USC - Notices

Rule 2002. Notices

(a) 21-Day Notices to the Debtor, Trustee, Creditors, and Indenture Trustees. Except as (h), (i), (l), (p), and (q) provide otherwise, the clerk or the court’s designee must give the debtor, the trustee, all creditors, and all indenture trustees at least 21 days’ notice by mail of:

(1) the meeting of creditors under § 341 or § 1104(b), which notice—unless the court orders otherwise—must include the debtor’s:

(A) employer-identification number;

(B) social-security number; and

(2) a proposal to use, sell, or lease property of the estate other than in the ordinary course of business—unless the court, for cause, shortens the time or orders another method of giving notice;

(3) a hearing to approve a compromise or settlement other than an agreement under Rule 4001(d)—unless the court, for cause, orders that notice not be given;

(4) a hearing on a motion to dismiss a Chapter 7, 11, or 12 case or to convert it to another chapter—unless the hearing is under § 707(a)(3) or § 707(b) or is on a motion to dismiss the case for failure to pay the filing fee;

(5) the time to accept or reject a proposed modification to a plan;

(6) a hearing on a request for compensation or for reimbursement of expenses, if the request exceeds $1,000;

(7) the time to file a proof of claim under Rule 3003(c);

(8) the time to file an objection to—and the time of the hearing to consider whether to confirm—a Chapter 12 plan; and

(9) the time to object to confirming a Chapter 13 plan.

(b) 28-Day Notices to the Debtor, Trustee, Creditors, and Indenture Trustees. Except as (l) provides otherwise, the clerk or the court’s designee must give the debtor, trustee, all creditors, and all indenture trustees at least 28 days’ notice by mail of:

(1) the time to file an objection and the time of the hearing to:

(A) consider approving a disclosure statement; or

(B) determine under § 1125(f) whether a plan includes adequate information to make a separate disclosure statement unnecessary;

(2) the time to file an objection to—and the time of the hearing to consider whether to confirm—a Chapter 9 or 11 plan; and

(3) the time of the hearing to consider whether to confirm a Chapter 13 plan.

(1)Proposed Use, Sale, or Lease of Property. Subject to Rule 6004, a notice of a proposed use, sale, or lease of property under (a)(2) must include:

(A) a general description of the property;

(B) the time and place of any public sale;

(D) the time to file objections; and

(E) for a proposed sale or lease of personally identifiable information under § 363(b)(1), a statement whether the sale is consistent with any policy that prohibits transferring the information.

(2)Hearing on an Application for Compensation or Reimbursement. A notice under (a)(6) of a hearing on a request for compensation or for reimbursement of expenses must identify the applicant and the amounts requested.

(3)Hearing on Confirming a Plan That Proposes an Injunction. If a plan proposes an injunction against conduct not otherwise enjoined under the Code, the notice under (b)(2) must:

(A) state in conspicuous language (bold, italic, or underlined text) that the plan proposes an injunction;

(B) describe briefly the nature of the injunction; and

(d)Notice to Equity Security Holders in a Chapter 11 Case. Unless the court orders otherwise, in a Chapter 11 case the clerk or the court’s designee must give notice as the court orders to the equity security holders of:

(1) the order for relief;

(2) a meeting of equity security holders under § 341;

(3) a hearing on a proposed sale of all, or substantially all, the debtor’s assets;

(4) a hearing on a motion to dismiss a case or convert it to another chapter;

(5) the time to file an objection to—and the time of the hearing to consider whether to approve—a disclosure statement;

(6) the time to file an objection to—and the time of the hearing to consider whether to confirm—a Chapter 11 plan; and

(7) the time to accept or reject a proposal to modify a plan.

(e)Giving Notice of No Dividend in a Chapter 7 Case. In a Chapter 7 case, if it appears from the schedules that there are no assets from which to pay a dividend, the notice of the meeting of creditors may state:

(1) that fact;

(2) that filing proofs of claim is unnecessary; and

(3) that further notice of the time to file proofs of claim will be given if enough assets become available to pay a dividend.

(f) Other Notices.

(1)Various Notices to the Debtor, Creditors, and Indenture Trustees. Except as (l) provides otherwise, the clerk, or some other person as the court 1

1 Amendment by Pub. L. 98–91 enacted the word “Court”.

may direct, must give the debtor, creditors, and indenture trustees notice by mail of:

(A) the order for relief;

(B) a case’s dismissal or conversion to another chapter;

(D) the time to file a proof of claim under Rule 3002;

(E) the time to file a complaint to object to the debtor’s discharge under § 727, as Rule 4004 provides;

(F) the time to file a complaint to determine whether a debt is dischargeable under § 523, as Rule 4007 provides;

(G) a waiver, denial, or revocation of a discharge, as Rule 4006 provides;

(H) entry of an order confirming a plan in a Chapter 9, 11, 12 or 13 case;

(I) a summary of the trustee’s final report in a Chapter 7 case if the net proceeds realized exceed $1,500;

(J) a notice under Rule 5008 regarding the presumption of abuse;

(K) a statement under § 704(b)(1) about whether the debtor’s case would be presumed to be an abuse under § 707(b); and

(L) the time to request a delay in granting the discharge under § 1141(d)(5)(C), 1228(f), or 1328(h).

