments contained in the rules pertaining to the specific
   service in which the station is licensed.

   (5) Licenses, permits, and authorizations for stations in the Amateur,
   Ship, Aircraft, Commercial Operator and Personal Radio Services (except
   218–219 MHz Service) may not be assigned or transferred, unless
   otherwise stated.

   (c) Application required. In the case of an assignment of authorization
   or transfer of control, the assignor must file an application for
   approval of the assignment on FCC Form 603. If the assignee or
   transferee is subject to the ownership reporting requirements of
   § 1.2112, the assignee or transferee must also file an updated FCC Form
   602 or certify that a current FCC Form 602 is on file.

   (1) In the case of a non-substantial ( pro forma ) transfer or
   assignment involving a telecommunications carrier, as defined in
   § 153(44) of the Communications Act, filing of the Form 603 and
   Commission approval in advance of the proposed transaction is not
   required, provided that:

   (i) the affected license is not subject to unjust enrichment provisions
   under subpart Q of this part;

   (ii) the transfer or assignment does not involve a proxy contest; and

   (iii) the transferee or assignee provides notice of the transaction by
   filing FCC Form 603 within 30 days of its completion, and provides any
   necessary updates of ownership information on FCC Form 602.

   (2) In the case of an involuntary assignment or transfer, FCC Form 603
   must be filed no later than 30 days after the event causing the
   involuntary assignment or transfer.

   (d) Notification of consummation. In all Wireless Radio Services,
   licensees are required to notify the Commission of consummation of an
   approved transfer or assignment using FCC Form 603. The assignee or
   transferee is responsible for providing this notification, including
   the date the transaction was consummated. For transfers and assignments
   that require prior Commission approval, the transaction must be
   consummated and notification provided to the Commission within 180 days
   of public notice of approval, and notification of consummation must
   occur no later than 30 days after actual consummation, unless a request
   for an extension of time to consummate is filed on FCC Form 603 prior
   to the expiration of this 180-day period. For transfers and assignments
   that do not require prior Commission approval, notification of
   consummation must be provided on FCC Form 603 no later than 30 days
   after consummation, along with any necessary updates of ownership
   information on FCC Form 602.

   (e) Partial assignment of authorization. If the authorization for some,
   but not all, of the facilities of a radio station in the Wireless Radio
   Services is assigned to another party, voluntarily or involuntarily,
   such action is a partial assignment of authorization. To request
   Commission approval of a partial assignment of authorization, the
   assignor must notify the Commission on FCC Form 603 of the facilities
   that will be deleted from its authorization upon consummation of the
   assignment.

   (f) Partitioning and disaggregation. Where a licensee proposes to
   partition or disaggregate a portion of its authorization to another
   party, the application will be treated as a request for partial
   assignment of authorization. The assignor must notify the Commission on
   FCC Form 603 of the geographic area or spectrum that will be deleted
   from its authorization upon consummation of the assignment.

   (g) Involuntary transfer and assignment. In the event of the death or
   legal disability of a permittee or licensee, a member of a partnership,
   or a person directly or indirectly in control of a corporation which is
   a permittee or licensee, the Commission shall be notified promptly of
   the occurrence of such death or legal disability. Within 30 days after
   the occurrence of such death or legal disability (except in the case of
   a ship or amateur station), an application shall be filed for consent
   to involuntary assignment of such permit or license, or for involuntary
   transfer of control of such corporation, to a person or entity legally
   qualified to succeed to the foregoing interests under the laws of the
   place having jurisdiction over the estate involved. The procedures and
   forms to be used are the same procedures and forms as those specified
   in paragraph (b) of this section. In the case of Ship, aircraft,
   Commercial Operator, Amateur, and Personal Radio Services (except for
   218–219 MHz Service) involuntary assignment of licenses will not be
   granted; such licenses shall be surrendered for cancellation upon the
   death or legal disability of the licensee. Amateur station call signs
   assigned to the station of a deceased licensee shall be available for
   reassignment pursuant to § 97.19 of this chapter.

   (h) Disclosure requirements. Applicants for transfer or assignment of
   licenses in auctionable services must comply with the disclosure
   requirements of § § 1.2111 and 1.2112 of this part.

   (i) Trafficking. Applications for approval of assignment or transfer
   may be reviewed by the Commission to determine if the transaction is
   for purposes of trafficking in service authorizations.

   (1) Trafficking consists of obtaining or attempting to obtain an
   authorization for the principal purpose of speculation or profitable
   resale of the authorization rather than for the provision of
   telecommunication services to the public or for the licensee's own
   private use.

   (2) The Commission may require submission of an affirmative, factual
   showing, supported by affidavit of persons with personal knowledge
   thereof, to demonstrate that the assignor did not acquire the
   authorization for the principal purpose of speculation or profitable
   resale of the authorization. This showing may include, for example, a
   demonstration that the proposed assignment is due to changed
   circumstances (described in detail) affecting the licensee after the
   grant of the authorization, or that the proposed assignment is
   incidental to a sale of other facilities or a merger of interests.

   (j) Processing of applications. Applications for assignment of
   authorization or transfer of control relating to the Wireless Radio
   Services will be processed pursuant either to general approval
   procedures or the immediate approval procedures, as discussed herein.

