Form 323 Frequently Asked Questions

If your question is not addressed in the FAQs, please submit your detailed question to Form323@fcc.gov.

General Questions – Biennial Ownership Reports

Who must file a biennial ownership report on Form 323?
When is the biennial ownership report filing deadline?
How do I get the correct name and address for the Respondent to appear in Section 1 of the Form 323?
In order to fill out the 2011 biennial Ownership Report, I want to copy from my previous biennial Form 323 instead of re-typing the data. How do I copy the data from my 2009 biennial Ownership Report?
What about individual officers/directors or other stock/interest holders in my company? Do individual people who aren’t Licensees but have attributable interests in commercial broadcast stations have to file a biennial ownership report for themselves?
Do non-commercial educational (NCE) broadcasters have to use Form 323 for their biennial ownership reports?
What if the form I want to copy was prepared by a different entity in my corporate organization, using its own CDBS account? Can I copy it and use it to pre-fill a form on my own CDBS account?
My ownership structure includes a trust that does not have a taxpayer ID number, and is not required to get one. How do I obtain an FRN for this trust?
My ownership structure includes a shareholder who is a citizen of another country and does not have a U.S. taxpayer number. How should she obtain an FRN?
How does the 2011 biennial filing requirement apply to stations that were assigned or transferred after October 1, 2011, but on or before December 1, 2011?

Form 323 - Specific Questions

General Questions – Biennial Ownership Reports

Who must file a biennial ownership report on Form 323?
All persons or entities that hold broadcast licenses (not merely permits) for commercial AM, FM, full-power TV stations, as well as Class A TV and Low Power TV stations ("Licensees") must file an ownership report on Form 323 every two years. In addition, where the organizational structure of a licensee includes holding companies or other forms of indirect ownership, each entity in that organizational chain that holds an attributable interest in the licensee for which the Report is being submitted must file a separate ownership report. For further details, see the instructions to Form 323.

The Commission’s attribution rules are located at 47 C.F.R. Section 73.3555 and the notes to Section 73.3555, as revised and explained in Review of the Commission’s Regulations Governing Attribution of Broadcast and Cable/MDS Interests, 14 FCC Rcd 12559 (1999), recon. granted in part, 16 FCC Rcd 1097 (2000). See also Report and Order in MM Docket No. 83-46, 97 FCC 2d 997 (1984), recon. granted in part, 58 RR 2d 604 (1985), further modified on recon., 61 RR 2d 739 (1986); In re Promoting Diversification of Ownership in the Broadcasting Services, Report and Order and Third Further Notice of Proposed Rulemaking, 23 FCC Rcd 5922, FCC 07-217 (2008).
When is the biennial ownership report filing deadline?
The extended filing deadline is December 1, 2011 and information on the form must be current as of October 1, 2011. Filers may submit the Biennial Form 323 anytime between October 1 and December 1, 2011, but are encouraged to file early.

The Media Bureau, on its own motion extended the November 1, 2011 filing deadline until December 1, 2011. Please note that the extension applies only to the 2011 biennial filing requirement. Promoting Diversification in the Broadcasting Services, MB Docket No. 07-294, et al., Order, DA 11-1445 (MB, rel. Aug. 23, 2011). (Revised: 9/1/2011)
How do I get the correct name and address for the Respondent to appear in Section 1 of the Form 323?
To ensure that the correct Respondent name and address appear on the form, select the “Account Maintenance” button. The information in Account Maintenance should always be reviewed before starting a Form 323, as the information that appears in Account Maintenance will be pre-filled into Section 1, General Information on the Form 323. If the name and contact information listed in Account Maintenance is not correct, revise the information and click “Update Account.” After verifying or revising the information in Account Maintenance, you may begin completing the 2011 biennial Ownership Report. Please note that any changes to the name and address must be done before you begin completing the form as you will not be able to make changes to the name and address in Section 1 once the form is pending. (Revised: 10/26/2011)
In order to fill out the 2011 biennial Ownership Report, I want to copy from my previous biennial Form 323 instead of re-typing the data. How do I copy the data from my 2009 biennial Ownership Report?
Copying from your previous biennial Ownership Report can greatly reduce the burden of filing multiple forms that contain the same information. It should also reduce the incidence of data entry error. There are two ways to copy and transfer data. First, you can copy a form that has already been filed with the Commission. Second, you can copy a form you have saved in your CDBS filing account. (Note, however, you can only copy information from a current version of Form 323 on file with the Commission.) For entities with ownership structures that share personnel among multiple sister-company subsidiaries, it may be advantageous to fill out a Form 323 for one company in the chain of ownership and then use that company’s filed form as the template for multiple other forms that will report similar information.
Copying From A Previous Filing:
The CDBS system allows users to copy from a previous filing on the revised Form 323 and then edit the imported information as necessary. To copy a report, you will need the FCC File Number (found in the top-right hand corner of the completed, printed form).
1. First, complete the pre-form page for Form 323 and select the “prefill from earlier filing” option and enter the file number of the previously-filed ownership report in the space provided. Entering the file number ensures that data transferred to the 2011 biennial Ownership Report is from the Form 323 from which you intend to copy and not from another ownership report filed for the facility.
2. After you hit “Enter,” your copied data will appear in the Form 323. You can revise the information appearing in the form as necessary. You will also be required to provide a response to the fee question, insert the “as of” date, complete the certification and validate the form before it can be filed.
3. CAUTION: Carefully review your 2011 biennial Form 323 before filing and verify that your information was properly transferred to the form. We recommend that filers review the Most Common Form 323 Filing Errors page before filing the form.
Copying From A Saved Form In Your CDBS Account:

