FEDERAL RULES 

OF 

BANKRUPTCY PROCEDURE 

DECEMBER 1, 2023 

UNUM

E PLURIBUS

Printed for the use 

of 

THE COMMITTEE ON THE JUDICIARY 

HOUSE OF REPRESENTATIVES 
118TH CONGRESS " COMMITTEE PRINT ! No. 3

1st Session 

FEDERAL RULES 

OF 

BANKRUPTCY PROCEDURE 

DECEMBER 1, 2023 

UNUM

E PLURIBUS

Printed for the use 

of 

THE COMMITTEE ON THE JUDICIARY 

HOUSE OF REPRESENTATIVES 

U.S. GOVERNMENT PUBLISHING OFFICE

WASHINGTON : 2024
COMMITTEE ON THE JUDICIARY 

ONE HUNDRED EIGHTEENTH CONGRESS

JIM JORDAN, Ohio, Chairman 

DARRELL ISSA, California 

KEN BUCK, Colorado 

MATT GAETZ, Florida 

MIKE JOHNSON, Louisiana 

ANDY BIGGS, Arizona 

TOM MCCLINTOCK, California 

TOM TIFFANY, Wisconsin 

THOMAS MASSIE, Kentucky 

CHIP ROY, Texas 

DAN BISHOP, North Carolina 

VICTORIA SPARTZ, Indiana 

SCOTT FITZGERALD, Wisconsin 

CLIFF BENTZ, Oregon 

BEN CLINE, Virginia 

KELLY ARMSTRONG, North Dakota 

LANCE GOODEN, Texas 

JEFF VAN DREW, New Jersey 

TROY NEHLS, Texas 

BARRY MOORE, Alabama 

KEVIN KILEY, California 

HARRIET HAGEMAN, Wyoming 

NATHANIEL MORAN, Texas 

LAUREL LEE, Florida 

WESLEY HUNT, Texas 

RUSSELL FRY, South Carolina 

JERROLD NADLER, New York, Ranking Member 

ZOE LOFGREN, California 

SHEILA JACKSON LEE, Texas 

STEVE COHEN, Tennessee 

HENRY C. ‘‘HANK’’ JOHNSON, JR., Georgia 

ADAM SCHIFF, California 

ERIC SWALWELL, California 

TED LIEU, California 

PRAMILA JAYAPAL, Washington 

J. LUIS CORREA, California 

MARY GAY SCANLON, Pennsylvania 

JOE NEGUSE, Colorado 

LUCY MCBATH, Georgia 

MADELEINE DEAN, Pennsylvania 

VERONICA ESCOBAR, Texas 

DEBORAH ROSS, North Carolina 

CORI BUSH, Missouri 

GLENN IVEY, Maryland 

BECCA BALINT, Vermont 

CHRISTOPHER HIXON, Majority Staff Director 

AMY RUTKIN, Minority Staff Director and Chief of Staff 

(II) 
FOREWORD 

This document contains the Federal Rules of Bankruptcy Procedure, as amended to December 1, 2023. The rules have been promulgated and amended by the United States Supreme Court pursuant 

to law, and further amended by Acts of Congress. This document 

has been prepared by the Committee in response to the need for 

an up-to-date document containing the latest amendments to the 

rules. 

For the convenience of the user, where a rule has been amended 

a reference to the date the amendment was promulgated and the 

date the amendment became effective follows the text of the rule. 

The Committee on Rules of Practice and Procedure and the Advisory Committee on the Federal Rules of Bankruptcy Procedure, 

Judicial Conference of the United States, prepared notes explaining the purpose and intent of the amendments to the rules. The 

Committee Notes may be found in the Appendix to Title 11, United 

States Code, following the particular rule to which they relate. 

Chairman, Committee on the Judiciary. 

DECEMBER 1, 2023. 

(III) 

(V) 

AUTHORITY FOR PROMULGATION OF RULES 

TITLE 28, UNITED STATES CODE 

§ 2073. Rules of procedure and evidence; method of prescribing 

(a)(1) The Judicial Conference shall prescribe and publish the 

procedures for the consideration of proposed rules under this section. 

(2) The Judicial Conference may authorize the appointment of 

committees to assist the Conference by recommending rules to be 

prescribed under sections 2072 and 2075 of this title. Each such 

committee shall consist of members of the bench and the professional bar, and trial and appellate judges. 

(b) The Judicial Conference shall authorize the appointment of 

a standing committee on rules of practice, procedure, and evidence under subsection (a) of this section. Such standing committee shall review each recommendation of any other committees so 

appointed and recommend to the Judicial Conference rules of 

practice, procedure, and evidence and such changes in rules proposed by a committee appointed under subsection (a)(2) of this 

section as may be necessary to maintain consistency and otherwise promote the interest of justice. 

(c)(1) Each meeting for the transaction of business under this 

chapter by any committee appointed under this section shall be 

open to the public, except when the committee so meeting, in 

open session and with a majority present, determines that it is in 

the public interest that all or part of the remainder of the meeting on that day shall be closed to the public, and states the reason 

for so closing the meeting. Minutes of each meeting for the transaction of business under this chapter shall be maintained by the 

committee and made available to the public, except that any portion of such minutes, relating to a closed meeting and made available to the public, may contain such deletions as may be necessary to avoid frustrating the purposes of closing the meeting. 

(2) Any meeting for the transaction of business under this chapter, by a committee appointed under this section, shall be preceded by sufficient notice to enable all interested persons to attend. 

(d) In making a recommendation under this section or under 

section 2072 or 2075, the body making that recommendation shall 

provide a proposed rule, an explanatory note on the rule, and a 

written report explaining the body’s action, including any minority or other separate views. 

(e) Failure to comply with this section does not invalidate a rule 

prescribed under section 2072 or 2075 of this title. 

(Added Pub. L. 100–702, title IV, § 401(a), Nov. 19, 1988, 102 Stat. 4649, 

eff. Dec. 1, 1988; amended Pub. L. 103–394, title I, § 104(e), Oct. 22, 

1994, 108 Stat. 4110.) 
VI AUTHORITY FOR PROMULGATION OF RULES 

§ 2075. Bankruptcy rules 

The Supreme Court shall have the power to prescribe by general 

rules, the forms of process, writs, pleadings, and motions, and the 

practice and procedure in cases under title 11. 

Such rules shall not abridge, enlarge, or modify any substantive 

right. 

The Supreme Court shall transmit to Congress not later than 

May 1 of the year in which a rule prescribed under this section is 

to become effective a copy of the proposed rule. The rule shall 

take effect no earlier than December 1 of the year in which it is 

transmitted to Congress unless otherwise provided by law. 

The bankruptcy rules promulgated under this section shall prescribe a form for the statement required under section 707(b)(2)(C) 

of title 11 and may provide general rules on the content of such 

statement. 

(Added Pub. L. 88–623, § 1, Oct. 3, 1964, 78 Stat. 1001; amended Pub. 

L. 95–598, title II, § 247, Nov. 6, 1978, 92 Stat. 2672; Pub. L. 103–394, 

title I, § 104(f), Oct. 22, 1994, 108 Stat. 4110; Pub. L. 109–8, title XII, 

§ 1232, Apr. 20, 2005, 119 Stat. 202.) 
(VII) 

HISTORICAL NOTE 

The Supreme Court prescribes rules of bankruptcy procedure for 

the district courts pursuant to section 2075 of Title 28, United 

States Code. Pursuant to that section, the Supreme Court transmits to Congress (not later than May 1 of the year in which the 

rule is to become effective) a copy of the proposed rule. The rule 

takes effect no earlier than December 1 of the year in which the 

rule is transmitted unless otherwise provided by law. 

The Supreme Court, under the Bankruptcy Act [July 1, 1898, ch. 

541, 30 Stat. 544], promulgated thirty-eight General Orders by an 

order dated November 28, 1898, which provided in part: ‘‘[T]hat the 

following rules be adopted and established as general orders in 

bankruptcy, to take effect on the first Monday, being the second 

day, of January, 1899. And it is further ordered that all proceedings in bankruptcy had before that day, in accordance with the 

act aforesaid, and being in substantial conformity either with the 

provisions of these general orders, or else with the general orders 

established by this court under the bankrupt act of 1867 [Mar. 2, 

1867, ch. 176, 14 Stat. 517] and with any general rules or special orders of the courts in bankruptcy, stand good, subject, however, to 

such further regulation by rule or order of those courts as may be 

necessary or proper to carry into force and effect the bankrupt act 

of 1898 and the general orders of this court.’’ 

The Supreme Court issued orders which promulgated, added, 

amended, or abrogated the General Orders and Forms in Bankruptcy in 1898, 1905, 1915, 1917, 1925, 1930, 1931, 1932, 1933, 1935, 1936, 

1937, 1938, 1939, 1940, 1947, 1958, and 1961. 

The extant General Orders in Bankruptcy 1 to 7, 9 to 12, 14 to 

26, 28 to 40, 42 to 45, 47, 50, 51, 53, and 56 and extant Official Forms 

in Bankruptcy 1 to 13, 15 to 20, 22 to 47, and 70 to 72 were abrogated 

by Order of the Supreme Court dated April 24, 1973, effective October 1, 1973. The Order adopted the Bankruptcy Rules and Forms 

for proceedings under Chapters 1 to 7 and 13 of the Bankruptcy 

Act. The Rules and Forms for proceedings under Chapter 11 of the 

Bankruptcy Act were adopted March 18, 1974, effective July 1, 1974. 

The Rules and Forms for proceedings under Chapters 10 and 12 of 

the Bankruptcy Act were adopted April 28, 1975, effective August 

1, 1975. 

By order dated April 24, 1973, effective October 1, 1973, the Supreme Court prescribed, pursuant to section 2075 of Title 28, 

United States Code, the rules and forms as approved by the Judicial Conference of the United States, to be known as the Bankruptcy Rules and Official Bankruptcy Forms. General Orders in 

Bankruptcy 1 to 7, 9 to 12, 14 to 26, 28 to 40, 42 to 45, 47, 50, 51, 53, 

and 56 and Official Forms in Bankruptcy 1 to 13, 15 to 20, 22 to 47, 

and 70 to 72, were abrogated by the same order. 

The Bankruptcy Reform Act of 1978, Pub. L. 95–598, Nov. 6, 1978, 

92 Stat. 2549, codified and enacted the law relating to bankruptcy 
VIII HISTORICAL NOTE 

as Title 11 of the United States Code, entitled ‘‘Bankruptcy’’. Section 405(d) of Pub. L. 95–598 provided that: ‘‘The rules prescribed 

under section 2075 of title 28 of the United States Code and in effect on September 30, 1979, shall apply to cases under title 11, to 

the extent not inconsistent with the amendments made by this 

Act, or with this Act, until such rules are repealed or superseded 

by rules prescribed and effective under such section, as amended 

by section 248 [247] of this Act.’’ 

By order dated April 25, 1983, transmitted to Congress by the 

Chief Justice on the same day (461 U.S. 973; Cong. Rec. vol. 129, pt. 

8, p. 9689, Ex. Comm. 1005; H. Doc. 98–52), and effective August 1, 

1983, the Supreme Court adopted new Bankruptcy Rules and superseded the former rules. 

Section 2(a) of Public Law 98–91 (approved August 30, 1983, 97 

Stat. 607) amended Rule 2002, effective August 1, 1983. 

Section 321 of Public Law 98–353 (approved July 10, 1984, 98 Stat. 

357) amended Rule 2002, effective 90 days after July 10, 1984. 

Additional amendments were adopted by the Court by order 

dated April 29, 1985, were transmitted to Congress by the Chief 

Justice on the same day (471 U.S. 1147; Cong. Rec., vol. 131, pt. 7, 

p. 9826, Ex. Comm. 1155; H. Doc. 99–62), and became effective August 1, 1985. The amendments affected Rules 5002 and 5004. 

Additional amendments were adopted by the Court by order 

dated March 30, 1987, were transmitted to Congress by the Chief 

Justice on the same day (480 U.S. 1077; Cong. Rec., vol. 133, pt. 6, 

p. 7237, Ex. Comm. 1027; H. Doc. 100–54), and became effective August 1, 1987. The amendments affected Rules 1001, 1002, 1003, 1005, 

1006, 1007, 1009, 1010, 1011, 1012, 1014, 1015, 1017, 1018, 1019, 2001, 2002, 

2003, 2004, 2005, 2006, 2007, 2008, 2009, 2010, 2012, 2013, 2014, 2015, 2016, 

2017, 2018, 2019, 3002, 3003, 3004, 3005, 3009, 3010, 3011, 3012, 3016, 3017, 

3018, 3019, 3020, 3022, 4001, 4002, 4003, 4004, 4005, 4006, 4007, 5001, 5003, 

5004, 5005, 5007, 5008, 5010, 5011, 6002, 6004, 6006, 6007, 7001, 7004, 7008, 

7012, 7013, 7019, 7070, 7087, 8001, 8002, 8003, 8004, 8005, 8006, 8007, 8008, 

8009, 8013, 8014, 8015, 8016, 8018, 8019, 9001, 9002, 9003, 9006, 9007, 9010, 

9011, 9012, 9013, 9014, 9015, 9016, 9018, 9019, 9020, 9021, 9022, 9027, 9028, 

9029, 9030, 9033, X–1002, X–1004, X–1006, X–1008, X–1009, and X–1010. 

An additional amendment was adopted by the Court by order 

dated April 25, 1989, was transmitted to Congress by the Chief Justice on the same day (490 U.S. 1119; Cong. Rec., vol. 135, pt. 6, p. 

7542, Ex. Comm. 1057; H. Doc. 101–54), and became effective August 

1, 1989. The amendment affected Rule 9006. 

Additional amendments were adopted by the Court by order 

dated April 30, 1991, were transmitted to Congress by the Chief 

Justice on the same day (500 U.S. 1017; Cong. Rec., vol. 137, pt. 7, 

p. 9722, Ex. Comm. 1193; H. Doc. 102–80), and became effective August 1, 1991. The amendments affected Rules 1001, 1002, 1007, 1008, 

1009, 1010, 1013, 1014, 1016, 1017, 1019, 2001, 2002, 2003, 2004, 2006, 2007, 

2008, 2009, 2010, 2011, 2012, 2013, 2014, 2015, 2016, 2017, 2018, 2019, 3001, 

3002, 3003, 3005, 3006, 3007, 3010, 3011, 3013, 3015, 3016, 3017, 3018, 3020, 

3022, 4001, 4003, 4004, 4007, 4008, 5001, 5002, 5005, 5006, 5007, 5008, 5009, 

5010, 5011, 6002, 6003, 6004, 6005, 6006, 6007, 6010, 7001, 7004, 7010, 7017, 

7041, 7062, 8001, 8002, 8004, 8006, 8007, 8016, 9001, 9003, 9006, 9009, 9010, 

9011, 9012, 9019, 9020, 9022, 9024, 9027, 9029, and 9032, and added new 
HISTORICAL NOTE IX

Rules 2007.1, 2020, 9034, and 9035. The order also abrogated in its entirety Part X of the Bankruptcy Rules, entitled ‘‘United States 

Trustees’’. 

Additional amendments were adopted by the Court by order 

dated April 22, 1993, were transmitted to Congress by the Chief 

Justice on the same day (507 U.S. 1075; Cong. Rec., vol. 139, pt. 6, 

p. 8127, Ex. Comm. 1101; H. Doc. 103–73), and became effective August 1, 1993. The amendments affected Rules 1010, 1013, 1017, 2002, 

2003, 2005, 3009, 3015, 3018, 3019, 3020, 5005, 6002, 6006, 6007, 9002, and 

9019, and added new Rule 9036. 

Additional amendments were adopted by the Court by order 

dated April 29, 1994, were transmitted to Congress by the Chief 

Justice on the same day (511 U.S. 1169; Cong. Rec. vol. 140, pt. 7, 

p. 8903, Ex. Comm. 3083; H. Doc. 103–248), and became effective August 1, 1994. The amendments affected Rules 8002 and 8006. 

Section 114 of Public Law 103–394 (approved October 22, 1994, 108 

Stat. 4118) amended Rule 7004, effective October 22, 1994. 

Additional amendments were adopted by the Court by order 

dated April 27, 1995, were transmitted to Congress by the Chief 

Justice on the same day (514 U.S. 1145; Cong. Rec. vol. 141, pt. 8, 

p. 11745, Ex. Comm. 810; H. Doc. 104–67), and became effective December 1, 1995. The amendments affected Rules 8018 and 9029. 

Additional amendments were adopted by the Court by order 

dated April 23, 1996, were transmitted to Congress by the Chief 

Justice on the same day (517 U.S. 1263; Cong. Rec. vol. 142, pt. 6, 

p. 8831, Ex. Comm. 2490; H. Doc. 104–204), and became effective December 1, 1996. The amendments affected Rules 1006, 1007, 1019, 

2002, 2015, 3002, 3016, 4004, 5005, 7004, 8008, and 9006. 

Additional amendments were adopted by the Court by order 

dated April 11, 1997, were transmitted to Congress by the Chief 

Justice on the same day (520 U.S. 1285; Cong. Rec. vol. 143, pt. 4, 

p. 5551, Ex. Comm. 2797; H. Doc. 105–70), and became effective December 1, 1997. The amendments affected Rules 1010, 1019, 2002, 

2007.1, 3014, 3017, 3018, 3021, 8001, 8002, 9011, and 9035, and added new 

Rules 1020, 3017.1, 8020, and 9015. 

Additional amendments were adopted by the Court by order 

dated April 26, 1999, were transmitted to Congress by the Chief 

Justice on the same day (526 U.S. 1169; Cong. Rec. vol. 145, pt. 6, 

p. 7907, Ex. Comm. 1786; H. Doc. 106–53), and became effective December 1, 1999. The amendments affected Rules 1017, 1019, 2002, 

2003, 3020, 3021, 4001, 4004, 4007, 6004, 6006, 7001, 7004, 7062, 9006, and 

9014. 

Additional amendments were adopted by the Court by order 

dated April 17, 2000, were transmitted to Congress by the Chief 

Justice on the same day (529 U.S. 1147; Cong. Rec. vol. 146, pt. 5, 

p. 6328, Ex. Comm. 7334; H. Doc. 106–226), and became effective December 1, 2000. The amendments affected Rules 1017, 2002, 4003, 

4004, and 5003. 

Additional amendments were adopted by the Court by order 

dated April 23, 2001, were transmitted to Congress by the Chief 

Justice on the same day (532 U.S. 1077; Cong. Rec. vol. 147, pt. 5, 

p. 6126, Ex. Comm. 1574; H. Doc. 107–60), and became effective December 1, 2001. The amendments affected Rules 1007, 2002, 3016, 

3017, 3020, 9006, 9020, and 9022. 
X HISTORICAL NOTE 

Additional amendments were adopted by the Court by order 

dated April 29, 2002, were transmitted to Congress by the Chief 

Justice on the same day (535 U.S. 1139; Cong. Rec. vol. 148, pt. 5, 

p. 6813, Ex. Comm. 6624; H. Doc. 107–205), and became effective December 1, 2002. The amendments affected Rules 1004, 2004, 2015, 

4004, 9014, and 9027, and added new Rule 1004.1. 

Additional amendments were adopted by the Court by order 

dated March 27, 2003, were transmitted to Congress by the Chief 

Justice on the same day (538 U.S. 1075; Cong. Rec. vol. 149, pt. 6, 

p. 7689, Ex. Comm. 1495; H. Doc. 108–58), and became effective December 1, 2003. The amendments affected Rules 1005, 1007, 2002, 

2003, 2009, and 2016, and added new Rule 7007.1. 

Additional amendments were adopted by the Court by order 

dated April 26, 2004, were transmitted to Congress by the Chief 

Justice on the same day (541 U.S. 1097; Cong. Rec. vol. 150, pt. 6, 

p. 7967, Ex. Comm. 7864; H. Doc. 108–181), and became effective December 1, 2004. The amendments affected Rules 1011, 2002, and 9014. 

Additional amendments were adopted by the Court by order 

dated April 25, 2005, were transmitted to Congress by the Chief 

Justice on the same day (544 U.S. 1163; Cong. Rec. vol. 151, pt. 7, 

p. 8784, Ex. Comm. 1908; H. Doc. 109–25), and became effective December 1, 2005. The amendments affected Rules 1007, 2002, 3004, 

3005, 7004, 9001, 9006, and 9036. 

Additional amendments were adopted by the Court by order 

dated April 12, 2006, were transmitted to Congress by the Chief 

Justice on the same day (547 U.S. 1227; Cong. Rec. vol. 152, pt. 6, 

p. 7213, Ex. Comm. 7319; H. Doc. 109–107), and became effective December 1, 2006. The amendments affected Rules 1009, 5005, and 7004. 

Additional amendments were adopted by the Court by order 

dated April 30, 2007, were transmitted to Congress by the Chief 

Justice on the same day (550 U.S. 989; Cong. Rec. vol. 153, pt. 8, p. 

10611, Ex. Comm. 1375; H. Doc. 110–25), and became effective December 1, 2007. The amendments affected Rules 1014, 3007, 4001, 

6006, and 7007.1, and added new Rules 6003, 9005.1, and 9037. 

Additional amendments were adopted by the Court by order 

dated April 23, 2008, were transmitted to Congress by the Chief 

Justice on the same day (553 U.S. 1105; Cong. Rec. vol. 154, pt. 8, 

p. 11078, Ex. Comm. 6880; H. Doc. 110–119), and became effective December 1, 2008. The amendments affected Rules 1005, 1006, 1007, 

1009, 1010, 1011, 1015, 1017, 1019, 1020, 2002, 2003, 2007.1, 2015, 3002, 3003, 

3016, 3017.1, 3019, 4002, 4003, 4004, 4006, 4007, 4008, 5001, 5003, 6004, 7012, 

7022, 7023.1, 8001, 8003, 9006, 9009, and 9024, and added new Rules 1021, 

2007.2, 2015.1, 2015.2, 2015.3, 5008, and 6011. 

Additional amendments were adopted by the Court by order 

dated March 26, 2009, were transmitted to Congress by the Chief 

Justice on March 25, 2009 (556 U.S. 1307; Cong. Rec. vol. 155, pt. 8, 

p. 10210, Ex. Comm. 1266; H. Doc. 111–31), and became effective December 1, 2009. The amendments affected Rules 1007, 1011, 1019, 

1020, 2002, 2003, 2006, 2007, 2007.2, 2008, 2015, 2015.1, 2015.2, 2015.3, 2016, 

3001, 3015, 3017, 3019, 3020, 4001, 4002, 4004, 4008, 6003, 6004, 6006, 6007, 

7004, 7012, 7052, 8001, 8002, 8003, 8006, 8009, 8015, 8017, 9006, 9015, 9021, 

9023, 9027, and 9033, and added new Rule 7058. 

Additional amendments were adopted by the Court by order 

dated April 28, 2010, were transmitted to Congress by the Chief 
HISTORICAL NOTE XI

Justice on the same day (559 U.S. 1127; Cong. Rec. vol. 156, pt. 6, 

p. 8139, Ex. Comm. 7476; H. Doc. 111–114), and became effective December 1, 2010. The amendments affected Rules 1007, 1014, 1015, 

1018, 1019, 4001, 4004, 5009, 7001, and 9001, and added new Rule 5012. 

Additional amendments were adopted by the Court by order 

dated April 26, 2011, were transmitted to Congress by the Chief 

Justice on the same day (563 U.S. 1051; Cong. Rec. vol. 157, pt. 6, 

p. 7769, Ex. Comm. 1660; H. Doc. 112–29), and became effective December 1, 2011. The amendments affected Rules 2003, 2019, 3001, 

4004, and 6003, and added new Rules 1004.2 and 3002.1. 

Additional amendments were adopted by the Court by order 

dated April 23, 2012, were transmitted to Congress by the Chief 

Justice on the same day (566 U.S. 1045; Cong. Rec. vol. 158, pt. 4, 

p. 5939, Ex. Comm. 5851; H. Doc. 112–103), and became effective December 1, 2012. The amendments affected Rules 1007, 2015, 3001, 

7054, and 7056. 

Additional amendments were adopted by the Court by order 

dated April 16, 2013, transmitted to Congress by the Chief Justice 

on the same day (569 U.S. 1141; Cong. Rec., vol. 159, pt. 5, p. 6968, 

Ex. Comm. 1494; H. Doc. 113–28), and became effective December 1, 

2013. The amendments affected Rules 1007, 4004, 5009, 9006, 9013, and 

9014. 

Additional amendments were adopted by the Court by order 

dated April 25, 2014, transmitted to Congress by the Chief Justice 

on the same day (572 U.S. 1169; Cong. Rec., vol. 160, pt. 11, p. 15506, 

Ex. Comm. 7581; H. Doc. 113–165), and became effective December 

1, 2014. The amendments affected Rules 1014, 7004, 7008, 7054, 

8001–8028, 9023, and 9024. 

An additional amendment was adopted by the Court by order 

dated April 29, 2015, transmitted to Congress by the Chief Justice 

on the same day (575 U.S. 1049; Cong. Rec., vol. 161, pt. 5, p. 6139, 

Ex. Comm. 1372; H. Doc. 114–32), and became effective December 1, 

2015. The amendment affected Rule 1007. 

Additional amendments were adopted by the Court by order 

dated April 28, 2016, transmitted to Congress by the Chief Justice 

on the same day (578 U.S. 1051; Cong. Rec., vol. 162, pt. 4, p. 5467, 

Ex. Comm. 5235; H. Doc. 114–130), and became effective December 

1, 2016. The amendments affected Rules 1010, 1011, 2002, 3002.1, 7008, 

7012, 7016, 9006, 9027, and 9033, and added new Rule 1012. 

Additional amendments were adopted by the Court by order 

dated April 27, 2017, transmitted to Congress by the Chief Justice 

on the same day (581 U.S. 1035; Cong. Rec., vol. 163, pt. 6, p. 7574, 

Ex. Comm. 1258; H. Doc. 115–36), and became effective December 1, 

2017. The amendments affected Rules 1001, 1006, 1015, 2002, 3002, 

3007, 3012, 3015, 4003, 5009, 7001, and 9009, and added new Rule 3015.1. 

Additional amendments were adopted by the Court by order 

dated April 26, 2018, transmitted to Congress by the Chief Justice 

on the same day (584 U.S. 1057; Cong. Rec., vol. 164, p. H3927, Daily 

Issue, Ex. Comm. 4791; H. Doc. 115–122), and became effective December 1, 2018. The amendments affected Rules 3002.1, 5005, 7004, 

7062, 8002, 8006, 8007, 8010, 8011, 8013, 8015, 8016, 8017, 8021, 8022, and 

9025, and added new Rule 8018.1, and new Part VIII Appendix. 

Additional amendments were adopted by the Court by order 

dated April 25, 2019, transmitted to Congress by the Chief Justice 

on the same day (587 U.S.——; Cong. Rec., vol. 165, p. H7864, Daily 
XII HISTORICAL NOTE 

Issue, Ex. Comm. 2223; H. Doc. 116–65), and became effective December 1, 2019. The amendments affected Rules 4001, 6007, 9036, and 

9037. 

Additional amendments were adopted by the Court by order 

dated April 27, 2020, transmitted to Congress by the Chief Justice 

on the same day (590 U.S.——; Cong. Rec., vol. 166, p. H4223, Daily 

Issue, Ex. Comm. 4920; H. Doc. 116–143), and became effective December 1, 2020. The amendments affected Rules 2002, 2004, 8012, 

8013, 8015, and 8021. 

Additional amendments were adopted by the Court by order 

dated April 14, 2021, transmitted to Congress by the Chief Justice 

on the same day (593 U.S.——; Cong. Rec., vol. 167, p. H2124, Daily 

Issue, Ex. Comm. 978; H. Doc. 117–31), and became effective December 1, 2021. The amendments affected Rules 2005, 3007, 7007.1, and 

9036. 

Additional amendments were adopted by the Court by order 

dated April 11, 2022, transmitted to Congress by the Chief Justice 

on the same day (596 U.S.——; Cong. Rec., vol. 168, p. H4442, Daily 

Issue, Ex. Comm. 3742; H. Doc. 117–108), and became effective December 1, 2022. The amendments affected Rules 1007, 1020, 2009, 

2012, 2015, 3002, 3010, 3011, 3014, 3016, 3017.1, 3018, 3019, 5005, 7004, and 

8023, and added new Rule 3017.2. 

Additional amendments were adopted by the Court by order 

dated April 24, 2023, transmitted to Congress by the Chief Justice 

on the same day (599 U.S.——; Cong. Rec., vol. 169, p. H1944, Daily 

Issue, Ex. Comm. 793; H. Doc. 118–32), and became effective December 1, 2023. The amendments affected Rules 3011, 8003, and 9006, and 

added new Rule 9038. 

Committee Notes and Official Forms 

Committee Notes prepared by the Committee on Rules of Practice and Procedure and the Advisory Committee on the Federal 

Rules of Bankruptcy Procedure, Judicial Conference of the United 

States, explaining the purpose and intent of the amendments are 

set out in the Appendix to Title 11, United States Code, following 

the particular rule to which they relate. In addition, the rules and 

amendments, together with Committee Notes, are set out in the 

House documents listed above. 