(2)Notice of the Time to Accept or Reject a Plan. Notice of the time to accept or reject a plan under Rule 3017(c) must be given in accordance with Rule 3017(d).

(g) Addressing Notices.

(1)In General. A notice mailed to a creditor, indenture trustee, or equity security holder must be addressed as the entity or its authorized agent provided in its last request filed in the case. The request may be:

(A) a proof of claim filed by a creditor or an indenture trustee designating a mailing address (unless a notice of no dividend has been given under (e) and a later notice of a possible dividend under Rule 3002(c)(5) has not been given); or

(B) a proof of interest filed by an equity security holder designating a mailing address.

(2)When No Request Has Been Filed. Except as § 342(f) provides otherwise, if a creditor or indenture trustee has not filed a request under (1) or Rule 5003(e), the notice must be mailed to the address shown on the list of creditors or schedule of liabilities, whichever is filed later. If an equity security holder has not filed a request, the notice must be mailed to the address shown on the list of equity security holders.

(3)Notices to Representatives of an Infant or Incompetent Person. This paragraph (3) applies if a list or schedule filed under Rule 1007 includes a name and address of an infant’s or an incompetent person’s representative, and a person other than that representative files a request or proof of claim designating a different name and mailing address. Unless the court orders otherwise, the notice must be mailed to the designated address of:

(A) the representative; and

(B) the person filing the request or proof of claim.

(4)Using an Address Agreed to Between an Entity and a Notice Provider. Notwithstanding (g)(1)–(3), when the court orders that notice be given, the notice provider may do so in the manner agreed to between the provider and an entity, and at the address or addresses the entity supplies. An address supplied by the entity is conclusively presumed to be a proper address. But a failure to use a supplied address does not invalidate a notice that is otherwise effective under applicable law.

(5)When a Notice Is Not Brought to a Creditor’s Attention. A creditor may treat a notice as not having been brought to the creditor’s attention under § 342(g)(1) only if, before the notice was issued, the creditor has filed a statement:

(A) designating the name and address of the person or organizational subdivision responsible for receiving notices; and

(B) describing the creditor’s procedures for delivering notices to the designated person or organizational subdivision.

(h)Notice to Creditors Who Filed Proofs of Claim in a Chapter 7, 12, or 13 Case.

(1)Voluntary Case. This paragraph (1) applies in a voluntary Chapter 7 case, or in a Chapter 12 or 13 case. After 70 days following the order for relief under that chapter or the date of the order converting the case to Chapter 12 or 13, the court may direct that all notices required by (a) be mailed only to:

• the debtor;

• the trustee;

• indenture trustees;

• creditors with claims for which proofs of claim have been filed; and

• creditors that are still permitted to file proofs of claim because they have received an extension of time under Rule 3002(c)(1) or (2).

(2)Involuntary Case. In an involuntary chapter 2

2 So in original. Probably should be capitalized.

7 case, after 90 days following the order for relief, the court may order that all notices required by (a) be mailed only to those entities listed in (1).

(3)When Notice of Insufficient Assets Has Been Given. If notice of insufficient assets to pay a dividend has been given to creditors under (e), after 90 days following the mailing of a notice of the time to file proofs of claim under Rule 3002(c)(5), the court may order that notices be mailed only to those entities listed in (1).

(i) Notice to a Committee.

(1)In General. Any notice required to be mailed under this Rule 2002 must also be mailed to a committee elected under § 705 or appointed under § 1102, or to its authorized agent.

(2)Limiting Notices. The court may order that a notice required by (a)(2), (3), or (6) be:

(A) sent to the United States trustee; and

(B) mailed only to:

(i) the committees elected under § 705 or appointed under § 1102, or to their authorized agents; and

(ii) those creditors and equity security holders who file—and serve on the trustee or debtor in possession—a request that all notices be mailed to them.

(3)Copy to a Committee. A notice required under (a)(1), (a)(5), (b), (f)(1)(B)–(C), or (f)(1)(H)—and any other notice as the court orders—must be sent to a committee appointed under § 1114.