If you have filled out a Form 323 on the recent version of the form, you can select the form in your CDBS account menu and hit the “Copy Form” button at the bottom of your screen to make a duplicate copy. You can then edit the duplicate copy to add or change information as you see fit and save it as a separate copy of the form in your CDBS account. (Revised: 10/26/2011)
What about individual officers/directors or other stock/interest holders in my company? Do individual people who aren’t Licensees but have attributable interests in commercial broadcast stations have to file a biennial ownership report for themselves?
No. Individual persons must be reported on the reports for the organizations in which they have an attributable interest (either because they are an officer/director or own stock/shares in the organization) and must not file Form 323 separately. (The only exception is in the case of sole proprietor Licensees, who file for themselves as Licensees.)

For example, if you are an officer in a corporate parent company that has an attributable interest in a licensee, your company files Form 323 and reports on that form itself, its ownership interests, and you (as an officer in the company). You should not file a separate Form 323 to report your interest in the parent if you are an individual. Similarly, a partnership organization would file for the organization, with the report listing the partners in the partnership—but the individual partners (non-entity partners) would not file separate Form 323 biennial ownership reports.
Do non-commercial educational (NCE) broadcasters have to use Form 323 for their biennial ownership reports?
No. NCE broadcasters file biennial reports on Form 323-E, which is a completely separate form. NCE licensees must continue to file Form 323-E on the previous schedule.

Copying From A Previous Filing: The CDBS system allows users to copy from a previous filing on the revised Form 323 and then edit the imported information in the copy to tailor it appropriately. To copy a report, you will need the FCC File Number (found in the top-right hand corner of the completed, printed form). On the pre-form questions in CDBS, select the option to “copy from a previously filed report” and fill in the FCC File Number in the appropriate boxes.

Copying From A Saved Form In Your CDBS Account: If you have filled out a Form 323 on the version of the form, you can select the form in your CDBS account menu and hit the “Copy Form” button at the bottom of your screen to make a duplicate copy. You can then edit the duplicate copy to add or change information as you see fit and save it as a separate copy of the form in your CDBS account. (Revised: 9/1/2011)

What if the form I want to copy was prepared by a different entity in my corporate organization, using its own CDBS account? Can I copy it and use it to pre-fill a form on my own CDBS account?
Yes. If the form has already been filed with the FCC. You can copy the information from any report filed on the revised Form 323, regardless of who filed it. All you need in order to copy the report is the FCC File Number (found in the top-right hand corner of the completed, printed form). On the pre-form questions in CDBS, select the option to “copy from a previously filed report” and fill in the FCC File Number in the appropriate boxes.

For account security reasons, it is not possible to copy a draft (unfiled) copy of a form that was created in a different CDBS account. However, after the form is filed and receives an FCC File Number, it can be copied using the method described for Copying From a Previous Filing.
My ownership structure includes a trust that does not have a taxpayer ID number, and is not required to get one. How do I obtain an FRN for this trust?
Trusts that do not have TINs should register for FRNs on the CORES system, and select the exemption marked “Exempted Activities” in the box for exemptions. Fill in the other information boxes and complete the registration to obtain an FRN. Note: as with all other persons/entities, the trust should then use that same FRN for all future filings.
My ownership structure includes a shareholder who is a citizen of another country and does not have a U.S. taxpayer number. How should she obtain an FRN?
She should register for an FRN on the CORES system, and select the exemption marked “Individual is foreign” in the box for exemptions. Fill in the other information boxes and complete the registration to obtain an FRN. Note: as with all other persons/entities, this FRN should be used for this person for all future filings. Foreign entities should select the same exemption option when registering for FRNs.
How does the 2011 biennial filing requirement apply to stations that were assigned or transferred after October 1, 2011, but on or before December 1, 2011?
For any assignment or transfer of control application that is granted after October 1, 2011, but on or before December 1, 2011, the Commission will include as a condition of grant of the application that the proposed assignor/transferor must file Form 323 either: (A) on or before consummation of the assignment/transfer; OR (B) by December 1, 2011, whichever is earlier. Ownership information should be reported as of October 1, 2011. (Revised: 9/1/2011).