The Official Forms prescribed pursuant to Rule 9009 may be 

found under Bankruptcy Forms at the Services & Forms page of 

the United States Courts website, www.uscourts.gov/forms/bankruptcy-forms. 
(XIII) 

TABLE OF CONTENTS 

Page 

Foreword .............................................................................................................. III

Authority for promulgation of rules .................................................................... V

Historical note ..................................................................................................... VII

RULES 

Rule 1001. Scope of Rules and Forms; Short Title ......................................... 1 

PART I. COMMENCEMENT OF CASE; PROCEEDINGS RELATING TO 

PETITION AND ORDER FOR RELIEF 

Rule 1002. Commencement of Case ................................................................. 1 

Rule 1003. Involuntary Petition ..................................................................... 1 

Rule 1004. Involuntary Petition Against a Partnership ................................. 2 

Rule 1004.1. Petition for an Infant or Incompetent Person ............................ 2 

Rule 1004.2. Petition in Chapter 15 Cases ....................................................... 2 

Rule 1005. Caption of Petition ........................................................................ 2 

Rule 1006. Filing Fee ...................................................................................... 3 

Rule 1007. Lists, Schedules, Statements, and Other Documents; Time 

Limits ............................................................................................... 3 

Rule 1008. Verification of Petitions and Accompanying Papers .................... 8 

Rule 1009. Amendments of Voluntary Petitions, Lists, Schedules and 

Statements ....................................................................................... 8 

Rule 1010. Service of Involuntary Petition and Summons ............................. 9 

Rule 1011. Responsive Pleading or Motion in Involuntary Cases ................... 9 

Rule 1012. Responsive Pleading in Cross-Border Cases .................................. 10 

Rule 1013. Hearing and Disposition of a Petition in an Involuntary Case ..... 10 

Rule 1014. Dismissal and Change of Venue ..................................................... 10 

Rule 1015. Consolidation or Joint Administration of Cases Pending in Same 

Court ................................................................................................. 11 

Rule 1016. Death or Incompetency of Debtor ................................................. 11 

Rule 1017. Dismissal or Conversion of Case; Suspension ................................ 12 

Rule 1018. Contested Involuntary Petitions; Contested Petitions 

Commencing Chapter 15 Cases; Proceedings to Vacate Order for 

Relief; Applicability of Rules in Part VII Governing Adversary 

Proceedings ....................................................................................... 13 

Rule 1019. Conversion of a Chapter 11 Reorganization Case, Chapter 12 

Family Farmer’s Debt Adjustment Case, or Chapter 13 Individual’s 

Debt Adjustment Case to a Chapter 7 Liquidation Case ................... 13 

Rule 1020. Chapter 11 Reorganization Case for Small Business Debtors ........ 15 

Rule 1021. Health Care Business Case ............................................................ 16 

PART II. OFFICERS AND ADMINISTRATION; NOTICES; MEETINGS; 

EXAMINATIONS; ELECTIONS; ATTORNEYS AND ACCOUNTANTS 

Rule 2001. Appointment of Interim Trustee Before Order for Relief in a 

Chapter 7 Liquidation Case ............................................................... 16 

Rule 2002. Notices to Creditors, Equity Security Holders, Administrators in 

Foreign Proceedings, Persons Against Whom Provisional Relief is 

Sought in Ancillary and Other Cross-Border Cases, United States, 

and United States Trustee ................................................................ 17 

Rule 2003. Meeting of Creditors or Equity Security Holders ......................... 23 

Rule 2004. Examination .................................................................................. 25 

Rule 2005. Apprehension and Removal of Debtor to Compel Attendance for 

Examination ..................................................................................... 26 

Rule 2006. Solicitation and Voting of Proxies in Chapter 7 Liquidation 

Cases ................................................................................................. 26 

Rule 2007. Review of Appointment of Creditors’ Committee Organized 

Before Commencement of the Case ................................................... 28 

Rule 2007.1. Appointment of Trustee or Examiner in a Chapter 11 

Reorganization Case ......................................................................... 29 
XIV CONTENTS 

PART II. OFFICERS AND ADMINISTRATION; NOTICES; MEETINGS; 

EXAMINATIONS; ELECTIONS; ATTORNEYS AND ACCOUNTANTS— 

Continued Page 

Rule 2007.2. Appointment of Patient Care Ombudsman in a Health Care 

Business Case .................................................................................... 30 

Rule 2008. Notice to Trustee of Selection ...................................................... 31 

Rule 2009. Trustees for Estates When Joint Administration Ordered ............ 32 

Rule 2010. Qualification by Trustee; Proceeding on Bond .............................. 32 

Rule 2011. Evidence of Debtor in Possession or Qualification of Trustee ...... 33 

Rule 2012. Substitution of Trustee or Successor Trustee; Accounting .......... 33 

Rule 2013. Public Record of Compensation Awarded to Trustees, Examiners, 

and Professionals .............................................................................. 33 

Rule 2014. Employment of Professional Persons ............................................ 33 

Rule 2015. Duty to Keep Records, Make Reports, and Give Notice of Case 

or Change of Status .......................................................................... 34 

Rule 2015.1. Patient Care Ombudsman ........................................................... 36 

Rule 2015.2. Transfer of Patient in Health Care Business Case ...................... 36 

Rule 2015.3. Reports of Financial Information on Entities in Which a 

Chapter 11 Estate Holds a Controlling or Substantial Interest ........ 37 

Rule 2016. Compensation for Services Rendered and Reimbursement of 

Expenses ........................................................................................... 38 

Rule 2017. Examination of Debtor’s Transactions with Debtor’s Attorney ... 39 

Rule 2018. Intervention; Right to Be Heard ................................................... 39 

Rule 2019. Disclosure Regarding Creditors and Equity Security Holders in 

Chapter 9 and Chapter 11 Cases ......................................................... 40 

Rule 2020. Review of Acts by United States Trustee ...................................... 41 

PART III. CLAIMS AND DISTRIBUTION TO CREDITORS AND EQUITY 

INTEREST HOLDERS; PLANS 

Rule 3001. Proof of Claim ............................................................................... 41 

Rule 3002. Filing Proof of Claim or Interest .................................................. 44 

Rule 3002.1. Notice Relating to Claims Secured by Security Interest in the 

Debtor’s Principal Residence ............................................................ 45 

Rule 3003. Filing Proof of Claim or Equity Security Interest in Chapter 9 

Municipality or Chapter 11 Reorganization Cases ............................ 47 

Rule 3004. Filing of Claims by Debtor or Trustee .......................................... 48 

Rule 3005. Filing of Claim, Acceptance, or Rejection by Guarantor, Surety, 

Indorser, or Other Codebtor .............................................................. 48 

Rule 3006. Withdrawal of Claim; Effect on Acceptance or Rejection of Plan 48 

Rule 3007. Objections to Claims ..................................................................... 49 

Rule 3008. Reconsideration of Claims ............................................................ 50 

Rule 3009. Declaration and Payment of Dividends in a Chapter 7 

Liquidation Case ............................................................................... 50 

Rule 3010. Small Dividends and Payments in Cases Under Chapter 7, 

Subchapter V of Chapter 11, Chapter 12, and Chapter 13 ................... 50 

Rule 3011. Unclaimed Funds in Cases Under Chapter 7, Subchapter V of 

Chapter 11, Chapter 12, and Chapter 13 ............................................. 51 

Rule 3012. Determining the Amount of Secured and Priority Claims ............ 51 

Rule 3013. Classification of Claims and Interests .......................................... 51 

Rule 3014. Election Under §1111(b) by Secured Creditor in Chapter 9 

Municipality or Chapter 11 Reorganization Case .............................. 52 

Rule 3015. Filing, Objection to Confirmation, Effect of Confirmation, and 

Modification of a Plan in a Chapter 12 or a Chapter 13 Case ............. 52 

Rule 3015.1. Requirements for a Local Form for Plans Filed in a Chapter 

13 Case ............................................................................................... 53 

Rule 3016. Filing of Plan and Disclosure Statement in a Chapter 9 

Municipality or Chapter 11 Reorganization Case .............................. 54 

Rule 3017. Court Consideration of Disclosure Statement in a Chapter 9 

Municipality or Chapter 11 Reorganization Case .............................. 54 

Rule 3017.1. Court Consideration of Disclosure Statement in a Small 

Business Case or in a Case Under Subchapter V of Chapter 11 ......... 56 

Rule 3017.2. Fixing of Dates by the Court in Subchapter V Cases in Which 

There Is No Disclosure Statement .................................................... 57 

Rule 3018. Acceptance or Rejection of Plan in a Chapter 9 Municipality or 

a Chapter 11 Reorganization Case ..................................................... 57 

Rule 3019. Modification of Accepted Plan in a Chapter 9 Municipality or a 

Chapter 11 Reorganization Case ........................................................ 58 

Rule 3020. Deposit; Confirmation of Plan in a Chapter 9 Municipality or 

Chapter 11 Reorganization Case ........................................................ 59 
CONTENTS XV

PART III. CLAIMS AND DISTRIBUTION TO CREDITORS AND EQUITY 

INTEREST HOLDERS; PLANS—Continued Page 

Rule 3021. Distribution Under Plan ................................................................ 60 

Rule 3022. Final Decree in Chapter 11 Reorganization Case ........................... 60 

PART IV. THE DEBTOR: DUTIES AND BENEFITS 

Rule 4001. Relief from Automatic Stay; Prohibiting or Conditioning the 

Use, Sale, or Lease of Property; Use of Cash Collateral; Obtaining 

Credit; Agreements ........................................................................... 60 

Rule 4002. Duties of Debtor ............................................................................ 64 

Rule 4003. Exemptions ................................................................................... 65 

Rule 4004. Grant or Denial of Discharge ........................................................ 66 

Rule 4005. Burden of Proof in Objecting to Discharge .................................... 68 

Rule 4006. Notice of No Discharge .................................................................. 68 

Rule 4007. Determination of Dischargeability of a Debt ................................ 68 

Rule 4008. Filing of Reaffirmation Agreement; Statement in Support of 

Reaffirmation Agreement ................................................................. 69 

PART V. COURTS AND CLERKS 

Rule 5001. Courts and Clerks’ Offices ............................................................. 69 

Rule 5002. Restrictions on Approval of Appointments ................................... 70 

Rule 5003. Records Kept By the Clerk ............................................................ 70 

Rule 5004. Disqualification ............................................................................. 72 

Rule 5005. Filing and Transmittal of Papers .................................................. 72 

Rule 5006. Certification of Copies of Papers ................................................... 73 

Rule 5007. Record of Proceedings and Transcripts ......................................... 73 

Rule 5008. Notice Regarding Presumption of Abuse in Chapter 7 Cases of 

Individual Debtors ............................................................................ 74 

Rule 5009. Closing Chapter 7, Chapter 12, Chapter 13, and Chapter 15 Cases; 

Order Declaring Lien Satisfied ......................................................... 74 

Rule 5010. Reopening Cases ............................................................................ 75 

Rule 5011. Withdrawal and Abstention from Hearing a Proceeding ............... 75 

Rule 5012. Agreements Concerning Coordination of Proceedings in Chapter 

15 Cases ............................................................................................. 75 

PART VI. COLLECTION AND LIQUIDATION OF THE ESTATE 

Rule 6001. Burden of Proof As to Validity of Postpetition Transfer .............. 76 

Rule 6002. Accounting by Prior Custodian of Property of the Estate ............ 76 

Rule 6003. Interim and Final Relief Immediately Following the 

Commencement of the Case—Applications for Employment; 

Motions for Use, Sale, or Lease of Property; and Motions for 

Assumption or Assignment of Executory Contracts ......................... 76 

Rule 6004. Use, Sale, or Lease of Property ..................................................... 76 

Rule 6005. Appraisers and Auctioneers ........................................................... 78 

Rule 6006. Assumption, Rejection or Assignment of an Executory Contract 

or Unexpired Lease ........................................................................... 78 

Rule 6007. Abandonment or Disposition of Property ..................................... 79 

Rule 6008. Redemption of Property from Lien or Sale ................................... 80 

Rule 6009. Prosecution and Defense of Proceedings by Trustee or Debtor in 

Possession ......................................................................................... 80 

Rule 6010. Proceeding to Avoid Indemnifying Lien or Transfer to Surety .... 80 

Rule 6011. Disposal of Patient Records in Health Care Business Case ........... 80 

PART VII. ADVERSARY PROCEEDINGS 

Rule 7001. Scope of Rules of Part VII ............................................................. 81 

Rule 7002. References to Federal Rules of Civil Procedure ............................ 81 

Rule 7003. Commencement of Adversary Proceeding ..................................... 82 

Rule 7004. Process; Service of Summons, Complaint ..................................... 82 

Rule 7005. Service and Filing of Pleadings and Other Papers ........................ 85 

Rule 7007. Pleadings Allowed ......................................................................... 85 

Rule 7007.1. Corporate Ownership Statement ................................................ 85 

Rule 7008. General Rules of Pleading ............................................................. 85 

Rule 7009. Pleading Special Matters .............................................................. 85 

Rule 7010. Form of Pleadings ......................................................................... 85 

Rule 7012. Defenses and Objections—When and How Presented—By Pleading 

or Motion—Motion for Judgment on the Pleadings .......................... 86 

Rule 7013. Counterclaim and Cross-Claim ...................................................... 86 

Rule 7014. Third-Party Practice ..................................................................... 86 

Rule 7015. Amended and Supplemental Pleadings ......................................... 86 

Rule 7016. Pretrial Procedures ....................................................................... 86 

Rule 7017. Parties Plaintiff and Defendant; Capacity .................................... 87 
XVI CONTENTS 

PART VII. ADVERSARY PROCEEDINGS—Continued Page 

Rule 7018. Joinder of Claims and Remedies ................................................... 87 

Rule 7019. Joinder of Persons Needed for Just Determination ...................... 87 

Rule 7020. Permissive Joinder of Parties ....................................................... 87 

Rule 7021. Misjoinder and Non-Joinder of Parties ......................................... 87 

Rule 7022. Interpleader ................................................................................... 87 

Rule 7023. Class Proceedings .......................................................................... 87 

Rule 7023.1. Derivative Actions ...................................................................... 87 

Rule 7023.2. Adversary Proceedings Relating to Unincorporated 

Associations ...................................................................................... 87 

Rule 7024. Intervention .................................................................................. 87 

Rule 7025. Substitution of Parties ................................................................. 88 

Rule 7026. General Provisions Governing Discovery ...................................... 88 

Rule 7027. Depositions Before Adversary Proceedings or Pending Appeal ..... 88 

Rule 7028. Persons Before Whom Depositions May Be Taken ........................ 88 

Rule 7029. Stipulations Regarding Discovery Procedure ............................... 88 

Rule 7030. Depositions Upon Oral Examination ............................................. 88 

Rule 7031. Deposition Upon Written Questions .............................................. 88 

Rule 7032. Use of Depositions in Adversary Proceedings ............................... 88 

Rule 7033. Interrogatories to Parties ............................................................. 88 

Rule 7034. Production of Documents and Things and Entry Upon Land for 

Inspection and Other Purposes ......................................................... 88 

Rule 7035. Physical and Mental Examination of Persons .............................. 88 

Rule 7036. Requests for Admission ................................................................. 88 

Rule 7037. Failure to Make Discovery: Sanctions .......................................... 88 

Rule 7040. Assignment of Cases for Trial ....................................................... 88 

Rule 7041. Dismissal of Adversary Proceedings ............................................. 88 

Rule 7042. Consolidation of Adversary Proceedings; Separate Trials ............ 89 

Rule 7052. Findings by the Court ................................................................... 89 

Rule 7054. Judgments; Costs .......................................................................... 89 

Rule 7055. Default .......................................................................................... 89 

Rule 7056. Summary Judgment ...................................................................... 89 

Rule 7058. Entering Judgment in Adversary Proceeding ............................... 89 

Rule 7062. Stay of Proceedings to Enforce a Judgment ................................. 90 

Rule 7064. Seizure of Person or Property ....................................................... 90 

Rule 7065. Injunctions .................................................................................... 90 

Rule 7067. Deposit in Court ............................................................................ 90 

Rule 7068. Offer of Judgment ......................................................................... 90 

Rule 7069. Execution ...................................................................................... 90 

Rule 7070. Judgment for Specific Acts; Vesting Title .................................... 90 

Rule 7071. Process in Behalf of and Against Persons Not Parties .................. 90 

Rule 7087. Transfer of Adversary Proceeding ................................................. 90 

PART VIII. APPEALS TO DISTRICT COURT OR BANKRUPTCY APPELLATE 

PANEL 

Rule 8001. Scope of Part VIII Rules; Definition of ‘‘BAP’’; Method of 

Transmission .................................................................................... 90 

Rule 8002. Time for Filing Notice of Appeal .................................................. 91 

Rule 8003. Appeal as of Right—How Taken; Docketing the Appeal ............... 93 

Rule 8004. Appeal by Leave—How Taken; Docketing the Appeal ................... 94 

Rule 8005. Election to Have an Appeal Heard by the District Court Instead 

of the BAP ........................................................................................ 95 

Rule 8006. Certifying a Direct Appeal to the Court of Appeals ...................... 96 

Rule 8007. Stay Pending Appeal; Bonds; Suspension of Proceedings ............. 98 

Rule 8008. Indicative Rulings ......................................................................... 99 

Rule 8009. Record on Appeal; Sealed Documents ........................................... 99 

Rule 8010. Completing and Transmitting the Record ..................................... 102 

Rule 8011. Filing and Service; Signature ....................................................... 103 

Rule 8012. Disclosure Statement .................................................................... 105 

Rule 8013. Motions; Intervention ................................................................... 105 

Rule 8014. Briefs ............................................................................................. 107 

Rule 8015. Form and Length of Briefs; Form of Appendices and Other 

Papers ............................................................................................... 109 

Rule 8016. Cross-Appeals ................................................................................ 111 

Rule 8017. Brief of an Amicus Curiae ............................................................. 112 

Rule 8018. Serving and Filing Briefs; Appendices .......................................... 114 

Rule 8018.1. District-Court Review of a Judgment that the Bankruptcy 

Court Lacked the Constitutional Authority to Enter ...................... 115 

Rule 8019. Oral Argument .............................................................................. 115 
CONTENTS XVII

PART VIII. APPEALS TO DISTRICT COURT OR BANKRUPTCY APPELLATE 

PANEL—Continued Page 

Rule 8020. Frivolous Appeal and Other Misconduct ....................................... 116 

Rule 8021. Costs .............................................................................................. 117 

Rule 8022. Motion for Rehearing .................................................................... 117 

Rule 8023. Voluntary Dismissal ..................................................................... 118 

Rule 8024. Clerk’s Duties on Disposition of the Appeal .................................. 118 

Rule 8025. Stay of a District Court or BAP Judgment ................................... 119 

Rule 8026. Rules by Circuit Councils and District Courts; Procedure When 

There is No Controlling Law ............................................................. 119 

Rule 8027. Notice of a Mediation Procedure ................................................... 120 

Rule 8028. Suspension of Rules in Part VIII ................................................... 120 

PART IX. GENERAL PROVISIONS 

Rule 9001. General Definitions ....................................................................... 120 

Rule 9002. Meanings of Words in the Federal Rules of Civil Procedure When 

Applicable to Cases Under the Code .................................................. 121 

Rule 9003. Prohibition of Ex Parte Contacts .................................................. 121 

Rule 9004. General Requirements of Form ..................................................... 122 

Rule 9005. Harmless Error .............................................................................. 122 

Rule 9005.1. Constitutional Challenge to a Statute—Notice, Certification, 

and Intervention ............................................................................... 122 

Rule 9006. Computing and Extending Time; Time for Motion Papers ............ 122 

Rule 9007. General Authority to Regulate Notices ........................................ 124 

Rule 9008. Service or Notice by Publication .................................................. 124 

Rule 9009. Forms ............................................................................................ 124 

Rule 9010. Representation and Appearances; Powers of Attorney ................. 125 

Rule 9011. Signing of Papers; Representations to the Court; Sanctions; 

Verification and Copies of Papers ..................................................... 125 

Rule 9012. Oaths and Affirmations ................................................................. 127 

Rule 9013. Motions: Form and Service ........................................................... 127 

Rule 9014. Contested Matters ......................................................................... 128 

Rule 9015. Jury Trials .................................................................................... 128 

Rule 9016. Subpoena ....................................................................................... 129 

Rule 9017. Evidence ........................................................................................ 129 

Rule 9018. Secret, Confidential, Scandalous, or Defamatory Matter ............. 129 

Rule 9019. Compromise and Arbitration ........................................................ 129 

Rule 9020. Contempt Proceedings .................................................................. 129 

Rule 9021. Entry of Judgment ........................................................................ 130 

Rule 9022. Notice of Judgment or Order ......................................................... 130 

Rule 9023. New Trials; Amendment of Judgments ......................................... 130 

Rule 9024. Relief from Judgment or Order ..................................................... 130 

Rule 9025. Security: Proceedings Against Security Providers ....................... 130 

Rule 9026. Exceptions Unnecessary ................................................................ 131 

Rule 9027. Removal ........................................................................................ 131 

Rule 9028. Disability of a Judge ..................................................................... 133 

Rule 9029. Local Bankruptcy Rules; Procedure When There is No 

Controlling Law ................................................................................ 133 

Rule 9030. Jurisdiction and Venue Unaffected ............................................... 133 

Rule 9031. Masters Not Authorized ................................................................ 133 

Rule 9032. Effect of Amendment of Federal Rules of Civil Procedure ............ 134 

Rule 9033. Proposed Findings of Fact and Conclusions of Law ...................... 134 

Rule 9034. Transmittal of Pleadings, Motion Papers, Objections, and Other 

Papers to the United States Trustee ................................................ 134 

Rule 9035. Applicability of Rules in Judicial Districts in Alabama and 

North Carolina .................................................................................. 135 

Rule 9036. Notice and Service by Electronic Transmission ........................... 135 

Rule 9037. Privacy Protection For Filings Made with the Court ................... 136 

Rule 9038. Bankruptcy Rules Emergency ....................................................... 137 

PART X. [ABROGATED] 

APPENDIX 

Length Limits Stated in Part VIII of the Federal Rules of Bankruptcy 

Procedure .......................................................................................... 139 

(1) 

FEDERAL RULES OF BANKRUPTCY PROCEDURE 

Effective August 1, 1983, as amended to December 1, 2023 

Rule 1001. Scope of Rules and Forms; Short Title 

The Bankruptcy Rules and Forms govern procedure in cases 

under title 11 of the United States Code. The rules shall be cited 

as the Federal Rules of Bankruptcy Procedure and the forms as 

the Official Bankruptcy Forms. These rules shall be construed, administered, and employed by the court and the parties to secure 

the just, speedy, and inexpensive determination of every case and 

proceeding. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Apr. 27, 2017, eff. Dec. 1, 2017.) 

PART I—COMMENCEMENT OF CASE; PROCEEDINGS 

RELATING TO PETITION AND ORDER FOR RELIEF 

Rule 1002. Commencement of Case 

(a) PETITION. A petition commencing a case under the Code shall 

be filed with the clerk. 

(b) TRANSMISSION TO UNITED STATES TRUSTEE. The clerk shall 

forthwith transmit to the United States trustee a copy of the petition filed pursuant to subdivision (a) of this rule. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991.) 

Rule 1003. Involuntary Petition 

(a) TRANSFEROR OR TRANSFEREE OF CLAIM. A transferor or transferee of a claim shall annex to the original and each copy of the 

petition a copy of all documents evidencing the transfer, whether 

transferred unconditionally, for security, or otherwise, and a 

signed statement that the claim was not transferred for the purpose of commencing the case and setting forth the consideration 

for and terms of the transfer. An entity that has transferred or acquired a claim for the purpose of commencing a case for liquidation under chapter 7 or for reorganization under chapter 11 shall 

not be a qualified petitioner. 

(b) JOINDER OF PETITIONERS AFTER FILING. If the answer to an 

involuntary petition filed by fewer than three creditors avers the 

existence of 12 or more creditors, the debtor shall file with the answer a list of all creditors with their addresses, a brief statement 

of the nature of their claims, and the amounts thereof. If it appears that there are 12 or more creditors as provided in § 303(b) of 

the Code, the court shall afford a reasonable opportunity for other 

creditors to join in the petition before a hearing is held thereon. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987.) 
Rule 1004 FEDERAL RULES OF BANKRUPTCY PROCEDURE 2 

Rule 1004. Involuntary Petition Against a Partnership 

After filing of an involuntary petition under § 303(b)(3) of the 

Code, (1) the petitioning partners or other petitioners shall 

promptly send to or serve on each general partner who is not a petitioner a copy of the petition; and (2) the clerk shall promptly 

issue a summons for service on each general partner who is not a 

petitioner. Rule 1010 applies to the form and service of the summons. 

(As amended Apr. 29, 2002, eff. Dec. 1, 2002.) 

Rule 1004.1. Petition for an Infant or Incompetent Person 

If an infant or incompetent person has a representative, including a general guardian, committee, conservator, or similar fiduciary, the representative may file a voluntary petition on behalf 

of the infant or incompetent person. An infant or incompetent 

person who does not have a duly appointed representative may file 

a voluntary petition by next friend or guardian ad litem. The 

court shall appoint a guardian ad litem for an infant or incompetent person who is a debtor and is not otherwise represented or 

shall make any other order to protect the infant or incompetent 

debtor. 

(Added Apr. 29, 2002, eff. Dec. 1, 2002.) 

Rule 1004.2. Petition in Chapter 15 Cases 

(a) DESIGNATING CENTER OF MAIN INTERESTS. A petition for recognition of a foreign proceeding under chapter 15 of the Code shall 

state the country where the debtor has its center of main interests. The petition shall also identify each country in which a foreign proceeding by, regarding, or against the debtor is pending. 

(b) CHALLENGING DESIGNATION. The United States trustee or a 

party in interest may file a motion for a determination that the 

debtor’s center of main interests is other than as stated in the petition for recognition commencing the chapter 15 case. Unless the 

court orders otherwise, the motion shall be filed no later than 

seven days before the date set for the hearing on the petition. The 

motion shall be transmitted to the United States trustee and 

served on the debtor, all persons or bodies authorized to administer foreign proceedings of the debtor, all entities against whom 

provisional relief is being sought under § 1519 of the Code, all parties to litigation pending in the United States in which the debtor 

was a party as of the time the petition was filed, and such other 

entities as the court may direct. 

(Added Apr. 26, 2011, eff. Dec. 1, 2011.) 

Rule 1005. Caption of Petition 

The caption of a petition commencing a case under the Code 

shall contain the name of the court, the title of the case, and the 

docket number. The title of the case shall include the following 

information about the debtor: name, employer identification number, last four digits of the social-security number or individual 

debtor’s taxpayer-identification number, any other federal taxpayer-identification number, and all other names used within 

eight years before filing the petition. If the petition is not filed by 
3 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 1007 

the debtor, it shall include all names used by the debtor which are 

known to the petitioners. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Mar. 27, 2003, eff. Dec. 

1, 2003; Apr. 23, 2008, eff. Dec. 1, 2008.) 

Rule 1006. Filing Fee 

(a) GENERAL REQUIREMENT. Every petition shall be accompanied 

by the filing fee except as provided in subdivisions (b) and (c) of 

this rule. For the purpose of this rule, ‘‘filing fee’’ means the filing fee prescribed by 28 U.S.C. § 1930(a)(1)–(a)(5) and any other fee 

prescribed by the Judicial Conference of the United States under 

28 U.S.C. § 1930(b) that is payable to the clerk upon the commencement of a case under the Code. 

(b) PAYMENT OF FILING FEE IN INSTALLMENTS. 

(1) Application to Pay Filing Fee in Installments. A voluntary 

petition by an individual shall be accepted for filing, regardless of whether any portion of the filing fee is paid, if accompanied by the debtor’s signed application, prepared as prescribed by the appropriate Official Form, stating that the 

debtor is unable to pay the filing fee except in installments. 

(2) Action on Application. Prior to the meeting of creditors, 

the court may order the filing fee paid to the clerk or grant 

leave to pay in installments and fix the number, amount and 

dates of payment. The number of installments shall not exceed 

four, and the final installment shall be payable not later than 

120 days after filing the petition. For cause shown, the court 

may extend the time of any installment, provided the last installment is paid not later than 180 days after filing the petition. 

(3) Postponement of Attorney’s Fees. All installments of the 

filing fee must be paid in full before the debtor or chapter 13 

trustee may make further payments to an attorney or any 

other person who renders services to the debtor in connection 

with the case. 

(c) WAIVER OF FILING FEE. A voluntary chapter 7 petition filed 

by an individual shall be accepted for filing if accompanied by the 

debtor’s application requesting a waiver under 28 U.S.C. § 1930(f), 

prepared as prescribed by the appropriate Official Form. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 23, 1996, eff. Dec. 

1, 1996; Apr. 23, 2008, eff. Dec. 1, 2008; Apr. 27, 2017, eff. Dec. 1, 2017.) 

Rule 1007. Lists, Schedules, Statements, and Other Documents; 

Time Limits 

(a) CORPORATE OWNERSHIP STATEMENT, LIST OF CREDITORS AND

EQUITY SECURITY HOLDERS, AND OTHER LISTS. 

(1) Voluntary Case. In a voluntary case, the debtor shall file 

with the petition a list containing the name and address of 

each entity included or to be included on Schedules D, E/F, G, 

and H as prescribed by the Official Forms. If the debtor is a 

corporation, other than a governmental unit, the debtor shall 

file with the petition a corporate ownership statement containing the information described in Rule 7007.1. The debtor 

shall file a supplemental statement promptly upon any change 

in circumstances that renders the corporate ownership statement inaccurate. 
Rule 1007 FEDERAL RULES OF BANKRUPTCY PROCEDURE 4 

(2) Involuntary Case. In an involuntary case, the debtor shall 

file, within seven days after entry of the order for relief, a list 

containing the name and address of each entity included or to 

be included on Schedules D, E/F, G, and H as prescribed by the 

Official Forms. 

(3) Equity Security Holders. In a chapter 11 reorganization 

case, unless the court orders otherwise, the debtor shall file 

within 14 days after entry of the order for relief a list of the 

debtor’s equity security holders of each class showing the 

number and kind of interests registered in the name of each 

holder, and the last known address or place of business of each 

holder. 

(4) Chapter 15 Case. In addition to the documents required 

under § 1515 of the Code, a foreign representative filing a petition for recognition under chapter 15 shall file with the petition: (A) a corporate ownership statement containing the information described in Rule 7007.1; and (B) unless the court orders otherwise, a list containing the names and addresses of 

all persons or bodies authorized to administer foreign proceedings of the debtor, all parties to litigation pending in the 

United States in which the debtor is a party at the time of the 

filing of the petition, and all entities against whom provisional relief is being sought under § 1519 of the Code. 