(j)Notice to the United States. A notice required to be mailed to all creditors under this Rule 2002 must also be mailed:

(1) in a Chapter 11 case in which the Securities and Exchange Commission has filed either a notice of appearance or a request to receive notices, to the SEC at any place it designates;

(2) in a commodity-broker case, to the Commodity Futures Trading Commission at Washington, D.C.;

(3) in a Chapter 11 case, to the Internal Revenue Service at the address in the register maintained under Rule 5003(e) for the district where the case is pending;

(4) in a case in which the documents disclose that a debt (other than for taxes) is owed to the United States, to the United States attorney for the district where the case is pending and to the United States department, agency, or instrumentality through which the debtor became indebted; or

(5) in a case in which the filed documents disclose a stock interest of the United States, to the Secretary of the Treasury at Washington, D.C.

(k) Notice to the United States Trustee.

(1)In General. Except in a Chapter 9 case or unless the United States trustee requests otherwise, the clerk or the court’s designee must send to the United States trustee notice of:

(A) all matters described in (a)(2)–(4), (a)(8)–(9), (b), (f)(1)(A)–(C), (f)(1)(E), (f)(1)(G)–(I), and (q);

(B) all hearings on applications for compensation or for reimbursement of expenses; and

(2)Time to Send. The notice must be sent within the time that (a) or (b) prescribes.

(3)Exception Under the Securities Investor Protection Act. In a case under the Securities Investor Protection Act, 15 U.S.C. § 78aaa et seq., these rules do not require any document to be sent to the United States trustee.

(l)Notice by Publication. The court may order notice by publication if notice by mail is impracticable or if it is desirable to supplement the notice.

(m)Orders Concerning Notices. Except as these rules provide otherwise, the court may designate the matters about which, the entity to whom, and the form and manner in which a notice must be sent.

(n)Notice of an Order for Relief in a Consumer Case. In a voluntary case commenced under the Code by an individual debtor whose debts are primarily consumer debts, the clerk, or some other person as the court may direct, shall give the trustee and all creditors notice by mail of the order for relief not more than 20 days after the entry of such order.

(o)Caption. The caption of a notice given under this Rule 2002 must conform to Rule 1005. The caption of a debtor’s notice to a creditor must also include the information that § 342(c) requires.

(p) Notice to a Creditor with a Foreign Address.

(1)When Notice by Mail Does Not Suffice. At the request of the United States trustee or a party in interest, or on its own, the court may find that a notice mailed to a creditor with a foreign address within the time these rules prescribe would not give the creditor reasonable notice. The court may then order that the notice be supplemented with notice by other means or that the time prescribed for the notice by mail be extended.

(2)Notice of the Time to File a Proof of Claim. Unless the court, for cause, orders otherwise, a creditor with a foreign address must be given at least 30 days’ notice of the time to file a proof of claim under Rule 3002(c) or Rule 3003(c).

(3)Determining a Foreign Address. Unless the court, for cause, orders otherwise, the mailing address of a creditor with a foreign address must be determined under (g).

(q) Notice of a Petition for Recognition of a Foreign Proceeding; Notice of an Intent to Communicate with a Foreign Court or Foreign Representative.

(1)Timing of the Notice; Who Must Receive It. After a petition for recognition of a foreign proceeding is filed, the court must promptly hold a hearing on it. The clerk or the court’s designee must promptly give at least 21 days’ notice by mail of the hearing to:

• the debtor;

• all persons or bodies authorized to administer the debtor’s foreign proceedings;

• all entities against whom provisional relief is being sought under § 1519;

• all parties to litigation pending in the United States in which the debtor was a party when the petition was filed; and

• any other entities as the court orders.

(2)Content of the Notice. The notice must:

(A) state whether the petition seeks recognition as a foreign main proceeding or a foreign nonmain proceeding; and

(B) include a copy of the petition and any other document the court specifies.

(3)Communicating with a Foreign Court or Foreign Representative. If the court intends to communicate with a foreign court or foreign representative, the clerk or the court’s designee must give notice by mail of the court’s intention to all those listed in (q)(1).

(As amended Pub. L. 98–91, § 2(a), Aug. 30, 1983, 97 Stat. 607; Pub. L. 98–353, title III, § 321, July 10, 1984, 98 Stat. 357; Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 1, 1991; Apr. 22, 1993, eff. Aug. 1, 1993; Apr. 23, 1996, eff. Dec. 1, 1996; Apr. 11, 1997, eff. Dec. 1, 1997; Apr. 26, 1999, eff. Dec. 1, 1999; Apr. 17, 2000, eff. Dec. 1, 2000; Apr. 23, 2001, eff. Dec. 1, 2001; Mar. 27, 2003, eff. Dec. 1, 2003; Apr. 26, 2004, eff. Dec. 1, 2004; Apr. 25, 2005, eff. Dec. 1, 2005; Apr. 23, 2008, eff. Dec. 1, 2008; Mar. 26, 2009, eff. Dec. 1, 2009; Apr. 28, 2016, eff. Dec. 1, 2016; Apr. 27, 2017, eff. Dec. 1, 2017; Apr. 27, 2020, eff. Dec. 1, 2020; Apr. 2, 2024, eff. Dec. 1, 2024.)