This page provides procedures and information for requesting, inspecting and obtaining copies of public records maintained by the Pennsylvania Department of Banking and Securities (Department) pursuant to the Pennsylvania Right-to-Know Law, 65 P.S. 67.3104 (RTKL) and Management Directive 205.36 (Amended).
All RTKL requests for access to records must be made in writing and may be submitted in person, by mail, by email or by facsimile (during normal business hours). Your request must state explicitly that it is an RTKL request in the written request itself and in the subject line of any email request.
Your request should also identify or describe the records sought with sufficient specificity to enable the department to ascertain which records are being requested; from which office(s) the request is being made (if possible); and the name and address to which the department should address its response to. You can also download, fill out and submit the Standard Right-to-Know Law Request Form here
for use with your request.
Requests for access to records should be addressed to the Agency Open Records Officer (AORO). Requests can be delivered (during normal business hours) or mailed to:
Mary Beth S. Stringent
Agency Open Records Officer
Department of Banking and Securities
17 North Second Street
Harrisburg, PA 17101
Requests may be sent via facsimile to 717-214-0808.
Submittal of a request to any other address, email address or facsimile number does not oblige the department to respond to it, nor can it serve as a basis for the deemed denial of the request.
The Department's AORO has the authority to grant or deny physical access to a public record and the discretion to impose reasonable restrictions on the time, place and nature of access.
requests Regarding Depository Institutions and Non-Depository Licensees
Please be advised that, pursuant to Section 302.A of the Department of Banking and Securities Code (Code), 7 P.S. §
733-302.A, the department is broadly prohibited from disclosing most of the records in its possession related to depository institutions and non-depository licensees. Therefore, pursuant to Sections 305(a)(3), 306 and 3101.1 of the RTKL, 65 P.S. §§
67.305(a)(3), 67.306, 67.3101.1, these records are presumed to be exempt from disclosure. The Office of Open Records has upheld department denials of RTKL requests based on Section 302.A of the Code. See OOR Final Determination AP 2011-0342.
Some common requests for records that the department denies based on Section 302 of the Code (and other RTKL exceptions) are requests for licensee examination reports, bank examination reports, licensing and chartering applications, consumer complaints, investigative materials, Memorandums of Understanding regarding depository institutions, and supporting documentation to applications and orders.
If your request for records is granted in whole or in part, you may be charged the following fees:
$.25 per page
Certified Record Surcharge
$5.00 per record
$1.00 per diskette
There is no charge for the redaction of information from the requested records.
The Department may require you to prepay an estimate of the fees listed above if the fees required to fulfill the request are expected to exceed $100.00, including prepayment of delinquent fees from a prior request to any Commonwealth agency. All costs must be paid by check or money order payable to the Department of Banking and Securities.
exceptions: How to File an Appeal
If your request has been denied in whole or in part you may file an appeal with the Office of Open Records. Appeals must be filed within 15 business days of the mailing date of the Department's written denial and mailed to:
The Office of Open Records
Commonwealth Keystone Building
400 North Street
Harrisburg, PA 17120-0225
All appeals must be in writing and signed by the requester. The appeal should include your original request, the Department's response letter and shall specifically state grounds why the records sought are public and shall address the reasons stated by the department for denying the request. An appeal form can be downloaded here from the Office of Open Records.
You must submit two copies of these materials to the Office of Open Records. You must also submit a copy of your appeal to the Department's AORO.
Questions regarding the appeal process may be directed to the Office of Open Records at 717-346-9903 or email: firstname.lastname@example.org