(5) Extension of Time. Any extension of time for the filing of 

the lists required by this subdivision may be granted only on 

motion for cause shown and on notice to the United States 

trustee and to any trustee, committee elected under § 705 or 

appointed under § 1102 of the Code, or other party as the court 

may direct. 

(b) SCHEDULES, STATEMENTS, AND OTHER DOCUMENTS REQUIRED. 

(1) Except in a chapter 9 municipality case, the debtor, unless the court orders otherwise, shall file the following schedules, statements, and other documents, prepared as prescribed 

by the appropriate Official Forms, if any: 

(A) schedules of assets and liabilities; 

(B) a schedule of current income and expenditures; 

(C) a schedule of executory contracts and unexpired 

leases; 

(D) a statement of financial affairs; 

(E) copies of all payment advices or other evidence of 

payment, if any, received by the debtor from an employer 

within 60 days before the filing of the petition, with redaction of all but the last four digits of the debtor’s social-security number or individual taxpayer-identification number; and 

(F) a record of any interest that the debtor has in an account or program of the type specified in § 521(c) of the 

Code. 

(2) An individual debtor in a chapter 7 case shall file a statement of intention as required by § 521(a) of the Code, prepared 

as prescribed by the appropriate Official Form. A copy of the 

statement of intention shall be served on the trustee and the 

creditors named in the statement on or before the filing of the 

statement. 
5 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 1007 

(3) Unless the United States trustee has determined that the 

credit counseling requirement of § 109(h) does not apply in the 

district, an individual debtor must file a statement of compliance with the credit counseling requirement, prepared as prescribed by the appropriate Official Form which must include 

one of the following: 

(A) an attached certificate and debt repayment plan, if 

any, required by § 521(b); 

(B) a statement that the debtor has received the credit 

counseling briefing required by § 109(h)(1) but does not have 

the certificate required by § 521(b); 

(C) a certification under § 109(h)(3); or 

(D) a request for a determination by the court under 

§ 109(h)(4). 

(4) Unless § 707(b)(2)(D) applies, an individual debtor in a 

chapter 7 case shall file a statement of current monthly income prepared as prescribed by the appropriate Official Form, 

and, if the current monthly income exceeds the median family 

income for the applicable state and household size, the information, including calculations, required by § 707(b), prepared 

as prescribed by the appropriate Official Form. 

(5) An individual debtor in a chapter 11 case (unless under 

subchapter V) shall file a statement of current monthly income, prepared as prescribed by the appropriate Official Form. 

(6) A debtor in a chapter 13 case shall file a statement of current monthly income, prepared as prescribed by the appropriate Official Form, and, if the current monthly income exceeds the median family income for the applicable state and 

household size, a calculation of disposable income made in accordance with § 1325(b)(3), prepared as prescribed by the appropriate Official Form. 

(7) Unless an approved provider of an instructional course 

concerning personal financial management has notified the 

court that a debtor has completed the course after filing the 

petition: 

(A) An individual debtor in a chapter 7 or chapter 13 case 

shall file a statement of completion of the course, prepared 

as prescribed by the appropriate Official Form; and 

(B) An individual debtor in a chapter 11 case shall file 

the statement if § 1141(d)(3) applies. 

(8) If an individual debtor in a chapter 11, 12, or 13 case has 

claimed an exemption under § 522(b)(3)(A) in property of the 

kind described in § 522(p)(1) with a value in excess of the 

amount set out in § 522(q)(1), the debtor shall file a statement 

as to whether there is any proceeding pending in which the 

debtor may be found guilty of a felony of a kind described in 

§ 522(q)(1)(A) or found liable for a debt of the kind described in 

§ 522(q)(1)(B). 

(c) TIME LIMITS. In a voluntary case, the schedules, statements, 

and other documents required by subdivision (b)(1), (4), (5), and (6) 

shall be filed with the petition or within 14 days thereafter, except 

as otherwise provided in subdivisions (d), (e), (f), and (h) of this 

rule. In an involuntary case, the schedules, statements, and other 
Rule 1007 FEDERAL RULES OF BANKRUPTCY PROCEDURE 6 

1So in original. Probably should be only one section symbol. 

documents required by subdivision (b)(1) shall be filed by the debtor within 14 days after the entry of the order for relief. In a voluntary case, the documents required by paragraphs (A), (C), and 

(D) of subdivision (b)(3) shall be filed with the petition. Unless the 

court orders otherwise, a debtor who has filed a statement under 

subdivision (b)(3)(B), shall file the documents required by subdivision (b)(3)(A) within 14 days of the order for relief. In a chapter 7 

case, the debtor shall file the statement required by subdivision 

(b)(7) within 60 days after the first date set for the meeting of 

creditors under § 341 of the Code, and in a chapter 11 or 13 case no 

later than the date when the last payment was made by the debtor 

as required by the plan or the filing of a motion for a discharge 

under § 1141(d)(5)(B) or § 1328(b) of the Code. The court may, at any 

time and in its discretion, enlarge the time to file the statement 

required by subdivision (b)(7). The debtor shall file the statement 

required by subdivision (b)(8) no earlier than the date of the last 

payment made under the plan or the date of the filing of a motion 

for a discharge under §§ 1141(d)(5)(B),1 1228(b), or 1328(b) of the 

Code. Lists, schedules, statements, and other documents filed 

prior to the conversion of a case to another chapter shall be 

deemed filed in the converted case unless the court directs otherwise. Except as provided in § 1116(3), any extension of time to file 

schedules, statements, and other documents required under this 

rule may be granted only on motion for cause shown and on notice 

to the United States trustee, any committee elected under § 705 or 

appointed under § 1102 of the Code, trustee, examiner, or other 

party as the court may direct. Notice of an extension shall be 

given to the United States trustee and to any committee, trustee, 

or other party as the court may direct. 

(d) LIST OF 20 LARGEST CREDITORS IN CHAPTER 9 MUNICIPALITY

CASE OR CHAPTER 11 REORGANIZATION CASE. In addition to the list 

required by subdivision (a) of this rule, a debtor in a chapter 9 municipality case or a debtor in a voluntary chapter 11 reorganization case shall file with the petition a list containing the name, 

address and claim of the creditors that hold the 20 largest unsecured claims, excluding insiders, as prescribed by the appropriate 

Official Form. In an involuntary chapter 11 reorganization case, 

such list shall be filed by the debtor within 2 days after entry of 

the order for relief under § 303(h) of the Code. 

(e) LIST IN CHAPTER 9 MUNICIPALITY CASES. The list required by 

subdivision (a) of this rule shall be filed by the debtor in a chapter 

9 municipality case within such time as the court shall fix. If a 

proposed plan requires a revision of assessments so that the proportion of special assessments or special taxes to be assessed 

against some real property will be different from the proportion 

in effect at the date the petition is filed, the debtor shall also file 

a list showing the name and address of each known holder of title, 

legal or equitable, to real property adversely affected. On motion 

for cause shown, the court may modify the requirements of this 

subdivision and subdivision (a) of this rule. 
7 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 1007 

(f) STATEMENT OF SOCIAL SECURITY NUMBER. An individual debtor shall submit a verified statement that sets out the debtor’s social security number, or states that the debtor does not have a social security number. In a voluntary case, the debtor shall submit 

the statement with the petition. In an involuntary case, the debtor shall submit the statement within 14 days after the entry of the 

order for relief. 

(g) PARTNERSHIP AND PARTNERS. The general partners of a debtor 

partnership shall prepare and file the list required under subdivision (a), schedules of the assets and liabilities, schedule of current 

income and expenditures, schedule of executory contracts and unexpired leases, and statement of financial affairs of the partnership. The court may order any general partner to file a statement 

of personal assets and liabilities within such time as the court 

may fix. 

(h) INTERESTS ACQUIRED OR ARISING AFTER PETITION. If, as provided by § 541(a)(5) of the Code, the debtor acquires or becomes entitled to acquire any interest in property, the debtor shall within 

14 days after the information comes to the debtor’s knowledge or 

within such further time the court may allow, file a supplemental 

schedule in the chapter 7 liquidation case, chapter 11 reorganization case, chapter 12 family farmer’s debt adjustment case, or 

chapter 13 individual debt adjustment case. If any of the property 

required to be reported under this subdivision is claimed by the 

debtor as exempt, the debtor shall claim the exemptions in the 

supplemental schedule. This duty to file a supplemental schedule 

continues even after the case is closed, except for property acquired after an order is entered: 

(1) confirming a chapter 11 plan (other than one confirmed 

under § 1191(b)); or 

(2) discharging the debtor in a chapter 12 case, a chapter 13 

case, or a case under subchapter V of chapter 11 in which the 

plan is confirmed under § 1191(b). 

(i) DISCLOSURE OF LIST OF SECURITY HOLDERS. After notice and 

hearing and for cause shown, the court may direct an entity other 

than the debtor or trustee to disclose any list of security holders 

of the debtor in its possession or under its control, indicating the 

name, address and security held by any of them. The entity possessing this list may be required either to produce the list or a 

true copy thereof, or permit inspection or copying, or otherwise 

disclose the information contained on the list. 

(j) IMPOUNDING OF LISTS. On motion of a party in interest and for 

cause shown the court may direct the impounding of the lists filed 

under this rule, and may refuse to permit inspection by any entity. The court may permit inspection or use of the lists, however, 

by any party in interest on terms prescribed by the court. 

(k) PREPARATION OF LIST, SCHEDULES, OR STATEMENTS ON DEFAULT OF DEBTOR. If a list, schedule, or statement, other than a 

statement of intention, is not prepared and filed as required by 

this rule, the court may order the trustee, a petitioning creditor, 

committee, or other party to prepare and file any of these papers 

within a time fixed by the court. The court may approve reimbursement of the cost incurred in complying with such an order 

as an administrative expense. 
Rule 1008 FEDERAL RULES OF BANKRUPTCY PROCEDURE 8 

(l) TRANSMISSION TO UNITED STATES TRUSTEE. The clerk shall 

forthwith transmit to the United States trustee a copy of every 

list, schedule, and statement filed pursuant to subdivision (a)(1), 

(a)(2), (b), (d), or (h) of this rule. 

(m) INFANTS AND INCOMPETENT PERSONS. If the debtor knows 

that a person on the list of creditors or schedules is an infant or 

incompetent person, the debtor also shall include the name, address, and legal relationship of any person upon whom process 

would be served in an adversary proceeding against the infant or 

incompetent person in accordance with Rule 7004(b)(2). 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Apr. 23, 1996, eff. Dec. 1, 1996; Apr. 23, 2001, eff. Dec. 1, 2001; 

Mar. 27, 2003, eff. Dec. 1, 2003; Apr. 25, 2005, eff. Dec. 1, 2005; Apr. 

23, 2008, eff. Dec. 1, 2008; Mar. 26, 2009, eff. Dec. 1, 2009; Apr. 28, 2010, 

eff. Dec. 1, 2010; Apr. 23, 2012, eff. Dec. 1, 2012: Apr. 16, 2013, eff. Dec. 

1, 2013; Apr. 29, 2015, eff. Dec. 1, 2015; Apr. 11, 2022, eff. Dec. 1, 2022.) 

Rule 1008. Verification of Petitions and Accompanying Papers 

All petitions, lists, schedules, statements and amendments 

thereto shall be verified or contain an unsworn declaration as provided in 28 U.S.C. § 1746. 

(As amended Apr. 30, 1991, eff. Aug. 1, 1991.) 

Rule 1009. Amendments of Voluntary Petitions, Lists, Schedules 

and Statements 

(a) GENERAL RIGHT TO AMEND. A voluntary petition, list, schedule, or statement may be amended by the debtor as a matter of 

course at any time before the case is closed. The debtor shall give 

notice of the amendment to the trustee and to any entity affected 

thereby. On motion of a party in interest, after notice and a hearing, the court may order any voluntary petition, list, schedule, or 

statement to be amended and the clerk shall give notice of the 

amendment to entities designated by the court. 

(b) STATEMENT OF INTENTION. The statement of intention may be 

amended by the debtor at any time before the expiration of the period provided in § 521(a) of the Code. The debtor shall give notice 

of the amendment to the trustee and to any entity affected thereby. 

(c) STATEMENT OF SOCIAL SECURITY NUMBER. If a debtor becomes 

aware that the statement of social security number submitted 

under Rule 1007(f) is incorrect, the debtor shall promptly submit 

an amended verified statement setting forth the correct social security number. The debtor shall give notice of the amendment to 

all of the entities required to be included on the list filed under 

Rule 1007(a)(1) or (a)(2). 

(d) TRANSMISSION TO UNITED STATES TRUSTEE. The clerk shall 

promptly transmit to the United States trustee a copy of every 

amendment filed or submitted under subdivision (a), (b), or (c) of 

this rule. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Apr. 12, 2006, eff. Dec. 1, 2006; Apr. 23, 2008, eff. Dec. 1, 2008.) 
9 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 1011 

Rule 1010. Service of Involuntary Petition and Summons 

(a) SERVICE OF INVOLUNTARY PETITION AND SUMMONS. On the filing of an involuntary petition, the clerk shall forthwith issue a 

summons for service. When an involuntary petition is filed, service shall be made on the debtor. The summons shall be served with 

a copy of the petition in the manner provided for service of a summons and complaint by Rule 7004(a) or (b). If service cannot be so 

made, the court may order that the summons and petition be 

served by mailing copies to the party’s last known address, and by 

at least one publication in a manner and form directed by the 

court. The summons and petition may be served on the party anywhere. Rule 7004(e) and Rule 4(l) F.R.Civ.P. apply when service is 

made or attempted under this rule. 

(b) CORPORATE OWNERSHIP STATEMENT. Each petitioner that is a 

corporation shall file with the involuntary petition a corporate 

ownership statement containing the information described in Rule 

7007.1. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Apr. 22, 1993, eff. Aug. 1, 1993; Apr. 11, 1997, eff. Dec. 1, 1997; 

Apr. 23, 2008, eff. Dec. 1, 2008; Apr. 28, 2016, eff. Dec. 1, 2016.) 

Rule 1011. Responsive Pleading or Motion in Involuntary Cases 

(a) WHO MAY CONTEST PETITION. The debtor named in an involuntary petition may contest the petition. In the case of a petition 

against a partnership under Rule 1004, a nonpetitioning general 

partner, or a person who is alleged to be a general partner but denies the allegation, may contest the petition. 

(b) DEFENSES AND OBJECTIONS; WHEN PRESENTED. Defenses and 

objections to the petition shall be presented in the manner prescribed by Rule 12 F.R.Civ.P. and shall be filed and served within 

21 days after service of the summons, except that if service is 

made by publication on a party or partner not residing or found 

within the state in which the court sits, the court shall prescribe 

the time for filing and serving the response. 

(c) EFFECT OF MOTION. Service of a motion under Rule 12(b) 

F.R.Civ.P. shall extend the time for filing and serving a responsive 

pleading as permitted by Rule 12(a) F.R.Civ.P. 

(d) CLAIMS AGAINST PETITIONERS. A claim against a petitioning 

creditor may not be asserted in the answer except for the purpose 

of defeating the petition. 

(e) OTHER PLEADINGS. No other pleadings shall be permitted, except that the court may order a reply to an answer and prescribe 

the time for filing and service. 

(f) CORPORATE OWNERSHIP STATEMENT. If the entity responding 

to the involuntary petition is a corporation, the entity shall file 

with its first appearance, pleading, motion, response, or other request addressed to the court a corporate ownership statement containing the information described in Rule 7007.1. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 26, 2004, eff. Dec. 

1, 2004; Apr. 23, 2008, eff. Dec. 1, 2008; Mar. 26, 2009, eff. Dec. 1, 2009; 

Apr. 28, 2016, eff. Dec. 1, 2016.) 
Rule 1012 FEDERAL RULES OF BANKRUPTCY PROCEDURE 10 

Rule 1012. Responsive Pleading in Cross-Border Cases 

(a) WHO MAY CONTEST PETITION. The debtor or any party in interest may contest a petition for recognition of a foreign proceeding. 

(b) OBJECTIONS AND RESPONSES; WHEN PRESENTED. Objections 

and other responses to the petition shall be presented no later 

than seven days before the date set for the hearing on the petition, unless the court prescribes some other time or manner for 

responses. 

(c) CORPORATE OWNERSHIP STATEMENT. If the entity responding 

to the petition is a corporation, then the entity shall file a corporate ownership statement containing the information described 

in Rule 7007.1 with its first appearance, pleading, motion, response, or other request addressed to the court. 

(Added Apr. 28, 2016, eff. Dec. 1, 2016.) 

Rule 1013. Hearing and Disposition of a Petition in an Involuntary 

Case 

(a) CONTESTED PETITION. The court shall determine the issues of 

a contested petition at the earliest practicable time and forthwith 

enter an order for relief, dismiss the petition, or enter any other 

appropriate order. 

(b) DEFAULT. If no pleading or other defense to a petition is filed 

within the time provided by Rule 1011, the court, on the next day, 

or as soon thereafter as practicable, shall enter an order for the 

relief requested in the petition. 

[(c) ORDER FOR RELIEF] (Abrogated Apr. 22, 1993, eff. Aug. 1, 1993) 

(As amended Apr. 30, 1991, eff. Aug. 1, 1991; Apr. 22, 1993, eff. Aug. 

1, 1993.) 

Rule 1014. Dismissal and Change of Venue 

(a) DISMISSAL AND TRANSFER OF CASES. 

(1) Cases Filed in Proper District. If a petition is filed in the 

proper district, the court, on the timely motion of a party in 

interest or on its own motion, and after hearing on notice to 

the petitioners, the United States trustee, and other entities 

as directed by the court, may transfer the case to any other 

district if the court determines that the transfer is in the interest of justice or for the convenience of the parties. 

(2) Cases Filed in Improper District. If a petition is filed in an 

improper district, the court, on the timely motion of a party 

in interest or on its own motion, and after hearing on notice 

to the petitioners, the United States trustee, and other entities as directed by the court, may dismiss the case or transfer 

it to any other district if the court determines that transfer 

is in the interest of justice or for the convenience of the parties. 

(b) PROCEDURE WHEN PETITIONS INVOLVING THE SAME DEBTOR OR

RELATED DEBTORS ARE FILED IN DIFFERENT COURTS. If petitions 

commencing cases under the Code or seeking recognition under 

chapter 15 are filed in different districts by, regarding, or against 

(1) the same debtor, (2) a partnership and one or more of its general partners, (3) two or more general partners, or (4) a debtor and 
11 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 1016 

an affiliate, the court in the district in which the first-filed petition is pending may determine, in the interest of justice or for the 

convenience of the parties, the district or districts in which any 

of the cases should proceed. The court may so determine on motion and after a hearing, with notice to the following entities in 

the affected cases: the United States trustee, entities entitled to 

notice under Rule 2002(a), and other entities as the court directs. 

The court may order the parties to the later-filed cases not to proceed further until it makes the determination. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Apr. 30, 2007, eff. Dec. 1, 2007; Apr. 28, 2010, eff. Dec. 1, 2010; 

Apr. 25, 2014, eff. Dec. 1, 2014.) 

Rule 1015. Consolidation or Joint Administration of Cases Pending 

in Same Court 

(a) CASES INVOLVING SAME DEBTOR. If two or more petitions by, 

regarding, or against the same debtor are pending in the same 

court, the court may order consolidation of the cases. 

(b) CASES INVOLVING TWO OR MORE RELATED DEBTORS. If a joint 

petition or two or more petitions are pending in the same court 

by or against (1) spouses, or (2) a partnership and one or more of 

its general partners, or (3) two or more general partners, or (4) a 

debtor and an affiliate, the court may order a joint administration 

of the estates. Prior to entering an order the court shall give consideration to protecting creditors of different estates against potential conflicts of interest. An order directing joint administration of individual cases of spouses shall, if one spouse has elected 

the exemptions under § 522(b)(2) of the Code and the other has 

elected the exemptions under § 522(b)(3), fix a reasonable time 

within which either may amend the election so that both shall 

have elected the same exemptions. The order shall notify the debtors that unless they elect the same exemptions within the time 

fixed by the court, they will be deemed to have elected the exemptions provided by § 522(b)(2). 

(c) EXPEDITING AND PROTECTIVE ORDERS. When an order for consolidation or joint administration of a joint case or two or more 

cases is entered pursuant to this rule, while protecting the rights 

of the parties under the Code, the court may enter orders as may 

tend to avoid unnecessary costs and delay. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 23, 2008, eff. Dec. 

1, 2008; Apr. 28, 2010, eff. Dec. 1, 2010; Apr. 27, 2017, eff. Dec. 1, 2017.) 

Rule 1016. Death or Incompetency of Debtor 

Death or incompetency of the debtor shall not abate a liquidation case under chapter 7 of the Code. In such event the estate 

shall be administered and the case concluded in the same manner, 

so far as possible, as though the death or incompetency had not 

occurred. If a reorganization, family farmer’s debt adjustment, or 

individual’s debt adjustment case is pending under chapter 11, 

chapter 12, or chapter 13, the case may be dismissed; or if further 

administration is possible and in the best interest of the parties, 

the case may proceed and be concluded in the same manner, so far 

as possible, as though the death or incompetency had not occurred. 
Rule 1017 FEDERAL RULES OF BANKRUPTCY PROCEDURE 12 

(As amended Apr. 30, 1991, eff. Aug. 1, 1991.) 

Rule 1017. Dismissal or Conversion of Case; Suspension 

(a) VOLUNTARY DISMISSAL; DISMISSAL FOR WANT OF PROSECUTION

OR OTHER CAUSE. Except as provided in §§ 707(a)(3), 707(b), 1208(b), 

and 1307(b) of the Code, and in Rule 1017(b), (c), and (e), a case 

shall not be dismissed on motion of the petitioner, for want of 

prosecution or other cause, or by consent of the parties, before a 

hearing on notice as provided in Rule 2002. For the purpose of the 

notice, the debtor shall file a list of creditors with their addresses 

within the time fixed by the court unless the list was previously 

filed. If the debtor fails to file the list, the court may order the 

debtor or another entity to prepare and file it. 

(b) DISMISSAL FOR FAILURE TO PAY FILING FEE. 

(1) If any installment of the filing fee has not been paid, the 

court may, after a hearing on notice to the debtor and the 

trustee, dismiss the case. 

(2) If the case is dismissed or closed without full payment of 

the filing fee, the installments collected shall be distributed in 

the same manner and proportions as if the filing fee had been 

paid in full. 

(c) DISMISSAL OF VOLUNTARY CHAPTER 7 OR CHAPTER 13 CASE FOR

FAILURE TO TIMELY FILE LIST OF CREDITORS, SCHEDULES, AND

STATEMENT OF FINANCIAL AFFAIRS. The court may dismiss a voluntary chapter 7 or chapter 13 case under § 707(a)(3) or § 1307(c)(9) 

after a hearing on notice served by the United States trustee on 

the debtor, the trustee, and any other entities as the court directs. 

(d) SUSPENSION. The court shall not dismiss a case or suspend 

proceedings under § 305 before a hearing on notice as provided in 

Rule 2002(a). 

(e) DISMISSAL OF AN INDIVIDUAL DEBTOR’S CHAPTER 7 CASE, OR

CONVERSION TO A CASE UNDER CHAPTER 11 OR 13, FOR ABUSE. The 

court may dismiss or, with the debtor’s consent, convert an individual debtor’s case for abuse under § 707(b) only on motion and 

after a hearing on notice to the debtor, the trustee, the United 

States trustee, and any other entity as the court directs. 

(1) Except as otherwise provided in § 704(b)(2), a motion to 

dismiss a case for abuse under § 707(b) or (c) may be filed only 

within 60 days after the first date set for the meeting of creditors under § 341(a), unless, on request filed before the time has 

expired, the court for cause extends the time for filing the motion to dismiss. The party filing the motion shall set forth in 

the motion all matters to be considered at the hearing. In addition, a motion to dismiss under § 707(b)(1) and (3) shall state 

with particularity the circumstances alleged to constitute 

abuse. 

(2) If the hearing is set on the court’s own motion, notice of 

the hearing shall be served on the debtor no later than 60 days 

after the first date set for the meeting of creditors under 

§ 341(a). The notice shall set forth all matters to be considered 

by the court at the hearing. 
13 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 1019 

(f) PROCEDURE FOR DISMISSAL, CONVERSION, OR SUSPENSION. 

(1) Rule 9014 governs a proceeding to dismiss or suspend a 

case, or to convert a case to another chapter, except under 

§§ 706(a), 1112(a), 1208(a) or (b), or 1307(a) or (b). 

(2) Conversion or dismissal under §§ 706(a), 1112(a), 1208(b), or 

1307(b) shall be on motion filed and served as required by Rule 

9013. 

(3) A chapter 12 or chapter 13 case shall be converted without 

court order when the debtor files a notice of conversion under 

§§ 1208(a) or 1307(a). The filing date of the notice becomes the 

date of the conversion order for the purposes of applying 

§ 348(c) and Rule 1019. The clerk shall promptly transmit a 

copy of the notice to the United States trustee. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Apr. 22, 1993, eff. Aug. 1, 1993; Apr. 26, 1999, eff. Dec. 1, 1999; 

Apr. 17, 2000, eff. Dec. 1, 2000; Apr. 23, 2008, eff. Dec. 1, 2008.) 

Rule 1018. Contested Involuntary Petitions; Contested Petitions 

Commencing Chapter 15 Cases; Proceedings to Vacate Order 

for Relief; Applicability of Rules in Part VII Governing Adversary Proceedings 

Unless the court otherwise directs and except as otherwise prescribed in Part I of these rules, the following rules in Part VII 

apply to all proceedings contesting an involuntary petition or a 

chapter 15 petition for recognition, and to all proceedings to vacate an order for relief: Rules 7005, 7008–7010, 7015, 7016, 7024–7026, 

7028–7037, 7052, 7054, 7056, and 7062. The court may direct that other 

rules in Part VII shall also apply. For the purposes of this rule a 

reference in the Part VII rules to adversary proceedings shall be 

read as a reference to proceedings contesting an involuntary petition or a chapter 15 petition for recognition, or proceedings to vacate an order for relief. Reference in the Federal Rules of Civil 

Procedure to the complaint shall be read as a reference to the petition. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 28, 2010, eff. Dec. 

1, 2010.) 

Rule 1019. Conversion of a Chapter 11 Reorganization Case, Chapter 12 Family Farmer’s Debt Adjustment Case, or Chapter 13 

Individual’s Debt Adjustment Case to a Chapter 7 Liquidation 

Case 

When a chapter 11, chapter 12, or chapter 13 case has been converted or reconverted to a chapter 7 case: 

(1) Filing of Lists, Inventories, Schedules, Statements. 

(A) Lists, inventories, schedules, and statements of financial affairs theretofore filed shall be deemed to be filed 

in the chapter 7 case, unless the court directs otherwise. If 

they have not been previously filed, the debtor shall comply with Rule 1007 as if an order for relief had been entered 

on an involuntary petition on the date of the entry of the 

order directing that the case continue under chapter 7. 

(B) If a statement of intention is required, it shall be 

filed within 30 days after entry of the order of conversion 

or before the first date set for the meeting of creditors, 
Rule 1019 FEDERAL RULES OF BANKRUPTCY PROCEDURE 14 

1So in original. Probably should be ‘‘Rule’’. 

whichever is earlier. The court may grant an extension of 

time for cause only on written motion filed, or oral request made during a hearing, before the time has expired. 

Notice of an extension shall be given to the United States 

trustee and to any committee, trustee, or other party as 

the court may direct. 

(2) New Filing Periods. 

(A) A new time period for filing a motion under § 707(b) 

or (c), a claim, a complaint objecting to discharge, or a 

complaint to obtain a determination of dischargeability of 

any debt shall commence under Rules 1 1017, 3002, 4004, or 

4007, but a new time period shall not commence if a chapter 7 case had been converted to a chapter 11, 12, or 13 case 

and thereafter reconverted to a chapter 7 case and the 

time for filing a motion under § 707(b) or (c), a claim, a 

complaint objecting to discharge, or a complaint to obtain 

a determination of the dischargeability of any debt, or any 

extension thereof, expired in the original chapter 7 case. 

(B) A new time period for filing an objection to a claim 

of exemptions shall commence under Rule 4003(b) after 

conversion of a case to chapter 7 unless: 

(i) the case was converted to chapter 7 more than one 

year after the entry of the first order confirming a 

plan under chapter 11, 12, or 13; or 

(ii) the case was previously pending in chapter 7 and 

the time to object to a claimed exemption had expired 

in the original chapter 7 case. 

(3) Claims Filed Before Conversion. All claims actually filed by 

a creditor before conversion of the case are deemed filed in the 

chapter 7 case. 

(4) Turnover of Records and Property. After qualification of, or 

assumption of duties by the chapter 7 trustee, any debtor in 

possession or trustee previously acting in the chapter 11, 12, or 

13 case shall, forthwith, unless otherwise ordered, turn over to 

the chapter 7 trustee all records and property of the estate in 

the possession or control of the debtor in possession or trustee. 

(5) Filing Final Report and Schedule of Postpetition Debts. 

(A) Conversion of Chapter 11 or Chapter 12 Case. Unless the 

court directs otherwise, if a chapter 11 or chapter 12 case 

is converted to chapter 7, the debtor in possession or, if the 

debtor is not a debtor in possession, the trustee serving at 

the time of conversion, shall: 

(i) not later than 14 days after conversion of the case, 

file a schedule of unpaid debts incurred after the filing 

of the petition and before conversion of the case, including the name and address of each holder of a claim; 

and 

(ii) not later than 30 days after conversion of the 

case, file and transmit to the United States trustee a 

final report and account; 

(B) Conversion of Chapter 13 Case. Unless the court directs 

otherwise, if a chapter 13 case is converted to chapter 7, 
15 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 1020 

(i) the debtor, not later than 14 days after conversion 

of the case, shall file a schedule of unpaid debts incurred after the filing of the petition and before conversion of the case, including the name and address of 

each holder of a claim; and 

(ii) the trustee, not later than 30 days after conversion of the case, shall file and transmit to the United 

States trustee a final report and account; 

(C) Conversion After Confirmation of a Plan. Unless the 

court orders otherwise, if a chapter 11, chapter 12, or chapter 13 case is converted to chapter 7 after confirmation of 

a plan, the debtor shall file: 

(i) a schedule of property not listed in the final report and account acquired after the filing of the petition but before conversion, except if the case is converted from chapter 13 to chapter 7 and § 348(f)(2) does 

not apply; 

(ii) a schedule of unpaid debts not listed in the final 

report and account incurred after confirmation but before the conversion; and 

(iii) a schedule of executory contracts and unexpired 

leases entered into or assumed after the filing of the 

petition but before conversion. 