Form 323 - Specific Questions

Where do I get an FRN?
You can register for an FRN (the “FCC Registration Number,” an identifying number that the Commission issues for use on FCC filings) through the Commission’s CORES system. Visit http://www.fcc.gov/e-file/ and click on the CORES link, or visit CORES directly. Click on the button marked “Register” to obtain a new FRN, or “Update” if you want to update an existing FRN.
I need help locating my CORES FRN and/or password.
Contact the CORES Help Desk at 1-877-480-3201, Option 2 or at CORES@fcc.gov for assistance. See below for answers to additional FRN-related questions. (Revised: 9/1/2011)
I am an individual interest holder who will be reported on my company’s biennial Form 323. Do I really have to include a separate FRN for myself?
Yes. On the revised Form 323, the FRNs of attributable interest holders, including individuals, must be reported along with the information identifying the interest holder (name, address, type of interest held, demographic information, etc.). You can input either a regular FRN, or you can select the option in Question 3(a) to generate what is called a “Special Use FRN”. (See the additional FAQs below re: “Special Use” FRNs.) (Revised 6/22/2010).
I am an individual interest holder who will be reported on my company’s biennial Form 323. I have heard that in order to get a regular FRN I have to provide my Social Security Number or Taxpayer ID Number. Is that true?
Yes. FRNs allow the Commission to verify the identity of persons and entities doing business with the Commission without requiring them to provide their personal ID numbers (such as SSNs or TIDs) every time a form is filed with the Commission. However, in order to provide you with a number that can be used in lieu of providing a sensitive SSN or TIN on each form, the Commission must collect your SSN or TIN at the registration stage.

Form 323 does not collect Social Security Numbers or Taxpayer ID Numbers, and you should never list such numbers on your biennial ownership report.

While it may be convenient in some cases to allow your legal counsel or company to obtain an FRN on your behalf, it is not necessary for you to do so. If you would prefer to obtain your own FRN in the privacy of your own home and then provide the FRN to the person preparing your company’s biennial ownership report, you may certainly do so.

Alternatively, Form 323 permits respondents to generate “Special Use” FRNs for use in reporting interests of individual persons solely on Form 323. No Social Security Number is required to generate a “Special Use” FRN. (See the additional FAQs below for more on “Special Use” FRNs.) The guidance provided on Special Use FRNs in the Media Bureau's December 4, 2009 Public Notice (DA 09-2539) has been superseded as discussed herein. (Revised 9/29/2011).
I am an attorney completing Form 323 for a client. I have made every attempt to get FRNs for all of the officers, directors, and attributable shareholders I need to report, but one of them refuses to get an FRN for himself and won’t give me the information I need to obtain one on his behalf. My client may have this individual’s Social Security Number in its files, but doesn’t have permission to use it or give it to me to register an FRN for him. What do I do?
As a rule, all filers must provide an FCC Registration Number (FRN) for all persons and entities reported on Form 323. If, after using diligent and good-faith efforts, Respondent is unable to obtain, and/or does not have permission to use, a Social Security Number in order to generate an FRN for any specific individual whose FRN must be reported on Form 323, the electronic form contains a mechanism for generating an interim “Special Use FRN” solely for the purposes of completing the form. The “Special Use FRN” may be used only to file an ownership report on FCC Form 323 and may not be used for any other purpose at the FCC. Respondents who use a non-SSN based ‘Special Use FRN’ will be deemed fully compliant with the Form 323 filing obligation for purposes of the 323 filing and the lack of SSN-based FRNs in response to Question 3(a) will not subject Respondents to enforcement action.

