§ 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,
   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;  76 FR 17349 , Mar. 29, 2011]

   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.

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