(D) Transmission to United States Trustee. The clerk shall 

forthwith transmit to the United States trustee a copy of 

every schedule filed pursuant to Rule 1019(5). 

(6) Postpetition Claims; Preconversion Administrative Expenses; 

Notice. A request for payment of an administrative expense incurred before conversion of the case is timely filed under 

§ 503(a) of the Code if it is filed before conversion or a time 

fixed by the court. If the request is filed by a governmental 

unit, it is timely if it is filed before conversion or within the 

later of a time fixed by the court or 180 days after the date of 

the conversion. A claim of a kind specified in § 348(d) may be 

filed in accordance with Rules 3001(a)–(d) and 3002. Upon the 

filing of the schedule of unpaid debts incurred after commencement of the case and before conversion, the clerk, or 

some other person as the court may direct, shall give notice 

to those entities listed on the schedule of the time for filing 

a request for payment of an administrative expense and, unless a notice of insufficient assets to pay a dividend is mailed 

in accordance with Rule 2002(e), the time for filing a claim of 

a kind specified in § 348(d). 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Apr. 23, 1996, eff. Dec. 1, 1996; Apr. 11, 1997, eff. Dec. 1, 1997; 

Apr. 26, 1999, eff. Dec. 1, 1999; Apr. 23, 2008, eff. Dec. 1, 2008; Mar. 

26, 2009, eff. Dec. 1, 2009; Apr. 28, 2010, eff. Dec. 1, 2010.) 

Rule 1020. Chapter 11 Reorganization Case for Small Business 

Debtors 

(a) SMALL BUSINESS DEBTOR DESIGNATION. In a voluntary chapter 

11 case, the debtor shall state in the petition whether the debtor 

is a small business debtor and, if so, whether the debtor elects to 

have subchapter V of chapter 11 apply. In an involuntary chapter 
Rule 1021 FEDERAL RULES OF BANKRUPTCY PROCEDURE 16 

11 case, the debtor shall file within 14 days after entry of the order 

for relief a statement as to whether the debtor is a small business 

debtor and, if so, whether the debtor elects to have subchapter V 

of chapter 11 apply. The status of the case as a small business case 

or a case under subchapter V of chapter 11 shall be in accordance 

with the debtor’s statement under this subdivision, unless and 

until the court enters an order finding that the debtor’s statement 

is incorrect. 

(b) OBJECTING TO DESIGNATION. The United States trustee or a 

party in interest may file an objection to the debtor’s statement 

under subdivision (a) no later than 30 days after the conclusion of 

the meeting of creditors held under § 341(a) of the Code, or within 

30 days after any amendment to the statement, whichever is later. 

(c) PROCEDURE FOR OBJECTION OR DETERMINATION. Any objection 

or request for a determination under this rule shall be governed 

by Rule 9014 and served on: the debtor; the debtor’s attorney; the 

United States trustee; the trustee; the creditors included on the 

list filed under Rule 1007(d) or, if a committee has been appointed 

under § 1102(a)(3), the committee or its authorized agent; and any 

other entity as the court directs. 

(Added Apr. 11, 1997, eff. Dec. 1, 1997; amended Apr. 23, 2008, eff. 

Dec. 1, 2008; Mar. 26, 2009, eff. Dec. 1, 2009; Apr. 11, 2022, eff. Dec. 

1, 2022.) 

Rule 1021. Health Care Business Case 

(a) HEALTH CARE BUSINESS DESIGNATION. Unless the court orders 

otherwise, if a petition in a case under chapter 7, chapter 9, or 

chapter 11 states that the debtor is a health care business, the 

case shall proceed as a case in which the debtor is a health care 

business. 

(b) MOTION. The United States trustee or a party in interest may 

file a motion to determine whether the debtor is a health care 

business. The motion shall be transmitted to the United States 

trustee and served on: the debtor; the trustee; any committee 

elected under § 705 or appointed under § 1102 of the Code or its authorized agent, or, if the case is a chapter 9 municipality case or 

a chapter 11 reorganization case and no committee of unsecured 

creditors has been appointed under § 1102, the creditors included on 

the list filed under Rule 1007(d); and any other entity as the court 

directs. The motion shall be governed by Rule 9014. 

(Added Apr. 23, 2008, eff. Dec. 1, 2008.) 

PART II—OFFICERS AND ADMINISTRATION; NOTICES; MEETINGS; EXAMINATIONS; ELECTIONS; ATTORNEYS AND ACCOUNTANTS 

Rule 2001. Appointment of Interim Trustee Before Order for Relief 

in a Chapter 7 Liquidation Case 

(a) APPOINTMENT. At any time following the commencement of 

an involuntary liquidation case and before an order for relief, the 

court on written motion of a party in interest may order the appointment of an interim trustee under § 303(g) of the Code. The 

motion shall set forth the necessity for the appointment and may 
17 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 2002 

be granted only after hearing on notice to the debtor, the petitioning creditors, the United States trustee, and other parties in 

interest as the court may designate. 

(b) BOND OF MOVANT. An interim trustee may not be appointed 

under this rule unless the movant furnishes a bond in an amount 

approved by the court, conditioned to indemnify the debtor for 

costs, attorney’s fee, expenses, and damages allowable under 

§ 303(i) of the Code. 

(c) ORDER OF APPOINTMENT. The order directing the appointment 

of an interim trustee shall state the reason the appointment is 

necessary and shall specify the trustee’s duties. 

(d) TURNOVER AND REPORT. Following qualification of the trustee selected under § 702 of the Code, the interim trustee, unless 

otherwise ordered, shall (1) forthwith deliver to the trustee all the 

records and property of the estate in possession or subject to control of the interim trustee and, (2) within 30 days thereafter file 

a final report and account. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991.) 

Rule 2002. Notices to Creditors, Equity Security Holders, Administrators in Foreign Proceedings, Persons Against Whom Provisional Relief is Sought in Ancillary and Other Cross-Border 

Cases, United States, and United States Trustee 

(a) TWENTY-ONE-DAY NOTICES TO PARTIES IN INTEREST. Except as 

provided in subdivisions (h), (i), (l), (p), and (q) of this rule, the 

clerk, or some other person as the court may direct, shall give the 

debtor, the trustee, all creditors and indenture trustees at least 21 

days’ notice by mail of: 

(1) the meeting of creditors under § 341 or § 1104(b) of the 

Code, which notice, unless the court orders otherwise, shall include the debtor’s employer identification number, social security number, and any other federal taxpayer identification 

number; 

(2) a proposed use, sale, or lease of property of the estate 

other than in the ordinary course of business, unless the court 

for cause shown shortens the time or directs another method 

of giving notice; 

(3) the hearing on approval of a compromise or settlement of 

a controversy other than approval of an agreement pursuant 

to Rule 4001(d), unless the court for cause shown directs that 

notice not be sent; 

(4) in a chapter 7 liquidation, a chapter 11 reorganization 

case, or a chapter 12 family farmer debt adjustment case, the 

hearing on the dismissal of the case or the conversion of the 

case to another chapter, unless the hearing is under § 707(a)(3) 

or § 707(b) or is on dismissal of the case for failure to pay the 

filing fee; 

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

of a plan; 

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

(7) the time fixed for filing proofs of claims pursuant to Rule 

3003(c); 
Rule 2002 FEDERAL RULES OF BANKRUPTCY PROCEDURE 18 

(8) the time fixed for filing objections and the hearing to 

consider confirmation of a chapter 12 plan; and 

(9) the time fixed for filing objections to confirmation of a 

chapter 13 plan. 

(b) TWENTY-EIGHT-DAY NOTICES TO PARTIES IN INTEREST. Except 

as provided in subdivision (l) of this rule, the clerk, or some other 

person as the court may direct, shall give the debtor, the trustee, 

all creditors and indenture trustees not less than 28 days’ notice 

by mail of the time fixed (1) for filing objections and the hearing 

to consider approval of a disclosure statement or, under § 1125(f), 

to make a final determination whether the plan provides adequate 

information so that a separate disclosure statement is not necessary; (2) for filing objections and the hearing to consider confirmation of a chapter 9 or chapter 11 plan; and (3) for the hearing 

to consider confirmation of a chapter 13 plan. 

(c) CONTENT OF NOTICE. 

(1) Proposed Use, Sale, or Lease of Property. Subject to Rule 

6004, the notice of a proposed use, sale, or lease of property required by subdivision (a)(2) of this rule shall include the time 

and place of any public sale, the terms and conditions of any 

private sale and the time fixed for filing objections. The notice 

of a proposed use, sale, or lease of property, including real estate, is sufficient if it generally describes the property. The 

notice of a proposed sale or lease of personally identifiable information under § 363(b)(1) of the Code shall state whether the 

sale is consistent with any policy prohibiting the transfer of 

the information. 

(2) Notice of Hearing on Compensation. The notice of a hearing 

on an application for compensation or reimbursement of expenses required by subdivision (a)(6) of this rule shall identify 

the applicant and the amounts requested. 

(3) Notice of Hearing on Confirmation When Plan Provides for 

an Injunction. If a plan provides for an injunction against conduct not otherwise enjoined under the Code, the notice required under Rule 2002(b)(2) shall: 

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

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

(C) identify the entities that would be subject to the injunction. 

(d) NOTICE TO EQUITY SECURITY HOLDERS. In a chapter 11 reorganization case, unless otherwise ordered by the court, the clerk, or 

some other person as the court may direct, shall in the manner 

and form directed by the court give notice to all equity security 

holders of (1) the order for relief; (2) any meeting of equity security holders held pursuant to § 341 of the Code; (3) the hearing on 

the proposed sale of all or substantially all of the debtor’s assets; 

(4) the hearing on the dismissal or conversion of a case to another 

chapter; (5) the time fixed for filing objections to and the hearing 

to consider approval of a disclosure statement; (6) the time fixed 

for filing objections to and the hearing to consider confirmation 

of a plan; and (7) the time fixed to accept or reject a proposed 

modification of a plan. 
19 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 2002 

(e) NOTICE OF NO DIVIDEND. In a chapter 7 liquidation case, if it 

appears from the schedules that there are no assets from which a 

dividend can be paid, the notice of the meeting of creditors may 

include a statement to that effect; that it is unnecessary to file 

claims; and that if sufficient assets become available for the payment of a dividend, further notice will be given for the filing of 

claims. 

(f) OTHER NOTICES. Except as provided in subdivision (l) of this 

rule, the clerk, or some other person as the court may direct, 

shall give the debtor, all creditors, and indenture trustees notice 

by mail of: 

(1) the order for relief; 

(2) the dismissal or the conversion of the case to another 

chapter, or the suspension of proceedings under § 305; 

(3) the time allowed for filing claims pursuant to Rule 3002; 

(4) the time fixed for filing a complaint objecting to the 

debtor’s discharge pursuant to § 727 of the Code as provided in 

Rule 4004; 

(5) the time fixed for filing a complaint to determine the dischargeability of a debt pursuant to § 523 of the Code as provided in Rule 4007; 

(6) the waiver, denial, or revocation of a discharge as provided in Rule 4006; 

(7) entry of an order confirming a chapter 9, 11, 12, or 13 plan; 

(8) a summary of the trustee’s final report in a chapter 7 

case if the net proceeds realized exceed $1,500; 

(9) a notice under Rule 5008 regarding the presumption of 

abuse; 

(10) a statement under § 704(b)(1) as to whether the debtor’s 

case would be presumed to be an abuse under § 707(b); and 

(11) the time to request a delay in the entry of the discharge 

under §§ 1141(d)(5)(C), 1228(f), and 1328(h). Notice of the time 

fixed for accepting or rejecting a plan pursuant to Rule 3017(c) 

shall be given in accordance with Rule 3017(d). 

(g) ADDRESSING NOTICES. 

(1) Notices required to be mailed under Rule 2002 to a creditor, indenture trustee, or equity security holder shall be addressed as such entity or an authorized agent has directed in 

its last request filed in the particular case. For the purposes 

of this subdivision— 

(A) a proof of claim filed by a creditor or indenture 

trustee that designates a mailing address constitutes a 

filed request to mail notices to that address, unless a notice of no dividend has been given under Rule 2002(e) and 

a later notice of possible dividend under Rule 3002(c)(5) has 

not been given; and 

(B) a proof of interest filed by an equity security holder 

that designates a mailing address constitutes a filed request to mail notices to that address. 

(2) Except as provided in § 342(f) of the Code, if a creditor or 

indenture trustee has not filed a request designating a mailing 

address under Rule 2002(g)(1) or Rule 5003(e), the notices shall 

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 designating a mailing address under Rule 2002(g)(1) or Rule 5003(e), the notices shall be 
Rule 2002 FEDERAL RULES OF BANKRUPTCY PROCEDURE 20 

mailed to the address shown on the list of equity security 

holders. 

(3) If a list or schedule filed under Rule 1007 includes the 

name and address of a legal representative of an infant or incompetent person, and a person other than that representative 

files a request or proof of claim designating a name and mailing address that differs from the name and address of the representative included in the list or schedule, unless the court 

orders otherwise, notices under Rule 2002 shall be mailed to 

the representative included in the list or schedules and to the 

name and address designated in the request or proof of claim. 

(4) Notwithstanding Rule 2002(g)(1)–(3), an entity and a notice provider may agree that when the notice provider is directed by the court to give a notice, the notice provider shall 

give the notice to the entity in the manner agreed to and at 

the address or addresses the entity supplies to the notice provider. That address is conclusively presumed to be a proper address for the notice. The notice provider’s failure to use the 

supplied address does not invalidate any notice that is otherwise effective under applicable law. 

(5) A creditor may treat a notice as not having been brought 

to the creditor’s attention under § 342(g)(1) only if, prior to issuance of the notice, the creditor has filed a statement that 

designates the name and address of the person or organizational subdivision of the creditor responsible for receiving notices under the Code, and that describes the procedures established by the creditor to cause such notices to be delivered to 

the designated person or subdivision. 

(h) NOTICES TO CREDITORS WHOSE CLAIMS ARE FILED. 

(1) Voluntary Case. In a voluntary chapter 7 case, chapter 12 

case, or chapter 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 chapter 13, the court may direct that 

all notices required by subdivision (a) of this rule be mailed 

only to: 

• the debtor; 

• the trustee; 

• all indenture trustees; 

• creditors that hold claims for which proofs of claim 

have been filed; and 

• creditors, if any, that are still permitted to file claims 

because an extension was granted under Rule 3002(c)(1) or 

(c)(2). 

(2) Involuntary Case. In an involuntary chapter 7 case, after 

90 days following the order for relief under that chapter, the 

court may direct that all notices required by subdivision (a) of 

this rule be mailed only to: 

• the debtor; 

• the trustee; 

• all indenture trustees; 

• creditors that hold claims for which proofs of claim 

have been filed; and 

• creditors, if any, that are still permitted to file claims 

because an extension was granted under Rule 3002(c)(1) or 

(c)(2). 
21 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 2002 

1So in original. Period probably should not appear. 

(3) Insufficient Assets. In a case where notice of insufficient 

assets to pay a dividend has been given to creditors under subdivision (e) of this rule, after 90 days following the mailing of 

a notice of the time for filing claims under Rule 3002(c)(5), the 

court may direct that notices be mailed only to the entities 

specified in the preceding sentence. 

(i) NOTICES TO COMMITTEES. Copies of all notices required to be 

mailed pursuant to this rule shall be mailed to the committees 

elected under § 705 or appointed under § 1102 of the Code or to their 

authorized agents. Notwithstanding the foregoing subdivisions, 

the court may order that notices required by subdivision (a)(2), (3) 

and (6) of this rule be transmitted to the United States trustee 

and be mailed only to the committees elected under § 705 or appointed under § 1102 of the Code or to their authorized agents and 

to the creditors and equity security holders who serve on the 

trustee or debtor in possession and file a request that all notices 

be mailed to them. A committee appointed under § 1114 shall receive copies of all notices required by subdivisions (a)(1), (a)(5), 

(b), (f)(2), and (f)(7), and such other notices as the court may direct. 

(j) NOTICES TO THE UNITED STATES. Copies of notices required to 

be mailed to all creditors under this rule shall be mailed (1) in a 

chapter 11 reorganization case, to the Securities and Exchange 

Commission at any place the Commission designates, if the Commission has filed either a notice of appearance in the case or a 

written request to receive notices; (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 

its address set out in the register maintained under Rule 5003(e) 

for the district in which the case is pending; (4) if the papers in 

the case disclose a debt to the United States other than for taxes, 

to the United States attorney for the district in which the case is 

pending and to the department, agency, or instrumentality of the 

United States through which the debtor became indebted; or (5) if 

the filed papers disclose a stock interest of the United States, to 

the Secretary of the Treasury at Washington, D.C. 

(k) NOTICES TO UNITED STATES TRUSTEE. Unless the case is a 

chapter 9 municipality case or unless the United States trustee requests otherwise, the clerk, or some other person as the court may 

direct, shall transmit to the United States trustee notice of the 

matters described in subdivisions (a)(2), (a)(3), (a)(4), (a)(8), (a)(9), 

(b), (f)(1), (f)(2), (f)(4), (f)(6), (f)(7), (f)(8), and (q) of this rule and notice of hearings on all applications for compensation or reimbursement of expenses. Notices to the United States trustee shall 

be transmitted within the time prescribed in subdivision (a) or (b) 

of this rule. The United States trustee shall also receive notice of 

any other matter if such notice is requested by the United States 

trustee or ordered by the court. Nothing in these rules requires 

the clerk or any other person to transmit to the United States 

trustee any notice, schedule, report, application or other document in a case under the Securities Investor Protection Act, 15 

U.S.C. § 78aaa et. 1 seq. 
Rule 2002 FEDERAL RULES OF BANKRUPTCY PROCEDURE 22 

(l) NOTICE BY PUBLICATION. The court may order notice by publication if it finds that notice by mail is impracticable or that it 

is desirable to supplement the notice. 

(m) ORDERS DESIGNATING MATTER OF NOTICES. The court may 

from time to time enter orders designating the matters in respect 

to which, the entity to whom, and the form and manner in which 

notices shall be sent except as otherwise provided by these rules. 

(n) CAPTION. The caption of every notice given under this rule 

shall comply with Rule 1005. The caption of every notice required 

to be given by the debtor to a creditor shall include the information required to be in the notice by § 342(c) of the Code. 

(o) NOTICE OF ORDER FOR RELIEF IN CONSUMER CASE. In a voluntary case commenced 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 within 21 days from the date thereof. 

(p) NOTICE TO A CREDITOR WITH A FOREIGN ADDRESS. 

(1) If, at the request of the United States trustee or a party 

in interest, or on its own initiative, the court finds that a notice mailed within the time prescribed by these rules would 

not be sufficient to give a creditor with a foreign address to 

which notices under these rules are mailed reasonable notice 

under the circumstances, the court may order that the notice 

be supplemented with notice by other means or that the time 

prescribed for the notice by mail be enlarged. 

(2) Unless the court for cause orders otherwise, a creditor 

with a foreign address to which notices under this rule are 

mailed shall be given at least 30 days’ notice of the time fixed 

for filing a proof of claim under Rule 3002(c) or Rule 3003(c). 

(3) Unless the court for cause orders otherwise, the mailing 

address of a creditor with a foreign address shall be determined under Rule 2002(g). 

(q) NOTICE OF PETITION FOR RECOGNITION OF FOREIGN PROCEEDING

AND OF COURT’S INTENTION TO COMMUNICATE WITH FOREIGN COURTS

AND FOREIGN REPRESENTATIVES. 

(1) Notice of Petition for Recognition. After the filing of a petition for recognition of a foreign proceeding, the court shall 

promptly schedule and hold a hearing on the petition. The 

clerk, or some other person as the court may direct, shall 

forthwith give the debtor, all persons or bodies authorized to 

administer foreign proceedings of the debtor, all entities 

against whom provisional relief is being sought under § 1519 of 

the Code, all parties to litigation pending in the United States 

in which the debtor is a party at the time of the filing of the 

petition, and such other entities as the court may direct, at 

least 21 days’ notice by mail of the hearing. The notice shall 

state whether the petition seeks recognition as a foreign main 

proceeding or foreign nonmain proceeding and shall include 

the petition and any other document the court may require. If 

the court consolidates the hearing on the petition with the 

hearing on a request for provisional relief, the court may set 

a shorter notice period, with notice to the entities listed in 

this subdivision. 

(2) Notice of Court’s Intention to Communicate with Foreign 

Courts and Foreign Representatives. The clerk, or some other 
23 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 2003 

person as the court may direct, shall give the debtor, all persons or bodies authorized to administer foreign proceedings of 

the debtor, all entities against whom provisional relief is 

being sought under § 1519 of the Code, all parties to litigation 

pending in the United States in which the debtor is a party at 

the time of the filing of the petition, and such other entities 

as the court may direct, notice by mail of the court’s intention to communicate with a foreign court or foreign representative. 

(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.) 

Rule 2003. Meeting of Creditors or Equity Security Holders 

(a) DATE AND PLACE. Except as otherwise provided in § 341(e) of 

the Code, in a chapter 7 liquidation or a chapter 11 reorganization 

case, the United States trustee shall call a meeting of creditors to 

be held no fewer than 21 and no more than 40 days after the order 

for relief. In a chapter 12 family farmer debt adjustment case, the 

United States trustee shall call a meeting of creditors to be held 

no fewer than 21 and no more than 35 days after the order for relief. In a chapter 13 individual’s debt adjustment case, the United 

States trustee shall call a meeting of creditors to be held no fewer 

than 21 and no more than 50 days after the order for relief. If there 

is an appeal from or a motion to vacate the order for relief, or if 

there is a motion to dismiss the case, the United States trustee 

may set a later date for the meeting. The meeting may be held at 

a regular place for holding court or at any other place designated 

by the United States trustee within the district convenient for the 

parties in interest. If the United States trustee designates a place 

for the meeting which is not regularly staffed by the United 

States trustee or an assistant who may preside at the meeting, 

the meeting may be held not more than 60 days after the order for 

relief. 

(b) ORDER OF MEETING. 

(1) Meeting of Creditors. The United States trustee shall preside at the meeting of creditors. The business of the meeting 

shall include the examination of the debtor under oath and, in 

a chapter 7 liquidation case, may include the election of a 

creditors’ committee and, if the case is not under subchapter 

V of chapter 7, the election of a trustee. The presiding officer 

shall have the authority to administer oaths. 

(2) Meeting of Equity Security Holders. If the United States 

trustee convenes a meeting of equity security holders pursuant to § 341(b) of the Code, the United States trustee shall fix 

a date for the meeting and shall preside. 

(3) Right To Vote. In a chapter 7 liquidation case, a creditor 

is entitled to vote at a meeting if, at or before the meeting, 
Rule 2003 FEDERAL RULES OF BANKRUPTCY PROCEDURE 24 

the creditor has filed a proof of claim or a writing setting 

forth facts evidencing a right to vote pursuant to § 702(a) of the 

Code unless objection is made to the claim or the proof of 

claim is insufficient on its face. A creditor of a partnership 

may file a proof of claim or writing evidencing a right to vote 

for the trustee for the estate of the general partner notwithstanding that a trustee for the estate of the partnership has 

previously qualified. In the event of an objection to the 

amount or allowability of a claim for the purpose of voting, 

unless the court orders otherwise, the United States trustee 

shall tabulate the votes for each alternative presented by the 

dispute and, if resolution of such dispute is necessary to determine the result of the election, the tabulations for each alternative shall be reported to the court. 

(c) RECORD OF MEETING. Any examination under oath at the 

meeting of creditors held pursuant to § 341(a) of the Code shall be 

recorded verbatim by the United States trustee using electronic 

sound recording equipment or other means of recording, and such 

record shall be preserved by the United States trustee and available for public access until two years after the conclusion of the 

meeting of creditors. Upon request of any entity, the United 

States trustee shall certify and provide a copy or transcript of 

such recording at the entity’s expense. 

(d) REPORT OF ELECTION AND RESOLUTION OF DISPUTES IN A CHAPTER 7 CASE. 

(1) Report of Undisputed Election. In a chapter 7 case, if the 

election of a trustee or a member of a creditors’ committee is 

not disputed, the United States trustee shall promptly file a 

report of the election, including the name and address of the 

person or entity elected and a statement that the election is 

undisputed. 

(2) Disputed Election. If the election is disputed, the United 

States trustee shall promptly file a report stating that the 

election is disputed, informing the court of the nature of the 

dispute, and listing the name and address of any candidate 

elected under any alternative presented by the dispute. No 

later than the date on which the report is filed, the United 

States trustee shall mail a copy of the report to any party in 

interest that has made a request to receive a copy of the report. Pending disposition by the court of a disputed election 

for trustee, the interim trustee shall continue in office. Unless 

a motion for the resolution of the dispute is filed no later than 

14 days after the United States trustee files a report of a disputed election for trustee, the interim trustee shall serve as 

trustee in the case. 

(e) ADJOURNMENT. The meeting may be adjourned from time to 

time by announcement at the meeting of the adjourned date and 

time. The presiding official shall promptly file a statement specifying the date and time to which the meeting is adjourned. 

(f) SPECIAL MEETINGS. The United States trustee may call a special meeting of creditors on request of a party in interest or on 

the United States trustee’s own initiative. 

(g) FINAL MEETING. If the United States trustee calls a final 

meeting of creditors in a case in which the net proceeds realized 

exceed $1,500, the clerk shall mail a summary of the trustee’s final 
25 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 2004 

account to the creditors with a notice of the meeting, together 

with a statement of the amount of the claims allowed. The trustee 

shall attend the final meeting and shall, if requested, report on 

the administration of the estate. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Apr. 22, 1993, eff. Aug. 1, 1993; Apr. 26, 1999, eff. Dec. 1, 1999; 

Mar. 27, 2003, eff. Dec. 1, 2003; Apr. 23, 2008, eff. Dec. 1, 2008; Mar. 

26, 2009, eff. Dec. 1, 2009; Apr. 26, 2011, eff. Dec. 1, 2011.) 

Rule 2004. Examination 

(a) EXAMINATION ON MOTION. On motion of any party in interest, 

the court may order the examination of any entity. 

(b) SCOPE OF EXAMINATION. The examination of an entity under 

this rule or of the debtor under § 343 of the Code may relate only 

to the acts, conduct, or property or to the liabilities and financial 

condition of the debtor, or to any matter which may affect the administration of the debtor’s estate, or to the debtor’s right to a 

discharge. In a family farmer’s debt adjustment case under chapter 12, an individual’s debt adjustment case under chapter 13, or 

a reorganization case under chapter 11 of the Code, other than for 

the reorganization of a railroad, the examination may also relate 

to the operation of any business and the desirability of its continuance, the source of any money or property acquired or to be 

acquired by the debtor for purposes of consummating a plan and 

the consideration given or offered therefor, and any other matter 

relevant to the case or to the formulation of a plan. 

(c) COMPELLING ATTENDANCE AND PRODUCTION OF DOCUMENTS OR

ELECTRONICALLY STORED INFORMATION. The attendance of an entity for examination and for the production of documents or electronically stored information, whether the examination is to be 

conducted within or without the district in which the case is 

pending, may be compelled as provided in Rule 9016 for the attendance of a witness at a hearing or trial. As an officer of the court, 

an attorney may issue and sign a subpoena on behalf of the court 

where the case is pending if the attorney is admitted to practice 

in that court. 

(d) TIME AND PLACE OF EXAMINATION OF DEBTOR. The court may 

for cause shown and on terms as it may impose order the debtor 

to be examined under this rule at any time or place it designates, 

whether within or without the district wherein the case is pending. 

(e) MILEAGE. An entity other than a debtor shall not be required 

to attend as a witness unless lawful mileage and witness fee for 

one day’s attendance shall be first tendered. If the debtor resides 

more than 100 miles from the place of examination when required 

to appear for an examination under this rule, the mileage allowed 

by law to a witness shall be tendered for any distance more than 

100 miles from the debtor’s residence at the date of the filing of 

the first petition commencing a case under the Code or the residence at the time the debtor is required to appear for the examination, whichever is the lesser. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Apr. 29, 2002, eff. Dec. 1, 2002; Apr. 27, 2020, eff. Dec. 1, 2020.) 
Rule 2005 FEDERAL RULES OF BANKRUPTCY PROCEDURE 26 

Rule 2005. Apprehension and Removal of Debtor to Compel Attendance for Examination 

(a) ORDER TO COMPEL ATTENDANCE FOR EXAMINATION. On motion 

of any party in interest supported by an affidavit alleging (1) that 

the examination of the debtor is necessary for the proper administration of the estate and that there is reasonable cause to believe 

that the debtor is about to leave or has left the debtor’s residence 

or principal place of business to avoid examination, or (2) that the 

debtor has evaded service of a subpoena or of an order to attend 

for examination, or (3) that the debtor has willfully disobeyed a 

subpoena or order to attend for examination, duly served, the 

court may issue to the marshal, or some other officer authorized 

by law, an order directing the officer to bring the debtor before 

the court without unnecessary delay. If, after hearing, the court 

finds the allegations to be true, the court shall thereupon cause 

the debtor to be examined forthwith. If necessary, the court shall 

fix conditions for further examination and for the debtor’s obedience to all orders made in reference thereto. 

