Sec. 27.204  Bidding application and certification procedures; 
          prohibition of collusion.

    (a) Submission of Short-Form Application (FCC Form 175). In order to 
be eligible to bid, an applicant must timely submit, by means of 
electronic filing, a short-form application (FCC Form 175). Unless 
otherwise provided by public notice, the Form 175 need not be 
accompanied by an upfront payment (see Sec. 27.205).
    (1) All Form 175s will be due on the date specified by public 
notice.
    (2) The Form 175 must contain the following information:
    (i) Identification of each license on which the applicant wishes to 
bid;
    (ii) The applicant's name, if the applicant is an individual. If the 
applicant is a corporation, then the short-form application will require 
the name and address of the corporate office and the name and title of 
an officer or director. If the applicant is a partnership, then the 
application will require the names, citizenship and addresses of all 
partners, and, if a partner is not a natural person, then the name and 
title of a responsible person should be included as well. If the 
applicant is a trust, then the name and address of the trustee will be 
required. If the applicant is none of the above, then it must identify 
and describe itself and its principals or other responsible persons;
    (iii) The identity of the person(s) authorized to make or withdraw a 
bid;
    (iv) If the applicant applies as a designated entity pursuant to 
section 27.210(b), a statement to that effect and a declaration, under 
penalty of perjury, that the applicant is qualified as a designated 
entity under Sec. 27.210(b).
    (v) Certification that the applicant is legally, technically, 
financially and otherwise qualified pursuant to section 308(b) of the 
Communications Act of 1934, as amended. The Commission will accept 
applications certifying that a request for waiver or other relief from 
the requirements of section 310 is pending;
    (vi) Certification that the applicant is in compliance with the 
foreign ownership provisions of section 310 of the

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Communications Act of 1934, as amended;
    (vii) Certification that the applicant is and will, during the 
pendency of its application(s), remain in compliance with any service-
specific qualifications applicable to the licenses on which the 
applicant intends to bid including, but not limited to, financial 
qualifications. The Commission may require certification in certain 
services that the applicant will, following grant of a license, come 
into compliance with certain service-specific rules, including, but not 
limited to, ownership eligibility limitations;
    (viii) An exhibit, certified as truthful under penalty of perjury, 
identifying all parties with whom the applicant has entered into 
partnerships, joint ventures, consortia or other agreements, 
arrangements or understandings of any kind relating to the licenses 
being auctioned, including any such agreements relating to the post-
auction market structure;
    (ix) Certification under penalty of perjury that it has not entered 
and will not enter into any explicit or implicit agreements, 
arrangements or understandings of any kind with any parties other than 
those identified pursuant to paragraph (a)(2)(viii) of this section 
regarding the amount of their bids, bidding strategies or the particular 
licenses on which they will or will not bid; and
    (x) Certification under penalty of perjury that it is not in default 
on any Commission licenses and that it is not delinquent on any 
extension of credit from any federal agency.


    Note to paragraph (a): The Commission may also request applicants to 
submit additional information for informational purposes to aid in its 
preparation of required reports to Congress.


    (b) Modification and Amendment of Application. Applicants will be 
permitted to amend their Form 175 applications to make minor amendments 
to correct minor errors or defects such as typographical errors. 
Applicants will also be permitted to amend FCC Form 175 to make changes 
to the information required by Sec. 27.204(a) (such as ownership changes 
or changes in the identification of parties to bidding consortia), 
provided such changes do not result in a change in control of the 
applicant and do not involve another applicant (or parties in interest 
to an applicant) who has applied for licenses in any of the same 
geographic license areas as the applicant. Amendments which change 
control of the applicant will be considered major amendments. An FCC 
Form 175 which is amended by a major amendment will be considered to be 
newly filed and cannot be resubmitted after applicable filing deadlines. 
See also Sec. 1.2105 of this chapter.
    (c) Prohibition of collusion. (1) Except as provided in paragraphs 
(c)(2), (c)(3) and (c)(4) of this section, after the filing of short-
form applications, all applicants are prohibited from cooperating, 
collaborating, discussing or disclosing in any manner the substance of 
their bids or bidding strategies, or discussing or negotiating 
settlement agreements, with other applicants until after the high bidder 
makes the required down payment, unless such applicants are members of a 
bidding consortium or other joint bidding arrangement identified on the 
bidder's short-form application pursuant to Sec. 27.204(a)(2)(viii).
    (2) Applicants may modify their short-form applications to reflect 
formation of consortia or changes in ownership at any time before or 
during an auction, provided such changes do not result in a change in 
control of the applicant, and provided that the parties forming 
consortia or entering into ownership agreements have not applied for 
licenses in any of the same geographic license areas. Such changes will 
not be considered major modifications of the application.
    (3) After the filing of short-form applications, applicants may make 
agreements to bid jointly for licenses, provided the parties to the 
agreement have not applied for licenses in any of the same geographic 
license areas.
    (4) After the filing of short-form applications, a holder of a non-
controlling attributable interest in an entity submitting a short-form 
application may acquire an ownership interest in, form a consortium 
with, or enter into a joint bidding arrangement with, other applicants 
for licenses in the same geographic license area, provided that:

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    (i) The attributable interest holder certifies to the Commission 
that it has not communicated and will not communicate with any party 
concerning the bids or bidding strategies of more than one of the 
applicants in which it holds an attributable interest, or with which it 
has a consortium or joint bidding arrangement, and which have applied 
for licenses in the same geographic license area(s); and
    (ii) The arrangements do not result in any change in control of an 
applicant.
    (5) Applicants must modify their short-form applications to reflect 
any changes in ownership or in the membership of consortia or joint 
bidding arrangements.
    (6) For purposes of this paragraph:
    (i) The term ``applicant'' shall include the entity submitting a 
short-form application to participate in an auction (FCC Form 175), as 
well as all holders of partnership and other ownership interests and any 
stock interest amounting to 5 percent or more of the entity, or 
outstanding stock, or outstanding voting stock of the entity submitting 
a short-form application, and all officers and directors of that entity; 
and
    (ii) The term ``bids or bidding strategies'' shall include capital 
calls or requests for additional funds in support of bids or bidding 
strategies.