We remind individuals who must be reported on the form that they have the option of obtaining their own FRN directly from the CORES system, obviating the need to disclose their SSNs to anyone other than the Commission. We encourage individuals to provide FRNs to filers to alleviate any concerns they may have about disclosing their SSNs to filing entities. The guidance provided on Special Use FRNs in the Media Bureau's December 4, 2009 Public Notice (DA 09-2539) has been superseded as discussed herein. (Revised 9/29/2011).
Can I use the “Special Use FRN” function on a non-biennial report?
Yes. The “Special Use” functionality applies in the same way to both biennial and non-biennial reports. Respondents may generate “Special Use” FRNs for non-biennial reports subject to the same restrictions listed above.
What if I already have an FRN? Do I have to get a new one?
No. If you have already obtained an FRN through the Commission’s CORES system, you should not re-register for a new FRN. Use your existing FRN.
What if I have more than one FRN on file? Can I use any of them?
Yes. You can use any FRN you would like—as long as you use the same FRN for each ownership report filed in the future. In addition, if your FRN will be disclosed on reports filed by other entities (for example, a Licensee’s FRN that gets reported on each of the reports for its parent company owner and subsidiary holding companies), filers must ensure they are using the same FRN for that entity on all reports.
My company is a parent company that owns several Licensee companies as subsidiaries. Each Licensee company has several stations. Question 7 in Part I asks me to list the Licensee and the stations on the report. Can I just put all the Licensees and all their stations into the same report for the parent company?
No. Broadcast stations that do not have the same ownership cannot be listed on the same ownership report. In this situation, the parent company owner must file separate forms reporting its ownership of each Licensee company. This is unchanged from the previous requirement.
Did the Commission change the requirements about reporting officers and directors of parent companies?
No. You should include officers and directors of the parent company in Question 3(a) of the revised form.
Do attributable interest holders in parent companies have to be reported in Question 3(a)?
Yes. List persons/entities who have direct attributable interest holders in the parent in response to question 3(a). Note that in some cases not every owner or person who has an attributable interest in the parent company must have its interest reported on the form. Report only those interest holders in the parent company who also have an attributable interest in the broadcast licensee for which the biennial report is being submitted.
My company is a subsidiary of a parent company. I understand that I need to report my own officers and directors in Question 3, and that I need to report the parent company that owns us, but do I have to track down and report the parent company’s officers and directors, too?
No. The information about the parent company’s officers and directors will be provided on the separate Form 323 report filed by the parent company.
My company is a parent company that owns several subsidiaries. Do I have to list the subsidiary companies that my company owns in Question 3?
No. Question 3 only requires information on entities/persons who have attributable interests in the entity filing Form 323. Licensee subsidiaries or subsidiaries with attributable interests in Licensees are reported in Question 4. If you are completing the form for an entity that has reportable subsidiaries, report only the names and FRNs of the subsidiaries in Question 4. You do not have to include the subsidiary’s officers/directors or other interest holders associated with the subsidiary—that information will be captured on the subsidiary’s Form 323.

In addition, the only subsidiaries you must report on your Form 323 are subsidiaries that have attributable interests in the broadcast licensee for which the biennial report is being submitted.
In Question 3(a) of the 2009 Biennial Ownership Report, I entered 10.7% for an officer’s voting interest. When I attempted to validate my 2011 Biennial Ownership Report with the same data, I received an error message stating that numbers after the decimal point are no longer accepted. How do I report the percentage of voting and equity interests?
The Commission is now requiring all voting and equity interest percentages in Section II-B, Question 3(a) to be rounded to the nearest whole number. Filers wishing to copy data from a filed 2009 Biennial Ownership Report may still do so, but will first need to round the percentages to the nearest whole number before filing. Please note that this change applies only to the Biennial Ownership Report. Those filing a non-biennial Form 323 are not restricted to using whole numbers and may report percentages using numbers after the decimal point. (Revised: 10/11/2011)
Under the organizational structure of my company, Licensee A, Licensee B and Licensee C are owned by a parent company, Company D. The same group of officers and directors serve as officers and directors of all three Licensee companies. Question 3(c) asks me to list other stations that my company, its officers and directors, or anyone with an attributable interest in my company has in other broadcast stations. Does this mean that on each Licensee’s report, I have to note that the officers/directors serve as officers and directors for the stations of each of the other Licensees in our organization?
Yes. This information must be entered separately on each form. If this situation applies to you, it may be advantageous to fill out one form and then copy it (the copying procedures are described above) for the other licensees that have share the same group of officers and directors and then edit it to tailor it to each Licensee’s report.

Form 323 Spreadsheet Instructions (HTML).

Spreadsheet Templates:
Can I put my organization’s ownership information on an exhibit and attach it to the form instead of filling in the questions one by one?
No. The Commission eliminated the use of exhibits in most cases on Form 323. Information about ownership interests must be entered directly into the data fields on the form.
My company is a non-stock LLC. Do I have to complete Question 2, “Capitalization”?
No. The “Capitalization” question refers to corporate structures that include stock. If your company is a non-stock entity, select the button marked “Not Applicable.”
I am filling out a report for a trust entity. Do I have to list the beneficiaries of the trust on the form?
No. Only list the trust itself and the trustee(s) in Question 3(a) on the form.
My company is the licensee of an LPTV station. Do I have to attach a copy of the station’s network affiliation agreement to the form?
No. Question 1 only requires that Licensees list the contracts that Licensees are required to file with the Commission. Licensees should not attach copies of the agreements to Form 323.

Note also that the Commission did not change its rules with respect to which types of contracts must be filed with the FCC.

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9/1/11

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