(b) REMOVAL. Whenever any order to bring the debtor before the 

court is issued under this rule and the debtor is found in a district 

other than that of the court issuing the order, the debtor may be 

taken into custody under the order and removed in accordance 

with the following rules: 

(1) If the debtor is taken into custody under the order at a 

place less than 100 miles from the place of issue of the order, 

the debtor shall be brought forthwith before the court that issued the order. 

(2) If the debtor is taken into custody under the order at a 

place 100 miles or more from the place of issue of the order, 

the debtor shall be brought without unnecessary delay before 

the nearest available United States magistrate judge, bankruptcy judge, or district judge. If, after hearing, the magistrate judge, bankruptcy judge, or district judge finds that an 

order has issued under this rule and that the person in custody 

is the debtor, or if the person in custody waives a hearing, the 

magistrate judge, bankruptcy judge, or district judge shall 

order removal, and the person in custody shall be released on 

conditions ensuring prompt appearance before the court that 

issued the order to compel the attendance. 

(c) CONDITIONS OF RELEASE. In determining what conditions will 

reasonably assure attendance or obedience under subdivision (a) of 

this rule or appearance under subdivision (b) of this rule, the 

court shall be governed by the relevant provisions and policies of 

title 18 U.S.C. § 3142. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 22, 1993, eff. Aug. 

1, 1993; Apr. 14, 2021, eff. Dec. 1, 2021.) 

Rule 2006. Solicitation and Voting of Proxies in Chapter 7 Liquidation Cases 

(a) APPLICABILITY. This rule applies only in a liquidation case 

pending under chapter 7 of the Code. 

(b) DEFINITIONS. 

(1) Proxy. A proxy is a written power of attorney authorizing 

any entity to vote the claim or otherwise act as the owner’s 
27 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 2006 

attorney in fact in connection with the administration of the 

estate. 

(2) Solicitation of Proxy. The solicitation of a proxy is any 

communication, other than one from an attorney to a regular 

client who owns a claim or from an attorney to the owner of 

a claim who has requested the attorney to represent the 

owner, by which a creditor is asked, directly or indirectly, to 

give a proxy after or in contemplation of the filing of a petition by or against the debtor. 

(c) AUTHORIZED SOLICITATION. 

(1) A proxy may be solicited only by (A) a creditor owning 

an allowable unsecured claim against the estate on the date of 

the filing of the petition; (B) a committee elected pursuant to 

§ 705 of the Code; (C) a committee of creditors selected by a 

majority in number and amount of claims of creditors (i) 

whose claims are not contingent or unliquidated, (ii) who are 

not disqualified from voting under § 702(a) of the Code and (iii) 

who were present or represented at a meeting of which all 

creditors having claims of over $500 or the 100 creditors having 

the largest claims had at least seven days’ notice in writing 

and of which meeting written minutes were kept and are 

available reporting the names of the creditors present or represented and voting and the amounts of their claims; or (D) a 

bona fide trade or credit association, but such association may 

solicit only creditors who were its members or subscribers in 

good standing and had allowable unsecured claims on the date 

of the filing of the petition. 

(2) A proxy may be solicited only in writing. 

(d) SOLICITATION NOT AUTHORIZED. This rule does not permit solicitation (1) in any interest other than that of general creditors; 

(2) by or on behalf of any custodian; (3) by the interim trustee or 

by or on behalf of any entity not qualified to vote under § 702(a) 

of the Code; (4) by or on behalf of an attorney at law; or (5) by or 

on behalf of a transferee of a claim for collection only. 

(e) DATA REQUIRED FROM HOLDERS OF MULTIPLE PROXIES. At any 

time before the voting commences at any meeting of creditors 

pursuant to § 341(a) of the Code, or at any other time as the court 

may direct, a holder of two or more proxies shall file and transmit 

to the United States trustee a verified list of the proxies to be 

voted and a verified statement of the pertinent facts and circumstances in connection with the execution and delivery of each 

proxy, including: 

(1) a copy of the solicitation; 

(2) identification of the solicitor, the forwarder, if the forwarder is neither the solicitor nor the owner of the claim, and 

the proxyholder, including their connections with the debtor 

and with each other. If the solicitor, forwarder, or proxyholder 

is an association, there shall also be included a statement that 

the creditors whose claims have been solicited and the creditors whose claims are to be voted were members or subscribers 

in good standing and had allowable unsecured claims on the 

date of the filing of the petition. If the solicitor, forwarder, or 

proxyholder is a committee of creditors, the statement shall 

also set forth the date and place the committee was organized, 

that the committee was organized in accordance with clause 
Rule 2007 FEDERAL RULES OF BANKRUPTCY PROCEDURE 28 

(B) or (C) of paragraph (c)(1) of this rule, the members of the 

committee, the amounts of their claims, when the claims were 

acquired, the amounts paid therefor, and the extent to which 

the claims of the committee members are secured or entitled 

to priority; 

(3) a statement that no consideration has been paid or promised by the proxyholder for the proxy; 

(4) a statement as to whether there is any agreement and, if 

so, the particulars thereof, between the proxyholder and any 

other entity for the payment of any consideration in connection with voting the proxy, or for the sharing of compensation 

with any entity, other than a member or regular associate of 

the proxyholder’s law firm, which may be allowed the trustee 

or any entity for services rendered in the case, or for the employment of any person as attorney, accountant, appraiser, 

auctioneer, or other employee for the estate; 

(5) if the proxy was solicited by an entity other than the 

proxyholder, or forwarded to the holder by an entity who is 

neither a solicitor of the proxy nor the owner of the claim, a 

statement signed and verified by the solicitor or forwarder 

that no consideration has been paid or promised for the proxy, 

and whether there is any agreement, and, if so, the particulars 

thereof, between the solicitor or forwarder and any other entity for the payment of any consideration in connection with 

voting the proxy, or for sharing compensation with any entity 

other than a member or regular associate of the solicitor’s or 

forwarder’s law firm which may be allowed the trustee or any 

entity for services rendered in the case, or for the employment 

of any person as attorney, accountant, appraiser, auctioneer, 

or other employee for the estate; 

(6) if the solicitor, forwarder, or proxyholder is a committee, 

a statement signed and verified by each member as to the 

amount and source of any consideration paid or to be paid to 

such member in connection with the case other than by way 

of dividend on the member’s claim. 

(f) ENFORCEMENT OF RESTRICTIONS ON SOLICITATION. On motion of 

any party in interest or on its own initiative, the court may determine whether there has been a failure to comply with the provisions of this rule or any other impropriety in connection with the 

solicitation or voting of a proxy. After notice and a hearing the 

court may reject any proxy for cause, vacate any order entered in 

consequence of the voting of any proxy which should have been rejected, or take any other appropriate action. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Mar. 26, 2009, eff. Dec. 1, 2009.) 

Rule 2007. Review of Appointment of Creditors’ Committee Organized Before Commencement of the Case 

(a) MOTION TO REVIEW APPOINTMENT. If a committee appointed 

by the United States trustee pursuant to § 1102(a) of the Code consists of the members of a committee organized by creditors before 

the commencement of a chapter 9 or chapter 11 case, on motion 

of a party in interest and after a hearing on notice to the United 

States trustee and other entities as the court may direct, the 
29 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 2007.1 

court may determine whether the appointment of the committee 

satisfies the requirements of § 1102(b)(1) of the Code. 

(b) SELECTION OF MEMBERS OF COMMITTEE. The court may find 

that a committee organized by unsecured creditors before the 

commencement of a chapter 9 or chapter 11 case was fairly chosen 

if: 

(1) it was selected by a majority in number and amount of 

claims of unsecured creditors who may vote under § 702(a) of 

the Code and were present in person or represented at a meeting of which all creditors having unsecured claims of over 

$1,000 or the 100 unsecured creditors having the largest claims 

had at least seven days’ notice in writing, and of which meeting written minutes reporting the names of the creditors 

present or represented and voting and the amounts of their 

claims were kept and are available for inspection; 

(2) all proxies voted at the meeting for the elected committee were solicited pursuant to Rule 2006 and the lists and 

statements required by subdivision (e) thereof have been 

transmitted to the United States trustee; and 

(3) the organization of the committee was in all other respects fair and proper. 

(c) FAILURE TO COMPLY WITH REQUIREMENTS FOR APPOINTMENT. 

After a hearing on notice pursuant to subdivision (a) of this rule, 

the court shall direct the United States trustee to vacate the appointment of the committee and may order other appropriate action if the court finds that such appointment failed to satisfy the 

requirements of § 1102(b)(1) of the Code. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Mar. 26, 2009, eff. Dec. 1, 2009.) 

Rule 2007.1. Appointment of Trustee or Examiner in a Chapter 11 

Reorganization Case 

(a) ORDER TO APPOINT TRUSTEE OR EXAMINER. In a chapter 11 reorganization case, a motion for an order to appoint a trustee or 

an examiner under § 1104(a) or § 1104(c) of the Code shall be made 

in accordance with Rule 9014. 

(b) ELECTION OF TRUSTEE. 

(1) Request for an Election. A request to convene a meeting of 

creditors for the purpose of electing a trustee in a chapter 11 

reorganization case shall be filed and transmitted to the 

United States trustee in accordance with Rule 5005 within the 

time prescribed by § 1104(b) of the Code. Pending court approval of the person elected, any person appointed by the 

United States trustee under § 1104(d) and approved in accordance with subdivision (c) of this rule shall serve as trustee. 

(2) Manner of Election and Notice. An election of a trustee 

under § 1104(b) of the Code shall be conducted in the manner 

provided in Rules 2003(b)(3) and 2006. Notice of the meeting of 

creditors convened under § 1104(b) shall be given as provided in 

Rule 2002. The United States trustee shall preside at the meeting. A proxy for the purpose of voting in the election may be 

solicited only by a committee of creditors appointed under 

§ 1102 of the Code or by any other party entitled to solicit a 

proxy pursuant to Rule 2006. 
Rule 2007.2 FEDERAL RULES OF BANKRUPTCY PROCEDURE 30 

(3) Report of Election and Resolution of Disputes. 

(A) Report of Undisputed Election. If no dispute arises out 

of the election, the United States trustee shall promptly 

file a report certifying the election, including the name 

and address of the person elected and a statement that the 

election is undisputed. The report shall be accompanied by 

a verified statement of the person elected setting forth 

that person’s connections with the debtor, creditors, any 

other party in interest, their respective attorneys and accountants, the United States trustee, or any person employed in the office of the United States trustee. 

(B) Dispute Arising Out of an Election. If a dispute arises 

out of an election, the United States trustee shall promptly file a report stating that the election is disputed, informing the court of the nature of the dispute, and listing 

the name and address of any candidate elected under any 

alternative presented by the dispute. The report shall be 

accompanied by a verified statement by each candidate 

elected under each alternative presented by the dispute, 

setting forth the person’s connections with the debtor, 

creditors, any other party in interest, their respective attorneys and accountants, the United States trustee, or any 

person employed in the office of the United States trustee. 

Not later than the date on which the report of the disputed 

election is filed, the United States trustee shall mail a 

copy of the report and each verified statement to any 

party in interest that has made a request to convene a 

meeting under § 1104(b) or to receive a copy of the report, 

and to any committee appointed under § 1102 of the Code. 

(c) APPROVAL OF APPOINTMENT. An order approving the appointment of a trustee or an examiner under § 1104(d) of the Code shall 

be made on application of the United States trustee. The application shall state the name of the person appointed and, to the best 

of the applicant’s knowledge, all the person’s connections with the 

debtor, creditors, any other parties in interest, their respective 

attorneys and accountants, the United States trustee, or persons 

employed in the office of the United States trustee. The application shall state the names of the parties in interest with whom 

the United States trustee consulted regarding the appointment. 

The application shall be accompanied by a verified statement of 

the person appointed setting forth the person’s connections with 

the debtor, creditors, any other party in interest, their respective 

attorneys and accountants, the United States trustee, or any person employed in the office of the United States trustee. 

(Added Apr. 30, 1991, eff. Aug. 1, 1991; amended Apr. 11, 1997, eff. 

Dec. 1, 1997; Apr. 23, 2008, eff. Dec. 1, 2008.) 

Rule 2007.2. Appointment of Patient Care Ombudsman in a Health 

Care Business Case 

(a) ORDER TO APPOINT PATIENT CARE OMBUDSMAN. In a chapter 7, 

chapter 9, or chapter 11 case in which the debtor is a health care 

business, the court shall order the appointment of a patient care 

ombudsman under § 333 of the Code, unless the court, on motion of 

the United States trustee or a party in interest filed no later than 
31 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 2008 

21 days after the commencement of the case or within another 

time fixed by the court, finds that the appointment of a patient 

care ombudsman is not necessary under the specific circumstances of the case for the protection of patients. 

(b) MOTION FOR ORDER TO APPOINT OMBUDSMAN. If the court has 

found that the appointment of an ombudsman is not necessary, or 

has terminated the appointment, the court, on motion of the 

United States trustee or a party in interest, may order the appointment at a later time if it finds that the appointment has become necessary to protect patients. 

(c) NOTICE OF APPOINTMENT. If a patient care ombudsman is appointed under § 333, the United States trustee shall promptly file 

a notice of the appointment, including the name and address of 

the person appointed. Unless the person appointed is a State 

Long-Term Care Ombudsman, the notice shall be accompanied by 

a verified statement of the person appointed setting forth the person’s connections with the debtor, creditors, patients, any other 

party in interest, their respective attorneys and accountants, the 

United States trustee, and any person employed in the office of 

the United States trustee. 

(d) TERMINATION OF APPOINTMENT. On motion of the United 

States trustee or a party in interest, the court may terminate the 

appointment of a patient care ombudsman if the court finds that 

the appointment is not necessary to protect patients. 

(e) MOTION. A motion under this rule shall be governed by Rule 

9014. The motion shall be transmitted to the United States trustee 

and served on: the debtor; the trustee; any committee elected 

under § 705 or appointed under § 1102 of the Code or its authorized 

agent, or, if the case is a chapter 9 municipality case or a chapter 

11 reorganization case and no committee of unsecured creditors 

has been appointed under § 1102, on the creditors included on the 

list filed under Rule 1007(d); and such other entities as the court 

may direct. 

(Added Apr. 23, 2008, eff. Dec. 1, 2008; amended Mar. 26, 2009, eff. 

Dec. 1, 2009.) 

Rule 2008. Notice to Trustee of Selection 

The United States trustee shall immediately notify the person 

selected as trustee how to qualify and, if applicable, the amount 

of the trustee’s bond. A trustee that has filed a blanket bond pursuant to Rule 2010 and has been selected as trustee in a chapter 

7, chapter 12, or chapter 13 case that does not notify the court and 

the United States trustee in writing of rejection of the office within seven days after receipt of notice of selection shall be deemed 

to have accepted the office. Any other person selected as trustee 

shall notify the court and the United States trustee in writing of 

acceptance of the office within seven days after receipt of notice 

of selection or shall be deemed to have rejected the office. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Mar. 26, 2009, eff. Dec. 1, 2009.) 
Rule 2009 FEDERAL RULES OF BANKRUPTCY PROCEDURE 32 

Rule 2009. Trustees for Estates When Joint Administration Ordered 

(a) ELECTION OF SINGLE TRUSTEE FOR ESTATES BEING JOINTLY

ADMINISTERED. If the court orders a joint administration of two or 

more estates under Rule 1015(b), creditors may elect a single 

trustee for the estates being jointly administered, unless the case 

is under subchapter V of chapter 7 or subchapter V of chapter 11 

of the Code. 

(b) RIGHT OF CREDITORS TO ELECT SEPARATE TRUSTEE. Notwithstanding entry of an order for joint administration under Rule 

1015(b), the creditors of any debtor may elect a separate trustee 

for the estate of the debtor as provided in § 702 of the Code, unless 

the case is under subchapter V of chapter 7 or subchapter V of 

chapter 11 of the Code. 

(c) APPOINTMENT OF TRUSTEES FOR ESTATES BEING JOINTLY ADMINISTERED. 

(1) Chapter 7 Liquidation Cases. Except in a case governed by 

subchapter V of chapter 7, the United States trustee may appoint one or more interim trustees for estates being jointly 

administered in chapter 7 cases. 

(2) Chapter 11 Reorganization Cases. If the appointment of a 

trustee is ordered or is required by the Code, the United States 

trustee may appoint one or more trustees for estates being 

jointly administered in chapter 11 cases. 

(3) Chapter 12 Family Farmer’s Debt Adjustment Cases. The 

United States trustee may appoint one or more trustees for estates being jointly administered in chapter 12 cases. 

(4) Chapter 13 Individual’s Debt Adjustment Cases. The United 

States trustee may appoint one or more trustees for estates 

being jointly administered in chapter 13 cases. 

(d) POTENTIAL CONFLICTS OF INTEREST. On a showing that creditors or equity security holders of the different estates will be prejudiced by conflicts of interest of a common trustee who has been 

elected or appointed, the court shall order the selection of separate trustees for estates being jointly administered. 

(e) SEPARATE ACCOUNTS. The trustee or trustees of estates being 

jointly administered shall keep separate accounts of the property 

and distribution of each estate. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Mar. 27, 2003, eff. Dec. 1, 2003; Apr. 11, 2022, eff. Dec. 1, 2022.) 

Rule 2010. Qualification by Trustee; Proceeding on Bond 

(a) BLANKET BOND. The United States trustee may authorize a 

blanket bond in favor of the United States conditioned on the 

faithful performance of official duties by the trustee or trustees to 

cover (1) a person who qualifies as trustee in a number of cases, 

and (2) a number of trustees each of whom qualifies in a different 

case. 

(b) PROCEEDING ON BOND. A proceeding on the trustee’s bond may 

be brought by any party in interest in the name of the United 

States for the use of the entity injured by the breach of the condition. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991.) 
33 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 2014 

Rule 2011. Evidence of Debtor in Possession or Qualification of 

Trustee 

(a) Whenever evidence is required that a debtor is a debtor in 

possession or that a trustee has qualified, the clerk may so certify 

and the certificate shall constitute conclusive evidence of that 

fact. 

(b) If a person elected or appointed as trustee does not qualify 

within the time prescribed by § 322(a) of the Code, the clerk shall 

so notify the court and the United States trustee. 

(As amended Apr. 30, 1991, eff. Aug. 1, 1991.) 

Rule 2012. Substitution of Trustee or Successor Trustee; Accounting 

(a) TRUSTEE. If a trustee is appointed in a chapter 11 case (other 

than under subchapter V), or the debtor is removed as debtor in 

possession in a chapter 12 case or in a case under subchapter V of 

chapter 11, the trustee is substituted automatically for the debtor 

in possession as a party in any pending action, proceeding, or matter. 

(b) SUCCESSOR TRUSTEE. When a trustee dies, resigns, is removed, or otherwise ceases to hold office during the pendency of 

a case under the Code (1) the successor is automatically substituted as a party in any pending action, proceeding, or matter; 

and (2) the successor trustee shall prepare, file, and transmit to 

the United States trustee an accounting of the prior administration of the estate. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Apr. 11, 2022, eff. Dec. 1, 2022.) 

Rule 2013. Public Record of Compensation Awarded to Trustees, 

Examiners, and Professionals 

(a) RECORD TO BE KEPT. The clerk shall maintain a public record 

listing fees awarded by the court (1) to trustees and attorneys, accountants, appraisers, auctioneers and other professionals employed by trustees, and (2) to examiners. The record shall include 

the name and docket number of the case, the name of the individual or firm receiving the fee and the amount of the fee awarded. 

The record shall be maintained chronologically and shall be kept 

current and open to examination by the public without charge. 

‘‘Trustees,’’ as used in this rule, does not include debtors in possession. 

(b) SUMMARY OF RECORD. At the close of each annual period, the 

clerk shall prepare a summary of the public record by individual 

or firm name, to reflect total fees awarded during the preceding 

year. The summary shall be open to examination by the public 

without charge. The clerk shall transmit a copy of the summary 

to the United States trustee. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991.) 

Rule 2014. Employment of Professional Persons 

(a) APPLICATION FOR AND ORDER OF EMPLOYMENT. An order approving the employment of attorneys, accountants, appraisers, 
Rule 2015 FEDERAL RULES OF BANKRUPTCY PROCEDURE 34 

auctioneers, agents, or other professionals pursuant to § 327, § 1103, 

or § 1114 of the Code shall be made only on application of the trustee or committee. The application shall be filed and, unless the 

case is a chapter 9 municipality case, a copy of the application 

shall be transmitted by the applicant to the United States trustee. The application shall state the specific facts showing the necessity for the employment, the name of the person to be employed, the reasons for the selection, the professional services to 

be rendered, any proposed arrangement for compensation, and, to 

the best of the applicant’s knowledge, all of the person’s connections with the debtor, creditors, any other party in interest, their 

respective attorneys and accountants, the United States trustee, 

or any person employed in the office of the United States trustee. 

The application shall be accompanied by a verified statement of 

the person to be employed setting forth the person’s connections 

with the debtor, creditors, any other party in interest, their respective attorneys and accountants, the United States trustee, or 

any person employed in the office of the United States trustee. 

(b) SERVICES RENDERED BY MEMBER OR ASSOCIATE OF FIRM OF ATTORNEYS OR ACCOUNTANTS. If, under the Code and this rule, a law 

partnership or corporation is employed as an attorney, or an accounting partnership or corporation is employed as an accountant, or if a named attorney or accountant is employed, any partner, member, or regular associate of the partnership, corporation, 

or individual may act as attorney or accountant so employed, 

without further order of the court. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991.) 

Rule 2015. Duty to Keep Records, Make Reports, and Give Notice 

of Case or Change of Status 

(a) TRUSTEE OR DEBTOR IN POSSESSION. A trustee or debtor in 

possession shall: 

(1) in a chapter 7 liquidation case and, if the court directs, 

in a chapter 11 reorganization case (other than under subchapter V), file and transmit to the United States trustee a 

complete inventory of the property of the debtor within 30 

days after qualifying as a trustee or debtor in possession, unless such an inventory has already been filed; 

(2) keep a record of receipts and the disposition of money 

and property received; 

(3) file the reports and summaries required by § 704(a)(8) of 

the Code, which shall include a statement, if payments are 

made to employees, of the amounts of deductions for all taxes 

required to be withheld or paid for and in behalf of employees 

and the place where these amounts are deposited; 

(4) as soon as possible after the commencement of the case, 

give notice of the case to every entity known to be holding 

money or property subject to withdrawal or order of the debtor, including every bank, savings or building and loan association, public utility company, and landlord with whom the 

debtor has a deposit, and to every insurance company which 

has issued a policy having a cash surrender value payable to 

the debtor, except that notice need not be given to any entity 

who has knowledge or has previously been notified of the case; 
35 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 2015 

(5) in a chapter 11 reorganization case (other than under subchapter V), on or before the last day of the month after each 

calendar quarter during which there is a duty to pay fees 

under 28 U.S.C. § 1930(a)(6), file and transmit to the United 

States trustee a statement of any disbursements made during 

that quarter and of any fees payable under 28 U.S.C. § 1930(a)(6) 

for that quarter; and 

(6) in a chapter 11 small business case, unless the court, for 

cause, sets another reporting interval, file and transmit to the 

United States trustee for each calendar month after the order 

for relief, on the appropriate Official Form, the report required by § 308. If the order for relief is within the first 15 days 

of a calendar month, a report shall be filed for the portion of 

the month that follows the order for relief. If the order for relief is after the 15th day of a calendar month, the period for 

the remainder of the month shall be included in the report for 

the next calendar month. Each report shall be filed no later 

than 21 days after the last day of the calendar month following 

the month covered by the report. The obligation to file reports 

under this subparagraph terminates on the effective date of 

the plan, or conversion or dismissal of the case. 

(b) TRUSTEE, DEBTOR IN POSSESSION, AND DEBTOR IN A CASE

UNDER SUBCHAPTER V OF CHAPTER 11. In a case under subchapter 

V of chapter 11, the debtor in possession shall perform the duties 

prescribed in (a)(2)–(4) and, if the court directs, shall file and 

transmit to the United States trustee a complete inventory of the 

debtor’s property within the time fixed by the court. If the debtor 

is removed as debtor in possession, the trustee shall perform the 

duties of the debtor in possession prescribed in this subdivision 

(b). The debtor shall perform the duties prescribed in (a)(6). 

(c) CHAPTER 12 TRUSTEE AND DEBTOR IN POSSESSION. In a chapter 

12 family farmer’s debt adjustment case, the debtor in possession 

shall perform the duties prescribed in clauses (2)–(4) of subdivision 

(a) of this rule and, if the court directs, shall file and transmit to 

the United States trustee a complete inventory of the property of 

the debtor within the time fixed by the court. If the debtor is removed as debtor in possession, the trustee shall perform the duties of the debtor in possession prescribed in this subdivision (c). 

(d) CHAPTER 13 TRUSTEE AND DEBTOR. 

(1) Business Cases. In a chapter 13 individual’s debt adjustment case, when the debtor is engaged in business, the debtor 

shall perform the duties prescribed by clauses (2)–(4) of subdivision (a) of this rule and, if the court directs, shall file and 

transmit to the United States trustee a complete inventory of 

the property of the debtor within the time fixed by the court. 

(2) Nonbusiness Cases. In a chapter 13 individual’s debt adjustment case, when the debtor is not engaged in business, the 

trustee shall perform the duties prescribed by clause (2) of subdivision (a) of this rule. 

(e) FOREIGN REPRESENTATIVE. In a case in which the court has 

granted recognition of a foreign proceeding under chapter 15, the 

foreign representative shall file any notice required under § 1518 of 

the Code within 14 days after the date when the representative becomes aware of the subsequent information. 
Rule 2015.1 FEDERAL RULES OF BANKRUPTCY PROCEDURE 36 

(f) TRANSMISSION OF REPORTS. In a chapter 11 case the court may 

direct that copies or summaries of annual reports and copies or 

summaries of other reports shall be mailed to the creditors, equity security holders, and indenture trustees. The court may also 

direct the publication of summaries of any such reports. A copy 

of every report or summary mailed or published pursuant to this 

subdivision shall be transmitted to the United States trustee. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Apr. 23, 1996, eff. Dec. 1, 1996; Apr. 29, 2002, eff. Dec. 1, 2002; 

Apr. 23, 2008, eff. Dec. 1, 2008; Mar. 26, 2009, eff. Dec. 1, 2009; Apr. 

23, 2012, eff. Dec. 1, 2012; Apr. 11, 2022, eff. Dec. 1, 2022.) 

Rule 2015.1. Patient Care Ombudsman 

(a) REPORTS. A patient care ombudsman, at least 14 days before 

making a report under § 333(b)(2) of the Code, shall give notice that 

the report will be made to the court, unless the court orders 

otherwise. The notice shall be transmitted to the United States 

trustee, posted conspicuously at the health care facility that is 

the subject of the report, and served on: the debtor; the trustee; 

all patients; and any committee elected under § 705 or appointed 

under § 1102 of the Code or its authorized agent, or, if the case is 

a chapter 9 municipality case or a chapter 11 reorganization case 

and no committee of unsecured creditors has been appointed under 

§ 1102, on the creditors included on the list filed under Rule 1007(d); 

and such other entities as the court may direct. The notice shall 

state the date and time when the report will be made, the manner 

in which the report will be made, and, if the report is in writing, 

the name, address, telephone number, email address, and website, 

if any, of the person from whom a copy of the report may be obtained at the debtor’s expense. 

(b) AUTHORIZATION TO REVIEW CONFIDENTIAL PATIENT RECORDS. A 

motion by a patient care ombudsman under § 333(c) to review confidential patient records shall be governed by Rule 9014, served on 

the patient and any family member or other contact person whose 

name and address have been given to the trustee or the debtor for 

the purpose of providing information regarding the patient’s 

health care, and transmitted to the United States trustee subject 

to applicable nonbankruptcy law relating to patient privacy. Unless the court orders otherwise, a hearing on the motion may not 

be commenced earlier than 14 days after service of the motion. 

(Added Apr. 23, 2008, eff. Dec. 1, 2008; amended Mar. 26, 2009, eff. 

Dec. 1, 2009.) 

Rule 2015.2. Transfer of Patient in Health Care Business Case 

Unless the court orders otherwise, if the debtor is a health care 

business, the trustee may not transfer a patient to another health 

care business under § 704(a)(12) of the Code unless the trustee gives 

at least 14 days’ notice of the transfer to the patient care ombudsman, if any, the patient, and any family member or other contact 

person whose name and address has been given to the trustee or 

the debtor for the purpose of providing information regarding the 

patient’s health care. The notice is subject to applicable nonbankruptcy law relating to patient privacy. 
37 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 2015.3 

(Added Apr. 23, 2008, eff. Dec. 1, 2008; amended Mar. 26, 2009, eff. 

Dec. 1, 2009.) 

Rule 2015.3. Reports of Financial Information on Entities in Which 

a Chapter 11 Estate Holds a Controlling or Substantial Interest 

(a) REPORTING REQUIREMENT. In a chapter 11 case, the trustee or 

debtor in possession shall file periodic financial reports of the 

value, operations, and profitability of each entity that is not a 

publicly traded corporation or a debtor in a case under title 11, 

and in which the estate holds a substantial or controlling interest. 

The reports shall be prepared as prescribed by the appropriate Official Form, and shall be based upon the most recent information 

reasonably available to the trustee or debtor in possession. 

(b) TIME FOR FILING; SERVICE. The first report required by this 

rule shall be filed no later than seven days before the first date set 

for the meeting of creditors under § 341 of the Code. Subsequent reports shall be filed no less frequently than every six months thereafter, until the effective date of a plan or the case is dismissed or 

converted. Copies of the report shall be served on the United 

States trustee, any committee appointed under § 1102 of the Code, 

and any other party in interest that has filed a request therefor. 