   (1) General approval procedures. Applications will be processed
   pursuant to the general approval procedures set forth in this paragraph
   unless they are submitted and qualify for the immediate approval
   procedures set forth in paragraph (j)(2) of this section.

   (i) To be accepted for filing under these general approval procedures,
   the application must be sufficiently complete and contain all necessary
   information and certifications requested on the applicable form, FCC
   Form 603, including any information and certifications (including those
   of the proposed assignee or transferee relating to eligibility, basic
   qualifications, and foreign ownership) required by the rules of this
   chapter and any rules pertaining to the specific service for which the
   application is filed, and must include payment of the required
   application fee(s) ( see § 1.1102).

   (ii) Once accepted for filing, the application will be placed on public
   notice, except no prior public notice will be required for applications
   involving authorizations in the Private Wireless Services, as specified
   in § 1.933(d)(9).

   (iii) Petitions to deny filed in accordance with section 309(d) of the
   Communications Act must comply with the provisions of § 1.939, except
   that such petitions must be filed no later than 14 days following the
   date of the public notice listing the application as accepted for
   filing.

   (iv) No later than 21 days following the date of the public notice
   listing an application as accepted for filing, the Wireless
   Telecommunications Bureau (Bureau) will affirmatively consent to the
   application, deny the application, or determine to subject the
   application to further review. For applications for which no prior
   public notice is required, the Bureau will affirmatively consent to the
   application, deny the application, or determine to subject the
   application to further review no later than 21 days following the date
   on which the application has been filed, if filed electronically, and
   any required application fee has been paid ( see § 1.1102); if filed
   manually, the Bureau will affirmatively consent to the application,
   deny the application, or determine to subject the application to
   further review no later than 21 days after the necessary data in the
   manually filed application is entered into ULS.

   (v) If the Bureau determines to subject the application to further
   review, it will issue a public notice so indicating. Within 90 days
   following the date of that public notice, the Bureau will either take
   action upon the application or provide public notice that an additional
   90-day period for review is needed.

   (vi) Consent to the application is not deemed granted until the Bureau
   affirmatively acts upon the application.

   (vii) Grant of consent to the application will be reflected in a public
   notice (see § 1.933(a)) promptly issued after the grant.

   (viii) If any petition to deny is filed, and the Bureau grants the
   application, the Bureau will deny the petition(s) and issue a concise
   statement of the reason(s) for denial, disposing of all substantive
   issues raised in the petition(s).

   (2) Immediate approval procedures. Applications that meet the
   requirements of paragraph (j)(2)(i) of this section qualify for the
   immediate approval procedures.

   (i) To qualify for the immediate approval procedures, the application
   must be sufficiently complete, contain all necessary information and
   certifications (including those relating to eligibility, basic
   qualifications, and foreign ownership), and include payment of the
   requisite application fee(s), as required for an application processed
   under the general approval procedures set forth in paragraph (j)(1) of
   this section, and also must establish, through certifications, that the
   following additional qualifications are met:

   (A) The license does not involve spectrum licensed in a Wireless Radio
   Service that may be used to provide interconnected mobile voice and/or
   data services under the applicable service rules and that would, if
   assigned or transferred, create a geographic overlap with spectrum in
   any licensed Wireless Radio Service (including the same service) in
   which the proposed assignee or transferee already holds a direct or
   indirect interest of 10% or more ( see § 1.2112), either as a licensee
   or a spectrum lessee, and that could be used by the assignee or
   transferee to provide interconnected mobile voice and/or data services;

   (B) The licensee is not a designated entity or entrepreneur subject to
   unjust enrichment requirements and/or transfer restrictions under
   applicable Commission rules ( see § § 1.2110 and 1.2111, and § § 24.709,
   24.714, and 24.839 of this chapter); and,

   (C) The assignment or transfer of control does not require a waiver of,
   or declaratory ruling pertaining to, any applicable Commission rules,
   and there is no pending issue as to whether the license is subject to
   revocation, cancellation, or termination by the Commission.

   (ii) Provided that the application establishes that it meets all of the
   requisite elements to qualify for these immediate approval procedures,
   consent to the assignment or transfer of control will be reflected in
   ULS. If the application is filed electronically, consent will be
   reflected in ULS on the next business day after the filing of the
   application; if filed manually, consent will be reflected in ULS on the
   next business day after the necessary data in the manually filed
   application is entered into ULS. Consent to the application is not
   deemed granted until the Bureau affirmatively acts upon the
   application.

   (iii) Grant of consent to the application under these immediate
   approval procedures will be reflected in a public notice ( see
   § 1.933(a)) promptly issued after the grant, and is subject to
   reconsideration ( see § § 1.106(f), 1.108, 1.113).

   [ 63 FR 68933 , Dec. 14, 1998, as amended at  64 FR 62120 , Nov. 16, 1999;
    68 FR 42995 , July 21, 2003;  68 FR 66276 , Nov. 25, 2003;  69 FR 77549 ,
   Dec. 27, 2004;  69 FR 77944 , Dec. 29, 2004]

   Effective Date Note:   At  69 FR 77549 , Dec. 27, 2004, § 1.948(j)(2) was
   revised. This paragraph contains information collection and
   recordkeeping requirements and will not become effective until approval
   has been given by the Office of Management and Budget.