(c) PRESUMPTION OF SUBSTANTIAL OR CONTROLLING INTEREST; JUDICIAL DETERMINATION. For purposes of this rule, an entity of 

which the estate controls or owns at least a 20 percent interest, 

shall be presumed to be an entity in which the estate has a substantial or controlling interest. An entity in which the estate controls or owns less than a 20 percent interest shall be presumed not 

to be an entity in which the estate has a substantial or controlling interest. Upon motion, the entity, any holder of an interest 

therein, the United States trustee, or any other party in interest 

may seek to rebut either presumption, and the court shall, after 

notice and a hearing, determine whether the estate’s interest in 

the entity is substantial or controlling. 

(d) MODIFICATION OF REPORTING REQUIREMENT. The court may, 

after notice and a hearing, vary the reporting requirement established by subdivision (a) of this rule for cause, including that the 

trustee or debtor in possession is not able, after a good faith effort, to comply with those reporting requirements, or that the information required by subdivision (a) is publicly available. 

(e) NOTICE AND PROTECTIVE ORDERS. No later than 14 days before 

filing the first report required by this rule, the trustee or debtor 

in possession shall send notice to the entity in which the estate 

has a substantial or controlling interest, and to all holders— 

known to the trustee or debtor in possession—of an interest in 

that entity, that the trustee or debtor in possession expects to file 

and serve financial information relating to the entity in accordance with this rule. The entity in which the estate has a substantial or controlling interest, or a person holding an interest in that 

entity, may request protection of the information under § 107 of 

the Code. 

(f) EFFECT OF REQUEST. Unless the court orders otherwise, the 

pendency of a request under subdivisions (c), (d), or (e) of this rule 

shall not alter or stay the requirements of subdivision (a). 

(Added Apr. 23, 2008, eff. Dec. 1, 2008; amended Mar. 26, 2009, eff. 

Dec. 1, 2009.) 
Rule 2016 FEDERAL RULES OF BANKRUPTCY PROCEDURE 38 

Rule 2016. Compensation for Services Rendered and Reimbursement of Expenses 

(a) APPLICATION FOR COMPENSATION OR REIMBURSEMENT. An entity seeking interim or final compensation for services, or reimbursement of necessary expenses, from the estate shall file an application setting forth a detailed statement of (1) the services rendered, time expended and expenses incurred, and (2) the amounts 

requested. An application for compensation shall include a statement as to what payments have theretofore been made or promised to the applicant for services rendered or to be rendered in any 

capacity whatsoever in connection with the case, the source of the 

compensation so paid or promised, whether any compensation previously received has been shared and whether an agreement or understanding exists between the applicant and any other entity for 

the sharing of compensation received or to be received for services 

rendered in or in connection with the case, and the particulars of 

any sharing of compensation or agreement or understanding 

therefor, except that details of any agreement by the applicant for 

the sharing of compensation as a member or regular associate of 

a firm of lawyers or accountants shall not be required. The requirements of this subdivision shall apply to an application for 

compensation for services rendered by an attorney or accountant 

even though the application is filed by a creditor or other entity. 

Unless the case is a chapter 9 municipality case, the applicant 

shall transmit to the United States trustee a copy of the application. 

(b) DISCLOSURE OF COMPENSATION PAID OR PROMISED TO ATTORNEY FOR DEBTOR. Every attorney for a debtor, whether or not the 

attorney applies for compensation, shall file and transmit to the 

United States trustee within 14 days after the order for relief, or 

at another time as the court may direct, the statement required 

by § 329 of the Code including whether the attorney has shared or 

agreed to share the compensation with any other entity. The 

statement shall include the particulars of any such sharing or 

agreement to share by the attorney, but the details of any agreement for the sharing of the compensation with a member or regular associate of the attorney’s law firm shall not be required. A 

supplemental statement shall be filed and transmitted to the 

United States trustee within 14 days after any payment or agreement not previously disclosed. 

(c) DISCLOSURE OF COMPENSATION PAID OR PROMISED TO BANKRUPTCY PETITION PREPARER. Before a petition is filed, every bankruptcy petition preparer for a debtor shall deliver to the debtor, 

the declaration under penalty of perjury required by § 110(h)(2). 

The declaration shall disclose any fee, and the source of any fee, 

received from or on behalf of the debtor within 12 months of the 

filing of the case and all unpaid fees charged to the debtor. The 

declaration shall also describe the services performed and documents prepared or caused to be prepared by the bankruptcy petition preparer. The declaration shall be filed with the petition. The 

petition preparer shall file a supplemental statement within 14 

days after any payment or agreement not previously disclosed. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Mar. 27, 2003, eff. Dec. 1, 2003; Mar. 26, 2009, eff. Dec. 1, 2009.) 
39 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 2018 

Rule 2017. Examination of Debtor’s Transactions with Debtor’s Attorney 

(a) PAYMENT OR TRANSFER TO ATTORNEY BEFORE ORDER FOR RELIEF. On motion by any party in interest or on the court’s own initiative, the court after notice and a hearing may determine 

whether any payment of money or any transfer of property by the 

debtor, made directly or indirectly and in contemplation of the 

filing of a petition under the Code by or against the debtor or before entry of the order for relief in an involuntary case, to an attorney for services rendered or to be rendered is excessive. 

(b) PAYMENT OR TRANSFER TO ATTORNEY AFTER ORDER FOR RELIEF. On motion by the debtor, the United States trustee, or on 

the court’s own initiative, the court after notice and a hearing 

may determine whether any payment of money or any transfer of 

property, or any agreement therefor, by the debtor to an attorney 

after entry of an order for relief in a case under the Code is excessive, whether the payment or transfer is made or is to be made directly or indirectly, if the payment, transfer, or agreement therefor is for services in any way related to the case. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991.) 

Rule 2018. Intervention; Right to Be Heard 

(a) PERMISSIVE INTERVENTION. In a case under the Code, after 

hearing on such notice as the court directs and for cause shown, 

the court may permit any interested entity to intervene generally 

or with respect to any specified matter. 

(b) INTERVENTION BY ATTORNEY GENERAL OF A STATE. In a chapter 7, 11, 12, or 13 case, the Attorney General of a State may appear and be heard on behalf of consumer creditors if the court determines the appearance is in the public interest, but the Attorney General may not appeal from any judgment, order, or decree 

in the case. 

(c) CHAPTER 9 MUNICIPALITY CASE. The Secretary of the Treasury 

of the United States may, or if requested by the court shall, intervene in a chapter 9 case. Representatives of the state in which the 

debtor is located may intervene in a chapter 9 case with respect 

to matters specified by the court. 

(d) LABOR UNIONS. In a chapter 9, 11, or 12 case, a labor union or 

employees’ association, representative of employees of the debtor, 

shall have the right to be heard on the economic soundness of a 

plan affecting the interests of the employees. A labor union or employees’ association which exercises its right to be heard under 

this subdivision shall not be entitled to appeal any judgment, 

order, or decree relating to the plan, unless otherwise permitted 

by law. 

(e) SERVICE ON ENTITIES COVERED BY THIS RULE. The court may 

enter orders governing the service of notice and papers on entities 

permitted to intervene or be heard pursuant to this rule. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991.) 
Rule 2019 FEDERAL RULES OF BANKRUPTCY PROCEDURE 40 

Rule 2019. Disclosure Regarding Creditors and Equity Security 

Holders in Chapter 9 and Chapter 11 Cases 

(a) DEFINITIONS. In this rule the following terms have the meanings indicated: 

(1) ‘‘Disclosable economic interest’’ means any claim, interest, pledge, lien, option, participation, derivative instrument, 

or any other right or derivative right granting the holder an 

economic interest that is affected by the value, acquisition, or 

disposition of a claim or interest. 

(2) ‘‘Represent’’ or ‘‘represents’’ means to take a position before the court or to solicit votes regarding the confirmation of 

a plan on behalf of another. 

(b) DISCLOSURE BY GROUPS, COMMITTEES, AND ENTITIES. 

(1) In a chapter 9 or 11 case, a verified statement setting 

forth the information specified in subdivision (c) of this rule 

shall be filed by every group or committee that consists of or 

represents, and every entity that represents, multiple creditors or equity security holders that are (A) acting in concert 

to advance their common interests, and (B) not composed entirely of affiliates or insiders of one another. 

(2) Unless the court orders otherwise, an entity is not required to file the verified statement described in paragraph (1) 

of this subdivision solely because of its status as: 

(A) an indenture trustee; 

(B) an agent for one or more other entities under an 

agreement for the extension of credit; 

(C) a class action representative; or 

(D) a governmental unit that is not a person. 

(c) INFORMATION REQUIRED. The verified statement shall include: 

(1) the pertinent facts and circumstances concerning: 

(A) with respect to a group or committee, other than a 

committee appointed under § 1102 or § 1114 of the Code, the 

formation of the group or committee, including the name 

of each entity at whose instance the group or committee 

was formed or for whom the group or committee has 

agreed to act; or 

(B) with respect to an entity, the employment of the entity, including the name of each creditor or equity security holder at whose instance the employment was arranged; 

(2) if not disclosed under subdivision (c)(1), with respect to 

an entity, and with respect to each member of a group or committee: 

(A) name and address; 

(B) the nature and amount of each disclosable economic 

interest held in relation to the debtor as of the date the 

entity was employed or the group or committee was 

formed; and 

(C) with respect to each member of a group or committee 

that claims to represent any entity in addition to the 

members of the group or committee, other than a committee appointed under § 1102 or § 1114 of the Code, the date of 

acquisition by quarter and year of each disclosable economic interest, unless acquired more than one year before 

the petition was filed; 
41 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 3001 

(3) if not disclosed under subdivision (c)(1) or (c)(2), with respect to each creditor or equity security holder represented by 

an entity, group, or committee, other than a committee appointed under § 1102 or § 1114 of the Code: 

(A) name and address; and 

(B) the nature and amount of each disclosable economic 

interest held in relation to the debtor as of the date of the 

statement; and 

(4) a copy of the instrument, if any, authorizing the entity, 

group, or committee to act on behalf of creditors or equity security holders. 

(d) SUPPLEMENTAL STATEMENTS. If any fact disclosed in its most 

recently filed statement has changed materially, an entity, group, 

or committee shall file a verified supplemental statement whenever it takes a position before the court or solicits votes on the 

confirmation of a plan. The supplemental statement shall set 

forth the material changes in the facts required by subdivision (c) 

to be disclosed. 

(e) DETERMINATION OF FAILURE TO COMPLY; SANCTIONS. 

(1) On motion of any party in interest, or on its own motion, 

the court may determine whether there has been a failure to 

comply with any provision of this rule. 

(2) If the court finds such a failure to comply, it may: 

(A) refuse to permit the entity, group, or committee to 

be heard or to intervene in the case; 

(B) hold invalid any authority, acceptance, rejection, or 

objection given, procured, or received by the entity, group, 

or committee; or 

(C) grant other appropriate relief. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Apr. 26, 2011, eff. Dec. 1, 2011.) 

Rule 2020. Review of Acts by United States Trustee 

A proceeding to contest any act or failure to act by the United 

States trustee is governed by Rule 9014. 

(Added Apr. 30, 1991, eff. Aug. 1, 1991.) 

PART III—CLAIMS AND DISTRIBUTION TO CREDITORS AND 

EQUITY INTEREST HOLDERS; PLANS 

Rule 3001. Proof of Claim 

(a) FORM AND CONTENT. A proof of claim is a written statement 

setting forth a creditor’s claim. A proof of claim shall conform 

substantially to the appropriate Official Form. 

(b) WHO MAY EXECUTE. A proof of claim shall be executed by the 

creditor or the creditor’s authorized agent except as provided in 

Rules 3004 and 3005. 

(c) SUPPORTING INFORMATION. 

(1) Claim Based on a Writing. Except for a claim governed by 

paragraph (3) of this subdivision, when a claim, or an interest 

in property of the debtor securing the claim, is based on a 

writing, a copy of the writing shall be filed with the proof of 

claim. If the writing has been lost or destroyed, a statement 

of the circumstances of the loss or destruction shall be filed 

with the claim. 
Rule 3001 FEDERAL RULES OF BANKRUPTCY PROCEDURE 42 

(2) Additional Requirements in an Individual Debtor Case; Sanctions for Failure to Comply. In a case in which the debtor is an 

individual: 

(A) If, in addition to its principal amount, a claim includes interest, fees, expenses, or other charges incurred 

before the petition was filed, an itemized statement of the 

interest, fees, expenses, or charges shall be filed with the 

proof of claim. 

(B) If a security interest is claimed in the debtor’s property, a statement of the amount necessary to cure any default as of the date of the petition shall be filed with the 

proof of claim. 

(C) If a security interest is claimed in property that is 

the debtor’s principal residence, the attachment prescribed 

by the appropriate Official Form shall be filed with the 

proof of claim. If an escrow account has been established 

in connection with the claim, an escrow account statement prepared as of the date the petition was filed and in 

a form consistent with applicable nonbankruptcy law shall 

be filed with the attachment to the proof of claim. 

(D) If the holder of a claim fails to provide any information required by this subdivision (c), the court may, after 

notice and hearing, take either or both of the following actions: 

(i) preclude the holder from presenting the omitted 

information, in any form, as evidence in any contested 

matter or adversary proceeding in the case, unless the 

court determines that the failure was substantially 

justified or is harmless; or 

(ii) award other appropriate relief, including reasonable expenses and attorney’s fees caused by the failure. 

(3) Claim Based on an Open-End or Revolving Consumer Credit 

Agreement. 

(A) When a claim is based on an open-end or revolving 

consumer credit agreement—except one for which a security interest is claimed in the debtor’s real property—a 

statement shall be filed with the proof of claim, including 

all of the following information that applies to the account: 

(i) the name of the entity from whom the creditor 

purchased the account; 

(ii) the name of the entity to whom the debt was 

owed at the time of an account holder’s last transaction on the account; 

(iii) the date of an account holder’s last transaction; 

(iv) the date of the last payment on the account; and 

(v) the date on which the account was charged to 

profit and loss. 

(B) On written request by a party in interest, the holder 

of a claim based on an open-end or revolving consumer 

credit agreement shall, within 30 days after the request is 

sent, provide the requesting party a copy of the writing 

specified in paragraph (1) of this subdivision. 

(d) EVIDENCE OF PERFECTION OF SECURITY INTEREST. If a security 

interest in property of the debtor is claimed, the proof of claim 
43 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 3001 

shall be accompanied by evidence that the security interest has 

been perfected. 

(e) TRANSFERRED CLAIM. 

(1) Transfer of Claim Other Than for Security Before Proof 

Filed. If a claim has been transferred other than for security 

before proof of the claim has been filed, the proof of claim may 

be filed only by the transferee or an indenture trustee. 

(2) Transfer of Claim Other than for Security after Proof Filed. 

If a claim other than one based on a publicly traded note, 

bond, or debenture has been transferred other than for security after the proof of claim has been filed, evidence of the 

transfer shall be filed by the transferee. The clerk shall immediately notify the alleged transferor by mail of the filing of 

the evidence of transfer and that objection thereto, if any, 

must be filed within 21 days of the mailing of the notice or 

within any additional time allowed by the court. If the alleged 

transferor files a timely objection and the court finds, after 

notice and a hearing, that the claim has been transferred 

other than for security, it shall enter an order substituting 

the transferee for the transferor. If a timely objection is not 

filed by the alleged transferor, the transferee shall be substituted for the transferor. 

(3) Transfer of Claim for Security Before Proof Filed. If a claim 

other than one based on a publicly traded note, bond, or debenture has been transferred for security before proof of the claim 

has been filed, the transferor or transferee or both may file a 

proof of claim for the full amount. The proof shall be supported by a statement setting forth the terms of the transfer. 

If either the transferor or the transferee files a proof of claim, 

the clerk shall immediately notify the other by mail of the 

right to join in the filed claim. If both transferor and transferee file proofs of the same claim, the proofs shall be consolidated. If the transferor or transferee does not file an agreement regarding its relative rights respecting voting of the 

claim, payment of dividends thereon, or participation in the 

administration of the estate, on motion by a party in interest 

and after notice and a hearing, the court shall enter such orders respecting these matters as may be appropriate. 

(4) Transfer of Claim for Security after Proof Filed. If a claim 

other than one based on a publicly traded note, bond, or debenture has been transferred for security after the proof of claim 

has been filed, evidence of the terms of the transfer shall be 

filed by the transferee. The clerk shall immediately notify the 

alleged transferor by mail of the filing of the evidence of 

transfer and that objection thereto, if any, must be filed within 21 days of the mailing of the notice or within any additional 

time allowed by the court. If a timely objection is filed by the 

alleged transferor, the court, after notice and a hearing, shall 

determine whether the claim has been transferred for security. 

If the transferor or transferee does not file an agreement regarding its relative rights respecting voting of the claim, payment of dividends thereon, or participation in the administration of the estate, on motion by a party in interest and after 

notice and a hearing, the court shall enter such orders respecting these matters as may be appropriate. 
Rule 3002 FEDERAL RULES OF BANKRUPTCY PROCEDURE 44 

1So in original. Subsec. (g) adopted without a catchline. 

(5) Service of Objection or Motion; Notice of Hearing. A copy of 

an objection filed pursuant to paragraph (2) or (4) or a motion 

filed pursuant to paragraph (3) or (4) of this subdivision together with a notice of a hearing shall be mailed or otherwise 

delivered to the transferor or transferee, whichever is appropriate, at least 30 days prior to the hearing. 

(f) EVIDENTIARY EFFECT. A proof of claim executed and filed in 

accordance with these rules shall constitute prima facie evidence 

of the validity and amount of the claim. 

(g) 1 To the extent not inconsistent with the United States Warehouse Act or applicable State law, a warehouse receipt, scale ticket, or similar document of the type routinely issued as evidence 

of title by a grain storage facility, as defined in section 557 of title 

11, shall constitute prima facie evidence of the validity and 

amount of a claim of ownership of a quantity of grain. 

(As amended Pub. L. 98–353, title III, § 354, July 10, 1984, 98 Stat. 

361; Apr. 30, 1991, eff. Aug. 1, 1991; Mar. 26, 2009, eff. Dec. 1, 2009; 

Apr. 26, 2011, eff. Dec 1, 2011; Apr. 23, 2012, eff. Dec. 1, 2012.) 

Rule 3002. Filing Proof of Claim or Interest 

(a) NECESSITY FOR FILING. A secured creditor, unsecured creditor, or equity security holder must file a proof of claim or interest 

for the claim or interest to be allowed, except as provided in Rules 

1019(3), 3003, 3004, and 3005. A lien that secures a claim against the 

debtor is not void due only to the failure of any entity to file a 

proof of claim. 

(b) PLACE OF FILING. A proof of claim or interest shall be filed 

in accordance with Rule 5005. 

(c) TIME FOR FILING. In a voluntary chapter 7 case, chapter 12 

case, or chapter 13 case, a proof of claim is timely filed if it is filed 

not later than 70 days after the order for relief under that chapter 

or the date of the order of conversion to a case under chapter 12 

or chapter 13. In an involuntary chapter 7 case, a proof of claim 

is timely filed if it is filed not later than 90 days after the order 

for relief under that chapter is entered. But in all these cases, the 

following exceptions apply: 

(1) A proof of claim filed by a governmental unit, other than 

for a claim resulting from a tax return filed under § 1308, is 

timely filed if it is filed not later than 180 days after the date 

of the order for relief. A proof of claim filed by a governmental 

unit for a claim resulting from a tax return filed under § 1308 

is timely filed if it is filed no later than 180 days after the date 

of the order for relief or 60 days after the date of the filing of 

the tax return. The court may, for cause, enlarge the time for 

a governmental unit to file a proof of claim only upon motion 

of the governmental unit made before expiration of the period 

for filing a timely proof of claim. 

(2) In the interest of justice and if it will not unduly delay 

the administration of the case, the court may extend the time 

for filing a proof of claim by an infant or incompetent person 

or the representative of either. 
45 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 3002.1 

(3) An unsecured claim which arises in favor of an entity or 

becomes allowable as a result of a judgment may be filed within 30 days after the judgment becomes final if the judgment is 

for the recovery of money or property from that entity or denies or avoids the entity’s interest in property. If the judgment imposes a liability which is not satisfied, or a duty 

which is not performed within such period or such further 

time as the court may permit, the claim shall not be allowed. 

(4) A claim arising from the rejection of an executory contract or unexpired lease of the debtor may be filed within such 

time as the court may direct. 

(5) If notice of insufficient assets to pay a dividend was given 

to creditors under Rule 2002(e), and subsequently the trustee 

notifies the court that payment of a dividend appears possible, 

the clerk shall give at least 90 days’ notice by mail to creditors of that fact and of the date by which proofs of claim must 

be filed. 

(6) On motion filed by a creditor before or after the expiration of the time to file a proof of claim, the court may extend 

the time by not more than 60 days from the date of the order 

granting the motion. The motion may be granted if the court 

finds that the notice was insufficient under the circumstances 

to give the creditor a reasonable time to file a proof of claim. 

(7) A proof of claim filed by the holder of a claim that is secured by a security interest in the debtor’s principal residence 

is timely filed if: 

(A) the proof of claim, together with the attachments required by Rule 3001(c)(2)(C), is filed not later than 70 days 

after the order for relief is entered; and 

(B) any attachments required by Rule 3001(c)(1) and (d) 

are filed as a supplement to the holder’s claim not later 

than 120 days after the order for relief is entered. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Apr. 23, 1996, eff. Dec. 1, 1996; Apr. 23, 2008, eff. Dec. 1, 2008; 

Apr. 27, 2017, eff. Dec. 1, 2017; Apr. 11, 2022, eff. Dec. 1, 2022.) 

Rule 3002.1. Notice Relating to Claims Secured by Security Interest 

in the Debtor’s Principal Residence 

(a) IN GENERAL. This rule applies in a chapter 13 case to claims 

(1) that are secured by a security interest in the debtor’s principal 

residence, and (2) for which the plan provides that either the 

trustee or the debtor will make contractual installment payments. Unless the court orders otherwise, the notice requirements 

of this rule cease to apply when an order terminating or annulling 

the automatic stay becomes effective with respect to the residence that secures the claim. 

(b) NOTICE OF PAYMENT CHANGES; OBJECTION. 

(1) Notice. The holder of the claim shall file and serve on the 

debtor, debtor’s counsel, and the trustee a notice of any 

change in the payment amount, including any change that results from an interest-rate or escrow-account adjustment, no 

later than 21 days before a payment in the new amount is due. 

If the claim arises from a home-equity line of credit, this requirement may be modified by court order. 
Rule 3002.1 FEDERAL RULES OF BANKRUPTCY PROCEDURE 46 

(2) Objection. A party in interest who objects to the payment 

change may file a motion to determine whether the change is 

required to maintain payments in accordance with § 1322(b)(5) 

of the Code. If no motion is filed by the day before the new 

amount is due, the change goes into effect, unless the court 

orders otherwise. 

(c) NOTICE OF FEES, EXPENSES, AND CHARGES. The holder of the 

claim shall file and serve on the debtor, debtor’s counsel, and the 

trustee a notice itemizing all fees, expenses, or charges (1) that 

were incurred in connection with the claim after the bankruptcy 

case was filed, and (2) that the holder asserts are recoverable 

against the debtor or against the debtor’s principal residence. The 

notice shall be served within 180 days after the date on which the 

fees, expenses, or charges are incurred. 

(d) FORM AND CONTENT. A notice filed and served under subdivision (b) or (c) of this rule shall be prepared as prescribed by the 

appropriate Official Form, and filed as a supplement to the holder’s proof of claim. The notice is not subject to Rule 3001(f). 

(e) DETERMINATION OF FEES, EXPENSES, OR CHARGES. On motion 

of a party in interest filed within one year after service of a notice 

under subdivision (c) of this rule, the court shall, after notice and 

hearing, determine whether payment of any claimed fee, expense, 

or charge is required by the underlying agreement and applicable 

nonbankruptcy law to cure a default or maintain payments in accordance with § 1322(b)(5) of the Code. 

(f) NOTICE OF FINAL CURE PAYMENT. Within 30 days after the 

debtor completes all payments under the plan, the trustee shall 

file and serve on the holder of the claim, the debtor, and debtor’s 

counsel a notice stating that the debtor has paid in full the 

amount required to cure any default on the claim. The notice 

shall also inform the holder of its obligation to file and serve a response under subdivision (g). If the debtor contends that final cure 

payment has been made and all plan payments have been completed, and the trustee does not timely file and serve the notice 

required by this subdivision, the debtor may file and serve the notice. 

(g) RESPONSE TO NOTICE OF FINAL CURE PAYMENT. Within 21 days 

after service of the notice under subdivision (f) of this rule, the 

holder shall file and serve on the debtor, debtor’s counsel, and the 

trustee a statement indicating (1) whether it agrees that the debtor has paid in full the amount required to cure the default on the 

claim, and (2) whether the debtor is otherwise current on all payments consistent with § 1322(b)(5) of the Code. The statement shall 

itemize the required cure or postpetition amounts, if any, that the 

holder contends remain unpaid as of the date of the statement. 

The statement shall be filed as a supplement to the holder’s proof 

of claim and is not subject to Rule 3001(f). 

(h) DETERMINATION OF FINAL CURE AND PAYMENT. On motion of 

the debtor or trustee filed within 21 days after service of the statement under subdivision (g) of this rule, the court shall, after notice and hearing, determine whether the debtor has cured the default and paid all required postpetition amounts. 

(i) FAILURE TO NOTIFY. If the holder of a claim fails to provide 

any information as required by subdivision (b), (c), or (g) of this 
47 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 3003 

rule, the court may, after notice and hearing, take either or both 

of the following actions: 

(1) preclude the holder from presenting the omitted information, in any form, as evidence in any contested matter or adversary proceeding in the case, unless the court determines 

that the failure was substantially justified or is harmless; or 

(2) award other appropriate relief, including reasonable expenses and attorney’s fees caused by the failure. 

(Added Apr. 26, 2011, eff. Dec. 1, 2011; amended Apr. 28, 2016, eff. 

Dec. 1, 2016; Apr. 26, 2018, eff. Dec. 1, 2018.) 

Rule 3003. Filing Proof of Claim or Equity Security Interest in 

Chapter 9 Municipality or Chapter 11 Reorganization Cases 

(a) APPLICABILITY OF RULE. This rule applies in chapter 9 and 11 

cases. 

(b) SCHEDULE OF LIABILITIES AND LIST OF EQUITY SECURITY HOLDERS. 

(1) Schedule of Liabilities. The schedule of liabilities filed pursuant to § 521(l) of the Code shall constitute prima facie evidence of the validity and amount of the claims of creditors, 

unless they are scheduled as disputed, contingent, or unliquidated. It shall not be necessary for a creditor or equity security holder to file a proof of claim or interest except as provided in subdivision (c)(2) of this rule. 

(2) List of Equity Security Holders. The list of equity security 

holders filed pursuant to Rule 1007(a)(3) shall constitute prima 

facie evidence of the validity and amount of the equity security interests and it shall not be necessary for the holders of 

such interests to file a proof of interest. 

(c) FILING PROOF OF CLAIM. 

(1) Who May File. Any creditor or indenture trustee may file 

a proof of claim within the time prescribed by subdivision 

(c)(3) of this rule. 

(2) Who Must File. Any creditor or equity security holder 

whose claim or interest is not scheduled or scheduled as disputed, contingent, or unliquidated shall file a proof of claim or 

interest within the time prescribed by subdivision (c)(3) of this 

rule; any creditor who fails to do so shall not be treated as a 

creditor with respect to such claim for the purposes of voting 

and distribution. 

(3) Time for Filing. The court shall fix and for cause shown 

may extend the time within which proofs of claim or interest 

may be filed. Notwithstanding the expiration of such time, a 

proof of claim may be filed to the extent and under the conditions stated in Rule 3002(c)(2), (c)(3), (c)(4), and (c)(6). 

(4) Effect of Filing Claim or Interest. A proof of claim or interest executed and filed in accordance with this subdivision 

shall supersede any scheduling of that claim or interest pursuant to § 521(a)(1) of the Code. 

(5) Filing by Indenture Trustee. An indenture trustee may file 

a claim on behalf of all known or unknown holders of securities issued pursuant to the trust instrument under which it is 

trustee. 

(d) PROOF OF RIGHT TO RECORD STATUS. For the purposes of 

Rules 3017, 3018 and 3021 and for receiving notices, an entity who 
Rule 3004 FEDERAL RULES OF BANKRUPTCY PROCEDURE 48 

is not the record holder of a security may file a statement setting 

forth facts which entitle that entity to be treated as the record 

holder. An objection to the statement may be filed by any party 

in interest. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Apr. 23, 2008, eff. Dec. 1, 2008.) 

Rule 3004. Filing of Claims by Debtor or Trustee 

If a creditor does not timely file a proof of claim under Rule 

3002(c) or 3003(c), the debtor or trustee may file a proof of the 

claim within 30 days after the expiration of the time for filing 

claims prescribed by Rule 3002(c) or 3003(c), whichever is applicable. The clerk shall forthwith give notice of the filing to the creditor, the debtor and the trustee. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 25, 2005, eff. Dec. 

1, 2005.) 

Rule 3005. Filing of Claim, Acceptance, or Rejection by Guarantor, 

Surety, Indorser, or Other Codebtor 

(a) FILING OF CLAIM. If a creditor does not timely file a proof of 

claim under Rule 3002(c) or 3003(c), any entity that is or may be 

liable with the debtor to that creditor, or who has secured that 

creditor, may file a proof of the claim within 30 days after the expiration of the time for filing claims prescribed by Rule 3002(c) or 

Rule 3003(c) whichever is applicable. No distribution shall be made 

on the claim except on satisfactory proof that the original debt 

will be diminished by the amount of distribution. 

(b) FILING OF ACCEPTANCE OR REJECTION; SUBSTITUTION OF CREDITOR. An entity which has filed a claim pursuant to the first sentence of subdivision (a) of this rule may file an acceptance or rejection of a plan in the name of the creditor, if known, or if unknown, in the entity’s own name but if the creditor files a proof 

of claim within the time permitted by Rule 3003(c) or files a notice 

prior to confirmation of a plan of the creditor’s intention to act 

in the creditor’s own behalf, the creditor shall be substituted for 

the obligor with respect to that claim. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Apr. 25, 2005, eff. Dec. 1, 2005.) 

Rule 3006. Withdrawal of Claim; Effect on Acceptance or Rejection 

of Plan 

A creditor may withdraw a claim as of right by filing a notice 

of withdrawal, except as provided in this rule. If after a creditor 

has filed a proof of claim an objection is filed thereto or a complaint is filed against that creditor in an adversary proceeding, or 

the creditor has accepted or rejected the plan or otherwise has 

participated significantly in the case, the creditor may not withdraw the claim except on order of the court after a hearing on notice to the trustee or debtor in possession, and any creditors’ committee elected pursuant to § 705(a) or appointed pursuant to § 1102 

of the Code. The order of the court shall contain such terms and 

conditions as the court deems proper. Unless the court orders 

otherwise, an authorized withdrawal of a claim shall constitute 

withdrawal of any related acceptance or rejection of a plan. 
49 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 3007 

(As amended Apr. 30, 1991, eff. Aug. 1, 1991.) 

Rule 3007. Objections to Claims 

(a) TIME AND MANNER OF SERVICE. 

(1) Time of Service. An objection to the allowance of a claim 

and a notice of objection that substantially conforms to the 

appropriate Official Form shall be filed and served at least 30 

days before any scheduled hearing on the objection or any 

deadline for the claimant to request a hearing. 

(2) Manner of Service. 

(A) The objection and notice shall be served on a claimant by first-class mail to the person most recently designated on the claimant’s original or amended proof of 

claim as the person to receive notices, at the address so indicated; and 

(i) if the objection is to a claim of the United States, 

or any of its officers or agencies, in the manner provided for service of a summons and complaint by Rule 

7004(b)(4) or (5); or 

(ii) if the objection is to a claim of an insured depository institution as defined in section 3 of the Federal 

Deposit Insurance Act, in the manner provided in Rule 

7004(h). 

(B) Service of the objection and notice shall also be made 

by first-class mail or other permitted means on the debtor 

or debtor in possession, the trustee, and, if applicable, the 

entity filing the proof of claim under Rule 3005. 

(b) DEMAND FOR RELIEF REQUIRING AN ADVERSARY PROCEEDING. A 

party in interest shall not include a demand for relief of a kind 

specified in Rule 7001 in an objection to the allowance of a claim, 

but may include the objection in an adversary proceeding. 

(c) LIMITATION ON JOINDER OF CLAIMS OBJECTIONS. Unless otherwise ordered by the court or permitted by subdivision (d), objections to more than one claim shall not be joined in a single objection. 

(d) OMNIBUS OBJECTION. Subject to subdivision (e), objections to 

more than one claim may be joined in an omnibus objection if all 

the claims were filed by the same entity, or the objections are 

based solely on the grounds that the claims should be disallowed, 

in whole or in part, because: 

(1) they duplicate other claims; 

(2) they have been filed in the wrong case; 

(3) they have been amended by subsequently filed proofs of 

claim; 

(4) they were not timely filed; 

(5) they have been satisfied or released during the case in accordance with the Code, applicable rules, or a court order; 

(6) they were presented in a form that does not comply with 

applicable rules, and the objection states that the objector is 

unable to determine the validity of the claim because of the 

noncompliance; 

(7) they are interests, rather than claims; or 

(8) they assert priority in an amount that exceeds the maximum amount under § 507 of the Code. 

(e) REQUIREMENTS FOR OMNIBUS OBJECTION. An omnibus objection shall: 
Rule 3008 FEDERAL RULES OF BANKRUPTCY PROCEDURE 50 

(1) state in a conspicuous place that claimants receiving the 

objection should locate their names and claims in the objection; 

(2) list claimants alphabetically, provide a cross-reference to 

claim numbers, and, if appropriate, list claimants by category 

of claims; 

(3) state the grounds of the objection to each claim and provide a cross-reference to the pages in the omnibus objection 

pertinent to the stated grounds; 

(4) state in the title the identity of the objector and the 

grounds for the objections; 

(5) be numbered consecutively with other omnibus objections filed by the same objector; and 

(6) contain objections to no more than 100 claims. 

(f) FINALITY OF OBJECTION. The finality of any order regarding a 

claim objection included in an omnibus objection shall be determined as though the claim had been subject to an individual objection. 

(As amended Apr. 30, 1991, eff. Aug. 1, 1991; Apr. 30, 2007, eff. Dec. 

1, 2007; Apr. 27, 2017, eff. Dec. 1, 2017; Apr. 14, 2021, eff. Dec. 1, 2021.) 

Rule 3008. Reconsideration of Claims 

A party in interest may move for reconsideration of an order allowing or disallowing a claim against the estate. The court after 

a hearing on notice shall enter an appropriate order. 

Rule 3009. Declaration and Payment of Dividends in a Chapter 7 

Liquidation Case 

In a chapter 7 case, dividends to creditors shall be paid as 

promptly as practicable. Dividend checks shall be made payable to 

and mailed to each creditor whose claim has been allowed, unless 

a power of attorney authorizing another entity to receive dividends has been executed and filed in accordance with Rule 9010. In 

that event, dividend checks shall be made payable to the creditor 

and to the other entity and shall be mailed to the other entity. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 22, 1993, eff. Aug. 

1, 1993.) 

Rule 3010. Small Dividends and Payments in Cases Under Chapter 

7, Subchapter V of Chapter 11, Chapter 12, and Chapter 13 

(a) CHAPTER 7 CASES. In a chapter 7 case no dividend in an 

amount less than $5 shall be distributed by the trustee to any 

creditor unless authorized by local rule or order of the court. Any 

dividend not distributed to a creditor shall be treated in the same 

manner as unclaimed funds as provided in § 347 of the Code. 

(b) CASES UNDER SUBCHAPTER V OF CHAPTER 11, CHAPTER 12, AND

CHAPTER 13. In a case under subchapter V of chapter 11, chapter 

12, or chapter 13, no payment in an amount less than $15 shall be 

distributed by the trustee to any creditor unless authorized by 

local rule or order of the court. Funds not distributed because of 

this subdivision shall accumulate and shall be paid whenever the 

accumulation aggregates $15. Any funds remaining shall be distributed with the final payment. 
51 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 3013 

1So in House Document 118–32. Probably should be ‘‘§347(a)’’. Prior to amendment, such reference 

was to ‘‘§347(a)’’, and while proposed amendment in House Document 118–32 contained only ‘‘§347’’, 

it did not explicitly delete ‘‘(a)’’. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Apr. 11, 2022, eff. Dec. 1, 2022.) 

Rule 3011. Unclaimed Funds in Cases Under Chapter 7, Subchapter 

V of Chapter 11, Chapter 12, and Chapter 13 

(a) The trustee shall file a list of all known names and addresses 

of the entities and the amounts which they are entitled to be paid 

from remaining property of the estate that is paid into court pursuant to § 347 1 of the Code. 

(b) On the court’s website, the clerk must provide searchable access to information about funds deposited under § 347(a). The court 

may, for cause, limit access to information about funds in a specific case. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Apr. 11, 2022, eff. Dec. 1, 2022; Apr. 24, 2023, eff. Dec. 1, 2023.) 

Rule 3012. Determining the Amount of Secured and Priority 

Claims 

(a) DETERMINATION OF AMOUNT OF CLAIM. On request by a party 

in interest and after notice—to the holder of the claim and any 

other entity the court designates—and a hearing, the court may 

determine: 

(1) the amount of a secured claim under § 506(a) of the Code; 

or 

(2) the amount of a claim entitled to priority under § 507 of 

the Code. 

(b) REQUEST FOR DETERMINATION; HOW MADE. Except as provided 

in subdivision (c), a request to determine the amount of a secured 

claim may be made by motion, in a claim objection, or in a plan 

filed in a chapter 12 or chapter 13 case. When the request is made 

in a chapter 12 or chapter 13 plan, the plan shall be served on the 

holder of the claim and any other entity the court designates in 

the manner provided for service of a summons and complaint by 

Rule 7004. A request to determine the amount of a claim entitled 

to priority may be made only by motion after a claim is filed or 

in a claim objection. 

(c) CLAIMS OF GOVERNMENTAL UNITS. A request to determine the 

amount of a secured claim of a governmental unit may be made 

only by motion or in a claim objection after the governmental 

unit files a proof of claim or after the time for filing one under 

Rule 3002(c)(1) has expired. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 27, 2017, eff. Dec. 

1, 2017.) 

Rule 3013. Classification of Claims and Interests 

For the purposes of the plan and its acceptance, the court may, 

on motion after hearing on notice as the court may direct, determine classes of creditors and equity security holders pursuant to 

§§ 1122, 1222(b)(1), and 1322(b)(1) of the Code. 

(As amended Apr. 30, 1991, eff. Aug. 1, 1991.) 
Rule 3014 FEDERAL RULES OF BANKRUPTCY PROCEDURE 52 

Rule 3014. Election Under § 1111(b) by Secured Creditor in Chapter 

9 Municipality or Chapter 11 Reorganization Case 

An election of application of § 1111(b)(2) of the Code by a class of 

secured creditors in a chapter 9 or 11 case may be made at any 

time prior to the conclusion of the hearing on the disclosure 

statement or within such later time as the court may fix. If the 

disclosure statement is conditionally approved pursuant to Rule 

3017.1, and a final hearing on the disclosure statement is not held, 

the election of application of § 1111(b)(2) may be made not later 

than the date fixed pursuant to Rule 3017.1(a)(2) or another date 

the court may fix. In a case under subchapter V of chapter 11 in 

which § 1125 of the Code does not apply, the election may be made 

not later than a date the court may fix. The election shall be in 

writing and signed unless made at the hearing on the disclosure 

statement. The election, if made by the majorities required by 

§ 1111(b)(1)(A)(i), shall be binding on all members of the class with 

respect to the plan. 

(As amended Apr. 11, 1997, eff. Dec. 1, 1997; Apr. 11, 2022, eff. Dec. 

1, 2022.) 

Rule 3015. Filing, Objection to Confirmation, Effect of Confirmation, and Modification of a Plan in a Chapter 12 or a Chapter 

13 Case 

(a) FILING A CHAPTER 12 PLAN. The debtor may file a chapter 12 

plan with the petition. If a plan is not filed with the petition, it 

shall be filed within the time prescribed by § 1221 of the Code. 

(b) FILING A CHAPTER 13 PLAN. The debtor may file a chapter 13 

plan with the petition. If a plan is not filed with the petition, it 

shall be filed within 14 days thereafter, and such time may not be 

further extended except for cause shown and on notice as the 

court may direct. If a case is converted to chapter 13, a plan shall 

be filed within 14 days thereafter, and such time may not be further extended except for cause shown and on notice as the court 

may direct. 

(c) FORM OF CHAPTER 13 PLAN. If there is an Official Form for a 

plan filed in a chapter 13 case, that form must be used unless a 

Local Form has been adopted in compliance with Rule 3015.1. With 

either the Official Form or a Local Form, a nonstandard provision 

is effective only if it is included in a section of the form designated for nonstandard provisions and is also identified in accordance with any other requirements of the form. As used in this 

rule and the Official Form or a Local Form, ‘‘nonstandard provision’’ means a provision not otherwise included in the Official or 

Local Form or deviating from it. 

(d) NOTICE. If the plan is not included with the notice of the 

hearing on confirmation mailed under Rule 2002, the debtor shall 

serve the plan on the trustee and all creditors when it is filed with 

the court. 

(e) TRANSMISSION TO UNITED STATES TRUSTEE. The clerk shall 

forthwith transmit to the United States trustee a copy of the plan 

and any modification thereof filed under subdivision (a) or (b) of 

this rule. 

(f) OBJECTION TO CONFIRMATION; DETERMINATION OF GOOD FAITH

IN THE ABSENCE OF AN OBJECTION. An objection to confirmation of 
53 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 3015.1 

a plan shall be filed and served on the debtor, the trustee, and any 

other entity designated by the court, and shall be transmitted to 

the United States trustee, at least seven days before the date set 

for the hearing on confirmation, unless the court orders otherwise. An objection to confirmation is governed by Rule 9014. If no 

objection is timely filed, the court may determine that the plan 

has been proposed in good faith and not by any means forbidden 

by law without receiving evidence on such issues. 

(g) EFFECT OF CONFIRMATION. Upon the confirmation of a chapter 

12 or chapter 13 plan: 

(1) any determination in the plan made under Rule 3012 

about the amount of a secured claim is binding on the holder 

of the claim, even if the holder files a contrary proof of claim 

or the debtor schedules that claim, and regardless of whether 

an objection to the claim has been filed; and 

(2) any request in the plan to terminate the stay imposed by 

§ 362(a), § 1201(a), or § 1301(a) is granted. 

(h) MODIFICATION OF PLAN AFTER CONFIRMATION. A request to 

modify a plan under § 1229 or § 1329 of the Code shall identify the 

proponent and shall be filed together with the proposed modification. The clerk, or some other person as the court may direct, 

shall give the debtor, the trustee, and all creditors not less than 

21 days’ notice by mail of the time fixed for filing objections and, 

if an objection is filed, the hearing to consider the proposed modification, unless the court orders otherwise with respect to creditors who are not affected by the proposed modification. A copy of 

the notice shall be transmitted to the United States trustee. A 

copy of the proposed modification, or a summary thereof, shall be 

included with the notice. Any objection to the proposed modification shall be filed and served on the debtor, the trustee, and any 

other entity designated by the court, and shall be transmitted to 

the United States trustee. An objection to a proposed modification is governed by Rule 9014. 

(As amended Apr. 30, 1991, eff. Aug. 1, 1991; Apr. 22, 1993, eff. Aug. 

1, 1993; Mar. 26, 2009, eff. Dec. 1, 2009; Apr. 27, 2017, eff. Dec. 1, 2017.) 

Rule 3015.1. Requirements for a Local Form for Plans Filed in a 

Chapter 13 Case 

Notwithstanding Rule 9029(a)(1), a district may require that a 

Local Form for a plan filed in a chapter 13 case be used instead 

of an Official Form adopted for that purpose if the following conditions are satisfied: 

(a) a single Local Form is adopted for the district after public 

notice and an opportunity for public comment; 

(b) each paragraph is numbered and labeled in boldface type 

with a heading stating the general subject matter of the paragraph; 

(c) the Local Form includes an initial paragraph for the debtor 

to indicate that the plan does or does not: 

(1) contain any nonstandard provision; 

(2) limit the amount of a secured claim based on a valuation 

of the collateral for the claim; or 

(3) avoid a security interest or lien; 

(d) the Local Form contains separate paragraphs for: 
Rule 3016 FEDERAL RULES OF BANKRUPTCY PROCEDURE 54 

(1) curing any default and maintaining payments on a claim 

secured by the debtor’s principal residence; 

(2) paying a domestic-support obligation; 

(3) paying a claim described in the final paragraph of § 1325(a) 

of the Bankruptcy Code; and 

(4) surrendering property that secures a claim with a request 

that the stay under §§ 362(a) and 1301(a) be terminated as to the 

surrendered collateral; and 

(e) the Local Form contains a final paragraph for: 

(1) the placement of nonstandard provisions, as defined in 

Rule 3015(c), along with a statement that any nonstandard 

provision placed elsewhere in the plan is void; and 

(2) certification by the debtor’s attorney or by an unrepresented debtor that the plan contains no nonstandard provision other than those set out in the final paragraph. 

(Added Apr. 27, 2017, eff. Dec. 1, 2017.) 

Rule 3016. Filing of Plan and Disclosure Statement in a Chapter 9 

Municipality or Chapter 11 Reorganization Case 

(a) IDENTIFICATION OF PLAN. Every proposed plan and any modification thereof shall be dated and, in a chapter 11 case, identified 

with the name of the entity or entities submitting or filing it. 

(b) DISCLOSURE STATEMENT. In a chapter 9 or 11 case, a disclosure statement, if required under § 1125 of the Code, or evidence 

showing compliance with § 1126(b) shall be filed with the plan or 

within a time fixed by the court, unless the plan is intended to 

provide adequate information under § 1125(f)(1). If the plan is intended to provide adequate information under § 1125(f)(1), it shall 

be so designated, and Rule 3017.1 shall apply as if the plan is a disclosure statement. 

(c) INJUNCTION UNDER A PLAN. If a plan provides for an injunction against conduct not otherwise enjoined under the Code, the 

plan and disclosure statement shall describe in specific and conspicuous language (bold, italic, or underlined text) all acts to be 

enjoined and identify the entities that would be subject to the injunction. 

(d) STANDARD FORM SMALL BUSINESS DISCLOSURE STATEMENT

AND PLAN. In a small business case or a case under subchapter V 

of chapter 11, the court may approve a disclosure statement and 

may confirm a plan that conform substantially to the appropriate 

Official Forms or other standard forms approved by the court. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Apr. 23, 1996, eff. Dec. 1, 1996; Apr. 23, 2001, eff. Dec. 1, 2001; 

Apr. 23, 2008, eff. Dec. 1, 2008; Apr. 11, 2022, eff. Dec. 1, 2022.) 

Rule 3017. Court Consideration of Disclosure Statement in a Chapter 9 Municipality or Chapter 11 Reorganization Case 

(a) HEARING ON DISCLOSURE STATEMENT AND OBJECTIONS. Except 

as provided in Rule 3017.1, after a disclosure statement is filed in 

accordance with Rule 3016(b), the court shall hold a hearing on at 

least 28 days’ notice to the debtor, creditors, equity security holders and other parties in interest as provided in Rule 2002 to consider the disclosure statement and any objections or modifications 

thereto. The plan and the disclosure statement shall be mailed 
55 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 3017 

1So in original. The comma probably should not appear. 

with the notice of the hearing only to the debtor, any trustee or 

committee appointed under the Code, the Securities and Exchange 

Commission and any party in interest who requests in writing a 

copy of the statement or plan. Objections to the disclosure statement shall be filed and served on the debtor, the trustee, any committee appointed under the Code, and any other entity designated 

by the court, at any time before the disclosure statement is approved or by an earlier date as the court may fix. In a chapter 11 

reorganization case, every notice, plan, disclosure statement, and 

objection required to be served or mailed pursuant to this subdivision shall be transmitted to the United States trustee within the 

time provided in this subdivision. 

(b) DETERMINATION ON DISCLOSURE STATEMENT. Following the 

hearing the court shall determine whether the disclosure statement should be approved. 

(c) DATES FIXED FOR VOTING ON PLAN AND CONFIRMATION. On or 

before approval of the disclosure statement, the court shall fix a 

time within which the holders of claims and interests may accept 

or reject the plan and may fix a date for the hearing on confirmation. 

(d) TRANSMISSION AND NOTICE TO UNITED STATES TRUSTEE, CREDITORS, AND EQUITY SECURITY HOLDERS. Upon approval of a disclosure statement,—1 except to the extent that the court orders 

otherwise with respect to one or more unimpaired classes of creditors or equity security holders—the debtor in possession, trustee, 

proponent of the plan, or clerk as the court orders shall mail to 

all creditors and equity security holders, and in a chapter 11 reorganization case shall transmit to the United States trustee, 

(1) the plan or a court-approved summary of the plan; 

(2) the disclosure statement approved by the court; 

(3) notice of the time within which acceptances and rejections of the plan may be filed; and 

(4) any other information as the court may direct, including 

any court opinion approving the disclosure statement or a 

court-approved summary of the opinion. 

In addition, notice of the time fixed for filing objections and the 

hearing on confirmation shall be mailed to all creditors and equity security holders in accordance with Rule 2002(b), and a form 

of ballot conforming to the appropriate Official Form shall be 

mailed to creditors and equity security holders entitled to vote on 

the plan. If the court opinion is not transmitted or only a summary of the plan is transmitted, the court opinion or the plan 

shall be provided on request of a party in interest at the plan proponent’s expense. If the court orders that the disclosure statement 

and the plan or a summary of the plan shall not be mailed to any 

unimpaired class, notice that the class is designated in the plan 

as unimpaired and notice of the name and address of the person 

from whom the plan or summary of the plan and disclosure statement may be obtained upon request and at the plan proponent’s 

expense, shall be mailed to members of the unimpaired class together with the notice of the time fixed for filing objections to 

and the hearing on confirmation. For the purposes of this subdivision, creditors and equity security holders shall include holders of 
Rule 3017.1 FEDERAL RULES OF BANKRUPTCY PROCEDURE 56 

stock, bonds, debentures, notes, and other securities of record on 

the date the order approving the disclosure statement is entered 

or another date fixed by the court, for cause, after notice and a 

hearing. 

(e) TRANSMISSION TO BENEFICIAL HOLDERS OF SECURITIES. At the 

hearing held pursuant to subdivision (a) of this rule, the court 

shall consider the procedures for transmitting the documents and 

information required by subdivision (d) of this rule to beneficial 

holders of stock, bonds, debentures, notes, and other securities, 

determine the adequacy of the procedures, and enter any orders 

the court deems appropriate. 

(f) NOTICE AND TRANSMISSION OF DOCUMENTS TO ENTITIES SUBJECT

TO AN INJUNCTION UNDER A PLAN. If a plan provides for an injunction against conduct not otherwise enjoined under the Code and 

an entity that would be subject to the injunction is not a creditor 

or equity security holder, at the hearing held under Rule 3017(a), 

the court shall consider procedures for providing the entity with: 

(1) at least 28 days’ notice of the time fixed for filing objections and the hearing on confirmation of the plan containing 

the information described in Rule 2002(c)(3); and 

(2) to the extent feasible, a copy of the plan and disclosure 

statement. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Apr. 11, 1997, eff. Dec. 1, 1997; Apr. 23, 2001, eff. Dec. 1, 2001; 

Mar. 26, 2009, eff. Dec. 1, 2009.) 

Rule 3017.1. Court Consideration of Disclosure Statement in a 

Small Business Case or in a Case Under Subchapter V of Chapter 11 

(a) CONDITIONAL APPROVAL OF DISCLOSURE STATEMENT. In a 

small business case or in a case under subchapter V of chapter 11 

in which the court has ordered that § 1125 applies, the court may, 

on application of the plan proponent or on its own initiative, conditionally approve a disclosure statement filed in accordance with 

Rule 3016. On or before conditional approval of the disclosure 

statement, the court shall: 

(1) fix a time within which the holders of claims and interests may accept or reject the plan; 

(2) fix a time for filing objections to the disclosure statement; 

(3) fix a date for the hearing on final approval of the disclosure statement to be held if a timely objection is filed; and 

(4) fix a date for the hearing on confirmation. 

(b) APPLICATION OF RULE 3017. Rule 3017(a), (b), (c), and (e) do not 

apply to a conditionally approved disclosure statement. Rule 

3017(d) applies to a conditionally approved disclosure statement, 

except that conditional approval is considered approval of the disclosure statement for the purpose of applying Rule 3017(d). 

(c) FINAL APPROVAL. 

(1) Notice. Notice of the time fixed for filing objections and 

the hearing to consider final approval of the disclosure statement shall be given in accordance with Rule 2002 and may be 

combined with notice of the hearing on confirmation of the 

plan. 
57 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 3018 

(2) Objections. Objections to the disclosure statement shall be 

filed, transmitted to the United States trustee, and served on 

the debtor, the trustee, any committee appointed under the 

Code and any other entity designated by the court at any time 

before final approval of the disclosure statement or by an earlier date as the court may fix. 

(3) Hearing. If a timely objection to the disclosure statement 

is filed, the court shall hold a hearing to consider final approval before or combined with the hearing on confirmation of 

the plan. 

(Added Apr. 11, 1997, eff. Dec. 1, 1997; amended Apr. 23, 2008, eff. 

Dec. 1, 2008; Apr. 11, 2022, eff. Dec. 1, 2022.) 

Rule 3017.2. Fixing of Dates by the Court in Subchapter V Cases 

in Which There Is No Disclosure Statement 

In a case under subchapter V of chapter 11 in which § 1125 does 

not apply, the court shall: 

(a) fix a time within which the holders of claims and interests may accept or reject the plan; 

(b) fix a date on which an equity security holder or creditor 

whose claim is based on a security must be the holder of 

record of the security in order to be eligible to accept or reject 

the plan; 

(c) fix a date for the hearing on confirmation; and 

(d) fix a date for transmitting the plan, notice of the time 

within which the holders of claims and interests may accept 

or reject it, and notice of the date for the hearing on confirmation. 

(Added Apr. 11, 2022, eff. Dec. 1, 2022.) 

Rule 3018. Acceptance or Rejection of Plan in a Chapter 9 Municipality or a Chapter 11 Reorganization Case 

(a) ENTITIES ENTITLED TO ACCEPT OR REJECT PLAN; TIME FOR ACCEPTANCE OR REJECTION. A plan may be accepted or rejected in accordance with § 1126 of the Code within the time fixed by the court 

pursuant to Rule 3017, 3017.1, or 3017.2. Subject to subdivision (b) 

of this rule, an equity security holder or creditor whose claim is 

based on a security of record shall not be entitled to accept or reject a plan unless the equity security holder or creditor is the 

holder of record of the security on the date the order approving 

the disclosure statement is entered or on another date fixed by 

the court under Rule 3017.2, or fixed for cause after notice and a 

hearing. For cause shown, the court after notice and hearing may 

permit a creditor or equity security holder to change or withdraw 

an acceptance or rejection. Notwithstanding objection to a claim 

or interest, the court after notice and hearing may temporarily 

allow the claim or interest in an amount which the court deems 

proper for the purpose of accepting or rejecting a plan. 

(b) ACCEPTANCES OR REJECTIONS OBTAINED BEFORE PETITION. An 

equity security holder or creditor whose claim is based on a security of record who accepted or rejected the plan before the commencement of the case shall not be deemed to have accepted or rejected the plan pursuant to § 1126(b) of the Code unless the equity 

security holder or creditor was the holder of record of the security 
Rule 3019 FEDERAL RULES OF BANKRUPTCY PROCEDURE 58 

on the date specified in the solicitation of such acceptance or rejection for the purposes of such solicitation. A holder of a claim 

or interest who has accepted or rejected a plan before the commencement of the case under the Code shall not be deemed to have 

accepted or rejected the plan if the court finds after notice and 

hearing that the plan was not transmitted to substantially all 

creditors and equity security holders of the same class, that an 

unreasonably short time was prescribed for such creditors and equity security holders to accept or reject the plan, or that the solicitation was not in compliance with § 1126(b) of the Code. 

(c) FORM OF ACCEPTANCE OR REJECTION. An acceptance or rejection shall be in writing, identify the plan or plans accepted or rejected, be signed by the creditor or equity security holder or an 

authorized agent, and conform to the appropriate Official Form. If 

more than one plan is transmitted pursuant to Rule 3017, an acceptance or rejection may be filed by each creditor or equity security holder for any number of plans transmitted and if acceptances are filed for more than one plan, the creditor or equity security holder may indicate a preference or preferences among the 

plans so accepted. 

(d) ACCEPTANCE OR REJECTION BY PARTIALLY SECURED CREDITOR. 

A creditor whose claim has been allowed in part as a secured 

claim and in part as an unsecured claim shall be entitled to accept 

or reject a plan in both capacities. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Apr. 22, 1993, eff. Aug. 1, 1993; Apr. 11, 1997, eff. Dec. 1, 1997; 

Apr. 11, 2022, eff. Dec. 1, 2022.) 

Rule 3019. Modification of Accepted Plan in a Chapter 9 Municipality or a Chapter 11 Reorganization Case 

(a) MODIFICATION OF PLAN BEFORE CONFIRMATION. In a chapter 9 

or chapter 11 case, after a plan has been accepted and before its 

confirmation, the proponent may file a modification of the plan. 

If the court finds after hearing on notice to the trustee, any committee appointed under the Code, and any other entity designated 

by the court that the proposed modification does not adversely 

change the treatment of the claim of any creditor or the interest 

of any equity security holder who has not accepted in writing the 

modification, it shall be deemed accepted by all creditors and equity security holders who have previously accepted the plan. 

(b) MODIFICATION OF PLAN AFTER CONFIRMATION IN INDIVIDUAL

DEBTOR CASE. If the debtor is an individual, a request to modify 

the plan under § 1127(e) of the Code is governed by Rule 9014. The 

request shall identify the proponent and shall be filed together 

with the proposed modification. The clerk, or some other person 

as the court may direct, shall give the debtor, the trustee, and all 

creditors not less than 21 days’ notice by mail of the time fixed 

to file objections and, if an objection is filed, the hearing to consider the proposed modification, unless the court orders otherwise 

with respect to creditors who are not affected by the proposed 

modification. A copy of the notice shall be transmitted to the 

United States trustee, together with a copy of the proposed modification. Any objection to the proposed modification shall be filed 

and served on the debtor, the proponent of the modification, the 
59 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 3020 

trustee, and any other entity designated by the court, and shall 

be transmitted to the United States trustee. 

(c) MODIFICATION OF PLAN AFTER CONFIRMATION IN A SUBCHAPTER

V CASE. In a case under subchapter V of chapter 11, a request to 

modify the plan under § 1193(b) or (c) of the Code is governed by 

Rule 9014, and the provisions of this Rule 3019(b) apply. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 22, 1993, eff. Aug. 

1, 1993; Apr. 23, 2008, eff. Dec. 1, 2008; Mar. 26, 2009, eff. Dec. 1, 2009; 

Apr. 11, 2022, eff. Dec. 1, 2022.) 

Rule 3020. Deposit; Confirmation of Plan in a Chapter 9 Municipality or Chapter 11 Reorganization Case 

(a) DEPOSIT. In a chapter 11 case, prior to entry of the order confirming the plan, the court may order the deposit with the trustee 

or debtor in possession of the consideration required by the plan 

to be distributed on confirmation. Any money deposited shall be 

kept in a special account established for the exclusive purpose of 

making the distribution. 

(b) OBJECTION TO AND HEARING ON CONFIRMATION IN A CHAPTER 9 

OR CHAPTER 11 CASE. 

(1) Objection. An objection to confirmation of the plan shall 

be filed and served on the debtor, the trustee, the proponent 

of the plan, any committee appointed under the Code, and any 

other entity designated by the court, within a time fixed by 

the court. Unless the case is a chapter 9 municipality case, a 

copy of every objection to confirmation shall be transmitted 

by the objecting party to the United States trustee within the 

time fixed for filing objections. An objection to confirmation 

is governed by Rule 9014. 

(2) Hearing. The court shall rule on confirmation of the plan 

after notice and hearing as provided in Rule 2002. If no objection is timely filed, the court may determine that the plan has 

been proposed in good faith and not by any means forbidden by 

law without receiving evidence on such issues. 

(c) ORDER OF CONFIRMATION. 

(1) The order of confirmation shall conform to the appropriate Official Form. If the plan provides for an injunction 

against conduct not otherwise enjoined under the Code, the 

order of confirmation shall (1) describe in reasonable detail all 

acts enjoined; (2) be specific in its terms regarding the injunction; and (3) identify the entities subject to the injunction. 

(2) Notice of entry of the order of confirmation shall be 

mailed promptly to the debtor, the trustee, creditors, equity 

security holders, other parties in interest, and, if known, to 

any identified entity subject to an injunction provided for in 

the plan against conduct not otherwise enjoined under the 

Code. 

(3) Except in a chapter 9 municipality case, notice of entry 

of the order of confirmation shall be transmitted to the United 

States trustee as provided in Rule 2002(k). 

(d) RETAINED POWER. Notwithstanding the entry of the order of 

confirmation, the court may issue any other order necessary to 

administer the estate. 
Rule 3021 FEDERAL RULES OF BANKRUPTCY PROCEDURE 60 

(e) STAY OF CONFIRMATION ORDER. An order confirming a plan is 

stayed until the expiration of 14 days after the entry of the order, 

unless the court orders otherwise. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Apr. 22, 1993, eff. Aug. 1, 1993; Apr. 26, 1999, eff. Dec. 1, 1999; 

Apr. 23, 2001, eff. Dec. 1, 2001; Mar. 26, 2009, eff. Dec. 1, 2009.) 

Rule 3021. Distribution Under Plan 

Except as provided in Rule 3020(e), after a plan is confirmed, distribution shall be made to creditors whose claims have been allowed, to interest holders whose interests have not been disallowed, and to indenture trustees who have filed claims under 

Rule 3003(c)(5) that have been allowed. For purposes of this rule, 

creditors include holders of bonds, debentures, notes, and other 

debt securities, and interest holders include the holders of stock 

and other equity securities, of record at the time of commencement of distribution, unless a different time is fixed by the plan 

or the order confirming the plan. 

(As amended Apr. 11, 1997, eff. Dec. 1, 1997; Apr. 26, 1999, eff. Dec. 

1, 1999.) 

Rule 3022. Final Decree in Chapter 11 Reorganization Case 

After an estate is fully administered in a chapter 11 reorganization case, the court, on its own motion or on motion of a party 

in interest, shall enter a final decree closing the case. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991.) 

PART IV—THE DEBTOR: DUTIES AND BENEFITS 

Rule 4001. Relief from Automatic Stay; Prohibiting or Conditioning 

the Use, Sale, or Lease of Property; Use of Cash Collateral; Obtaining Credit; Agreements 

(a) RELIEF FROM STAY; PROHIBITING OR CONDITIONING THE USE, 

SALE, OR LEASE OF PROPERTY. 

(1) Motion. A motion for relief from an automatic stay provided by the Code or a motion to prohibit or condition the use, 

sale, or lease of property pursuant to § 363(e) shall be made in 

accordance with Rule 9014 and shall be served on any committee elected pursuant to § 705 or appointed pursuant to § 1102 of 

the Code or its authorized agent, or, if the case is a chapter 

9 municipality case or a chapter 11 reorganization case and no 

committee of unsecured creditors has been appointed pursuant 

to § 1102, on the creditors included on the list filed pursuant to 

Rule 1007(d), and on such other entities as the court may direct. 

(2) Ex Parte Relief. Relief from a stay under § 362(a) or a request to prohibit or condition the use, sale, or lease of property pursuant to § 363(e) may be granted without prior notice 

only if (A) it clearly appears from specific facts shown by affidavit or by a verified motion that immediate and irreparable 

injury, loss, or damage will result to the movant before the 

adverse party or the attorney for the adverse party can be 
61 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 4001 

heard in opposition, and (B) the movant’s attorney certifies to 

the court in writing the efforts, if any, which have been made 

to give notice and the reasons why notice should not be required. The party obtaining relief under this subdivision and 

§ 362(f) or § 363(e) shall immediately give oral notice thereof to 

the trustee or debtor in possession and to the debtor and forthwith mail or otherwise transmit to such adverse party or parties a copy of the order granting relief. On two days notice to 

the party who obtained relief from the stay without notice or 

on shorter notice to that party as the court may prescribe, the 

adverse party may appear and move reinstatement of the stay 

or reconsideration of the order prohibiting or conditioning the 

use, sale, or lease of property. In that event, the court shall 

proceed expeditiously to hear and determine the motion. 

(3) Stay of Order. An order granting a motion for relief from 

an automatic stay made in accordance with Rule 4001(a)(1) is 

stayed until the expiration of 14 days after the entry of the 

order, unless the court orders otherwise. 

(b) USE OF CASH COLLATERAL. 

(1) Motion; Service. 

(A) Motion. A motion for authority to use cash collateral 

shall be made in accordance with Rule 9014 and shall be accompanied by a proposed form of order. 

(B) Contents. The motion shall consist of or (if the motion is more than five pages in length) begin with a concise 

statement of the relief requested, not to exceed five pages, 

that lists or summarizes, and sets out the location within 

the relevant documents of, all material provisions, including: 

(i) the name of each entity with an interest in the 

cash collateral; 

(ii) the purposes for the use of the cash collateral; 

(iii) the material terms, including duration, of the 

use of the cash collateral; and 

(iv) any liens, cash payments, or other adequate protection that will be provided to each entity with an interest in the cash collateral or, if no additional adequate protection is proposed, an explanation of why 

each entity’s interest is adequately protected. 

(C) Service. The motion shall be served on: (1) any entity 

with an interest in the cash collateral; (2) any committee 

elected under § 705 or appointed under § 1102 of the Code, or 

its authorized agent, or, if the case is a chapter 9 municipality case or a chapter 11 reorganization case and no committee of unsecured creditors has been appointed under 

§ 1102, the creditors included on the list filed under Rule 

1007(d); and (3) any other entity that the court directs. 

(2) Hearing. The court may commence a final hearing on a 

motion for authorization to use cash collateral no earlier than 

14 days after service of the motion. If the motion so requests, 

the court may conduct a preliminary hearing before such 14- 

day period expires, but the court may authorize the use of 

only that amount of cash collateral as is necessary to avoid 

immediate and irreparable harm to the estate pending a final 

hearing. 
Rule 4001 FEDERAL RULES OF BANKRUPTCY PROCEDURE 62 

(3) Notice. Notice of hearing pursuant to this subdivision 

shall be given to the parties on whom service of the motion is 

required by paragraph (1) of this subdivision and to such other 

entities as the court may direct. 

(c) OBTAINING CREDIT. 

(1) Motion; Service. 

(A) Motion. A motion for authority to obtain credit shall 

be made in accordance with Rule 9014 and shall be accompanied by a copy of the credit agreement and a proposed 

form of order. 

(B) Contents. The motion shall consist of or (if the motion is more than five pages in length) begin with a concise 

statement of the relief requested, not to exceed five pages, 

that lists or summarizes, and sets out the location within 

the relevant documents of, all material provisions of the 

proposed credit agreement and form of order, including interest rate, maturity, events of default, liens, borrowing 

limits, and borrowing conditions. If the proposed credit 

agreement or form of order includes any of the provisions 

listed below, the concise statement shall also: briefly list 

or summarize each one; identify its specific location in the 

proposed agreement and form of order; and identify any 

such provision that is proposed to remain in effect if interim approval is granted, but final relief is denied, as provided under Rule 4001(c)(2). In addition, the motion shall 

describe the nature and extent of each provision listed 

below: 

(i) a grant of priority or a lien on property of the estate under § 364(c) or (d); 

(ii) the providing of adequate protection or priority 

for a claim that arose before the commencement of the 

case, including the granting of a lien on property of 

the estate to secure the claim, or the use of property 

of the estate or credit obtained under § 364 to make 

cash payments on account of the claim; 

(iii) a determination of the validity, enforceability, 

priority, or amount of a claim that arose before the 

commencement of the case, or of any lien securing the 

claim; 

(iv) a waiver or modification of Code provisions or 

applicable rules relating to the automatic stay; 

(v) a waiver or modification of any entity’s authority 

or right to file a plan, seek an extension of time in 

which the debtor has the exclusive right to file a plan, 

request the use of cash collateral under § 363(c), or request authority to obtain credit under § 364; 

(vi) the establishment of deadlines for filing a plan of 

reorganization, for approval of a disclosure statement, 

for a hearing on confirmation, or for entry of a confirmation order; 

(vii) a waiver or modification of the applicability of 

nonbankruptcy law relating to the perfection of a lien 

on property of the estate, or on the foreclosure or 

other enforcement of the lien; 
63 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 4001 

1So in original. Probably should be only one section symbol. 

(viii) a release, waiver, or limitation on any claim or 

other cause of action belonging to the estate or the 

trustee, including any modification of the statute of 

limitations or other deadline to commence an action; 

(ix) the indemnification of any entity; 

(x) a release, waiver, or limitation of any right under 

§ 506(c); or 

(xi) the granting of a lien on any claim or cause of 

action arising under §§ 544,1 545, 547, 548, 549, 553(b), 

723(a), or 724(a). 

(C) Service. The motion shall be served on: (1) any committee elected under § 705 or appointed under § 1102 of the 

Code, or its authorized agent, or, if the case is a chapter 

9 municipality case or a chapter 11 reorganization case and 

no committee of unsecured creditors has been appointed 

under § 1102, on the creditors included on the list filed 

under Rule 1007(d); and (2) on any other entity that the 

court directs. 

(2) Hearing. The court may commence a final hearing on a 

motion for authority to obtain credit no earlier than 14 days 

after service of the motion. If the motion so requests, the 

court may conduct a hearing before such 14-day period expires, 

but the court may authorize the obtaining of credit only to 

the extent necessary to avoid immediate and irreparable harm 

to the estate pending a final hearing. 

(3) Notice. Notice of hearing pursuant to this subdivision 

shall be given to the parties on whom service of the motion is 

required by paragraph (1) of this subdivision and to such other 

entities as the court may direct. 

(4) Inapplicability in a Chapter 13 Case. This subdivision (c) 

does not apply in a chapter 13 case. 

(d) AGREEMENT RELATING TO RELIEF FROM THE AUTOMATIC STAY, 

PROHIBITING OR CONDITIONING THE USE, SALE, OR LEASE OF PROPERTY, PROVIDING ADEQUATE PROTECTION, USE OF CASH COLLATERAL, 

AND OBTAINING CREDIT. 

(1) Motion; Service. 

(A) Motion. A motion for approval of any of the following 

shall be accompanied by a copy of the agreement and a 

proposed form of order: 

(i) an agreement to provide adequate protection; 

(ii) an agreement to prohibit or condition the use, 

sale, or lease of property; 

(iii) an agreement to modify or terminate the stay 

provided for in § 362; 

(iv) an agreement to use cash collateral; or 

(v) an agreement between the debtor and an entity 

that has a lien or interest in property of the estate 

pursuant to which the entity consents to the creation 

of a lien senior or equal to the entity’s lien or interest 

in such property. 

(B) Contents. The motion shall consist of or (if the motion is more than five pages in length) begin with a concise 

statement of the relief requested, not to exceed five pages, 
Rule 4002 FEDERAL RULES OF BANKRUPTCY PROCEDURE 64 

that lists or summarizes, and sets out the location within 

the relevant documents of, all material provisions of the 

agreement. In addition, the concise statement shall briefly 

list or summarize, and identify the specific location of, 

each provision in the proposed form of order, agreement, 

or other document of the type listed in subdivision 

(c)(1)(B). The motion shall also describe the nature and extent of each such provision. 

(C) Service. The motion shall be served on: (1) any committee elected under § 705 or appointed under § 1102 of the 

Code, or its authorized agent, or, if the case is a chapter 

9 municipality case or a chapter 11 reorganization case and 

no committee of unsecured creditors has been appointed 

under § 1102, on the creditors included on the list filed 

under Rule 1007(d); and (2) on any other entity the court 

directs. 

(2) Objection. Notice of the motion and the time within which 

objections may be filed and served on the debtor in possession 

or trustee shall be mailed to the parties on whom service is required by paragraph (1) of this subdivision and to such other 

entities as the court may direct. Unless the court fixes a different time, objections may be filed within 14 days of the mailing of the notice. 

(3) Disposition; Hearing. If no objection is filed, the court may 

enter an order approving or disapproving the agreement without conducting a hearing. If an objection is filed or if the 

court determines a hearing is appropriate, the court shall hold 

a hearing on no less than seven days’ notice to the objector, 

the movant, the parties on whom service is required by paragraph (1) of this subdivision and such other entities as the 

court may direct. 

(4) Agreement in Settlement of Motion. The court may direct 

that the procedures prescribed in paragraphs (1), (2), and (3) of 

this subdivision shall not apply and the agreement may be approved without further notice if the court determines that a 

motion made pursuant to subdivisions (a), (b), or (c) of this 

rule was sufficient to afford reasonable notice of the material 

provisions of the agreement and opportunity for a hearing. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Apr. 26, 1999, eff. Dec. 1, 1999; Apr. 30, 2007, eff. Dec. 1, 2007; 

Mar. 26, 2009, eff. Dec. 1, 2009; Apr. 28, 2010, eff. Dec. 1, 2010; Apr. 

25, 2019, eff. Dec. 1, 2019.) 

Rule 4002. Duties of Debtor 

(a) IN GENERAL. In addition to performing other duties prescribed by the Code and rules, the debtor shall: 

(1) attend and submit to an examination at the times ordered by the court; 

(2) attend the hearing on a complaint objecting to discharge 

and testify, if called as a witness; 

(3) inform the trustee immediately in writing as to the location of real property in which the debtor has an interest and 

the name and address of every person holding money or property subject to the debtor’s withdrawal or order if a schedule 

of property has not yet been filed pursuant to Rule 1007; 
65 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 4003 

(4) cooperate with the trustee in the preparation of an inventory, the examination of proofs of claim, and the administration of the estate; and 

(5) file a statement of any change of the debtor’s address. 

(b) INDIVIDUAL DEBTOR’S DUTY TO PROVIDE DOCUMENTATION. 

(1) Personal Identification. Every individual debtor shall bring 

to the meeting of creditors under § 341: 

(A) a picture identification issued by a governmental 

unit, or other personal identifying information that establishes the debtor’s identity; and 

(B) evidence of social-security number(s), or a written 

statement that such documentation does not exist. 

(2) Financial Information. Every individual debtor shall bring 

to the meeting of creditors under § 341, and make available to 

the trustee, the following documents or copies of them, or provide a written statement that the documentation does not 

exist or is not in the debtor’s possession: 

(A) evidence of current income such as the most recent 

payment advice; 

(B) unless the trustee or the United States trustee instructs otherwise, statements for each of the debtor’s depository and investment accounts, including checking, 

savings, and money market accounts, mutual funds and 

brokerage accounts for the time period that includes the 

date of the filing of the petition; and 

(C) documentation of monthly expenses claimed by the 

debtor if required by § 707(b)(2)(A) or (B). 

(3) Tax Return. At least 7 days before the first date set for 

the meeting of creditors under § 341, the debtor shall provide to 

the trustee a copy of the debtor’s federal income tax return for 

the most recent tax year ending immediately before the commencement of the case and for which a return was filed, including any attachments, or a transcript of the tax return, or 

provide a written statement that the documentation does not 

exist. 

(4) Tax Returns Provided to Creditors. If a creditor, at least 14 

days before the first date set for the meeting of creditors 

under § 341, requests a copy of the debtor’s tax return that is 

to be provided to the trustee under subdivision (b)(3), the debtor, at least 7 days before the first date set for the meeting of 

creditors under § 341, shall provide to the requesting creditor a 

copy of the return, including any attachments, or a transcript 

of the tax return, or provide a written statement that the documentation does not exist. 

(5) Confidentiality of Tax Information. The debtor’s obligation 

to provide tax returns under Rule 4002(b)(3) and (b)(4) is subject to procedures for safeguarding the confidentiality of tax 

information established by the Director of the Administrative 

Office of the United States Courts. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 23, 2008, eff. Dec. 

1, 2008; Mar. 26, 2009, eff. Dec. 1, 2009.) 

Rule 4003. Exemptions 

(a) CLAIM OF EXEMPTIONS. A debtor shall list the property 

claimed as exempt under § 522 of the Code on the schedule of assets 
Rule 4004 FEDERAL RULES OF BANKRUPTCY PROCEDURE 66 

required to be filed by Rule 1007. If the debtor fails to claim exemptions or file the schedule within the time specified in Rule 

1007, a dependent of the debtor may file the list within 30 days 

thereafter. 

(b) OBJECTING TO A CLAIM OF EXEMPTIONS. 

(1) Except as provided in paragraphs (2) and (3), a party in interest may file an objection to the list of property claimed as 

exempt within 30 days after the meeting of creditors held 

under § 341(a) is concluded or within 30 days after any amendment to the list or supplemental schedules is filed, whichever 

is later. The court may, for cause, extend the time for filing 

objections if, before the time to object expires, a party in interest files a request for an extension. 

(2) The trustee may file an objection to a claim of exemption 

at any time prior to one year after the closing of the case if 

the debtor fraudulently asserted the claim of exemption. The 

trustee shall deliver or mail the objection to the debtor and 

the debtor’s attorney, and to any person filing the list of exempt property and that person’s attorney. 

(3) An objection to a claim of exemption based on § 522(q) 

shall be filed before the closing of the case. If an exemption is 

first claimed after a case is reopened, an objection shall be 

filed before the reopened case is closed. 

(4) A copy of any objection shall be delivered or mailed to 

the trustee, the debtor and the debtor’s attorney, and the person filing the list and that person’s attorney. 

(c) BURDEN OF PROOF. In any hearing under this rule, the objecting party has the burden of proving that the exemptions are not 

properly claimed. After hearing on notice, the court shall determine the issues presented by the objections. 

(d) AVOIDANCE BY DEBTOR OF TRANSFERS OF EXEMPT PROPERTY. 

A proceeding under § 522(f) to avoid a lien or other transfer of 

property exempt under the Code shall be commenced by motion in 

the manner provided by Rule 9014, or by serving a chapter 12 or 

chapter 13 plan on the affected creditors in the manner provided 

by Rule 7004 for service of a summons and complaint. Notwithstanding the provisions of subdivision (b), a creditor may object to 

a request under § 522(f) by challenging the validity of the exemption asserted to be impaired by the lien. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Apr. 17, 2000, eff. Dec. 1, 2000; Apr. 23, 2008, eff. Dec. 1, 2008; 

Apr. 27, 2017, eff. Dec. 1, 2017.) 

Rule 4004. Grant or Denial of Discharge 

(a) TIME FOR OBJECTING TO DISCHARGE; NOTICE OF TIME FIXED. In 

a chapter 7 case, a complaint, or a motion under § 727(a)(8) or (a)(9) 

of the Code, objecting to the debtor’s discharge shall be filed no 

later than 60 days after the first date set for the meeting of creditors under § 341(a). In a chapter 11 case, the complaint shall be 

filed no later than the first date set for the hearing on confirmation. In a chapter 13 case, a motion objecting to the debtor’s discharge under § 1328(f) shall be filed no later than 60 days after the 

first date set for the meeting of creditors under § 341(a). At least 

28 days’ notice of the time so fixed shall be given to the United 
67 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 4004 

States trustee and all creditors as provided in Rule 2002(f) and (k) 

and to the trustee and the trustee’s attorney. 

(b) EXTENSION OF TIME. 

(1) On motion of any party in interest, after notice and hearing, the court may for cause extend the time to object to discharge. Except as provided in subdivision (b)(2), the motion 

shall be filed before the time has expired. 

(2) A motion to extend the time to object to discharge may 

be filed after the time for objection has expired and before discharge is granted if (A) the objection is based on facts that, if 

learned after the discharge, would provide a basis for revocation under § 727(d) of the Code, and (B) the movant did not have 

knowledge of those facts in time to permit an objection. The 

motion shall be filed promptly after the movant discovers the 

facts on which the objection is based. 

(c) GRANT OF DISCHARGE. 

(1) In a chapter 7 case, on expiration of the times fixed for 

objecting to discharge and for filing a motion to dismiss the 

case under Rule 1017(e), the court shall forthwith grant the 

discharge, except that the court shall not grant the discharge 

if: 

(A) the debtor is not an individual; 

(B) a complaint, or a motion under § 727(a)(8) or (a)(9), objecting to the discharge has been filed and not decided in 

the debtor’s favor; 

(C) the debtor has filed a waiver under § 727(a)(10); 

(D) a motion to dismiss the case under § 707 is pending; 

(E) a motion to extend the time for filing a complaint 

objecting to the discharge is pending; 

(F) a motion to extend the time for filing a motion to 

dismiss the case under Rule 1017(e)(1) is pending; 

(G) the debtor has not paid in full the filing fee prescribed by 28 U.S.C. § 1930(a) and any other fee prescribed 

by the Judicial Conference of the United States under 28 

U.S.C. § 1930(b) that is payable to the clerk upon the commencement of a case under the Code, unless the court has 

waived the fees under 28 U.S.C. § 1930(f); 

(H) the debtor has not filed with the court a statement 

of completion of a course concerning personal financial 

management if required by Rule 1007(b)(7); 

(I) a motion to delay or postpone discharge under 

§ 727(a)(12) is pending; 

(J) a motion to enlarge the time to file a reaffirmation 

agreement under Rule 4008(a) is pending; 

(K) a presumption is in effect under § 524(m) that a reaffirmation agreement is an undue hardship and the court 

has not concluded a hearing on the presumption; or 

(L) a motion is pending to delay discharge because the 

debtor has not filed with the court all tax documents required to be filed under § 521(f). 

(2) Notwithstanding Rule 4004(c)(1), on motion of the debtor, 

the court may defer the entry of an order granting a discharge 

for 30 days and, on motion within that period, the court may 

defer entry of the order to a date certain. 
Rule 4005 FEDERAL RULES OF BANKRUPTCY PROCEDURE 68 

1So in original. Probably should be only one section symbol. 

(3) If the debtor is required to file a statement under Rule 

1007(b)(8), the court shall not grant a discharge earlier than 30 

days after the statement is filed. 

(4) In a chapter 11 case in which the debtor is an individual, 

or a chapter 13 case, the court shall not grant a discharge if 

the debtor has not filed any statement required by Rule 

1007(b)(7). 

(d) APPLICABILITY OF RULES IN PART VII AND RULE 9014. An objection to discharge is governed by Part VII of these rules, except 

that an objection to discharge under §§ 727(a)(8),1 (a)(9), or 1328(f) 

is commenced by motion and governed by Rule 9014. 

(e) ORDER OF DISCHARGE. An order of discharge shall conform to 

the appropriate Official Form. 

(f) REGISTRATION IN OTHER DISTRICTS. An order of discharge that 

has become final may be registered in any other district by filing 

a certified copy of the order in the office of the clerk of that district. When so registered the order of discharge shall have the 

same effect as an order of the court of the district where registered. 

(g) NOTICE OF DISCHARGE. The clerk shall promptly mail a copy 

of the final order of discharge to those specified in subdivision (a) 

of this rule. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Apr. 23, 1996, eff. Dec. 1, 1996; Apr. 26, 1999, eff. Dec. 1, 1999; 

Apr. 17, 2000, eff. Dec. 1, 2000; Apr. 29, 2002, eff. Dec. 1, 2002; Apr. 

23, 2008, eff. Dec. 1, 2008; Mar. 26, 2009, eff. Dec. 1, 2009; Apr. 28, 2010, 

eff. Dec. 1, 2010; Apr. 26, 2011, eff. Dec. 1, 2011; Apr. 16, 2013, eff. Dec. 

1, 2013.) 

Rule 4005. Burden of Proof in Objecting to Discharge 

At the trial on a complaint objecting to a discharge, the plaintiff has the burden of proving the objection. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987.) 

Rule 4006. Notice of No Discharge 

If an order is entered: denying a discharge; revoking a discharge; 

approving a waiver of discharge; or, in the case of an individual 

debtor, closing the case without the entry of a discharge, the 

clerk shall promptly notify all parties in interest in the manner 

provided by Rule 2002. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 23, 2008, eff. Dec. 

1, 2008.) 

Rule 4007. Determination of Dischargeability of a Debt 

(a) PERSONS ENTITLED TO FILE COMPLAINT. A debtor or any creditor may file a complaint to obtain a determination of the dischargeability of any debt. 

(b) TIME FOR COMMENCING PROCEEDING OTHER THAN UNDER

§ 523(c) OF THE CODE. A complaint other than under § 523(c) may be 

filed at any time. A case may be reopened without payment of an 

additional filing fee for the purpose of filing a complaint to obtain 

a determination under this rule. 
69 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 5001 

(c) TIME FOR FILING COMPLAINT UNDER § 523(c) IN A CHAPTER 7 

LIQUIDATION, CHAPTER 11 REORGANIZATION, CHAPTER 12 FAMILY

FARMER’S DEBT ADJUSTMENT CASE, OR CHAPTER 13 INDIVIDUAL’S

DEBT ADJUSTMENT CASE; NOTICE OF TIME FIXED. Except as otherwise provided in subdivision (d), a complaint to determine the dischargeability of a debt under § 523(c) shall be filed no later than 

60 days after the first date set for the meeting of creditors under 

§ 341(a). The court shall give all creditors no less than 30 days’ notice of the time so fixed in the manner provided in Rule 2002. On 

motion of a party in interest, after hearing on notice, the court 

may for cause extend the time fixed under this subdivision. The 

motion shall be filed before the time has expired. 

(d) TIME FOR FILING COMPLAINT UNDER § 523(a)(6) IN A CHAPTER 13 

INDIVIDUAL’S DEBT ADJUSTMENT CASE; NOTICE OF TIME FIXED. On 

motion by a debtor for a discharge under § 1328(b), the court shall 

enter an order fixing the time to file a complaint to determine the 

dischargeability of any debt under § 523(a)(6) and shall give no less 

than 30 days’ notice of the time fixed to all creditors in the manner provided in Rule 2002. On motion of any party in interest, after 

hearing on notice, the court may for cause extend the time fixed 

under this subdivision. The motion shall be filed before the time 

has expired. 

(e) APPLICABILITY OF RULES IN PART VII. A proceeding commenced by a complaint filed under this rule is governed by Part 

VII of these rules. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Apr. 26, 1999, eff. Dec. 1, 1999; Apr. 23, 2008, eff. Dec. 1, 2008.) 

Rule 4008. Filing of Reaffirmation Agreement; Statement in Support of Reaffirmation Agreement 

(a) FILING OF REAFFIRMATION AGREEMENT. A reaffirmation agreement shall be filed no later than 60 days after the first date set 

for the meeting of creditors under § 341(a) of the Code. The reaffirmation agreement shall be accompanied by a cover sheet, prepared as prescribed by the appropriate Official Form. The court 

may, at any time and in its discretion, enlarge the time to file a 

reaffirmation agreement. 

(b) STATEMENT IN SUPPORT OF REAFFIRMATION AGREEMENT. The 

debtor’s statement required under § 524(k)(6)(A) of the Code shall 

be accompanied by a statement of the total income and expenses 

stated on schedules I and J. If there is a difference between the 

total income and expenses stated on those schedules and the 

statement required under § 524(k)(6)(A), the statement required by 

this subdivision shall include an explanation of the difference. 

(As amended Apr. 30, 1991, eff. Aug. 1, 1991; Apr. 23, 2008, eff. Dec. 

1, 2008; Mar. 26, 2009, eff. Dec. 1, 2009.) 

PART V—COURTS AND CLERKS 

Rule 5001. Courts and Clerks’ Offices 

(a) COURTS ALWAYS OPEN. The courts shall be deemed always 

open for the purpose of filing any pleading or other proper paper, 

issuing and returning process, and filing, making, or entering motions, orders and rules. 
Rule 5002 FEDERAL RULES OF BANKRUPTCY PROCEDURE 70 

(b) TRIALS AND HEARINGS; ORDERS IN CHAMBERS. All trials and 

hearings shall be conducted in open court and so far as convenient 

in a regular court room. Except as otherwise provided in 28 U.S.C. 

§ 152(c), all other acts or proceedings may be done or conducted by 

a judge in chambers and at any place either within or without the 

district; but no hearing, other than one ex parte, shall be conducted outside the district without the consent of all parties affected thereby. 

(c) CLERK’S OFFICE. The clerk’s office with the clerk or a deputy 

in attendance shall be open during business hours on all days except Saturdays, Sundays and the legal holidays listed in Rule 

9006(a). 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Apr. 23, 2008, eff. Dec. 1, 2008.) 

Rule 5002. Restrictions on Approval of Appointments 

(a) APPROVAL OF APPOINTMENT OF RELATIVES PROHIBITED. The 

appointment of an individual as a trustee or examiner pursuant to 

§ 1104 of the Code shall not be approved by the court if the individual is a relative of the bankruptcy judge approving the appointment or the United States trustee in the region in which the case 

is pending. The employment of an individual as an attorney, accountant, appraiser, auctioneer, or other professional person pursuant to §§ 327, 1103, or 1114 shall not be approved by the court if 

the individual is a relative of the bankruptcy judge approving the 

employment. The employment of an individual as attorney, accountant, appraiser, auctioneer, or other professional person pursuant to §§ 327, 1103, or 1114 may be approved by the court if the 

individual is a relative of the United States trustee in the region 

in which the case is pending, unless the court finds that the relationship with the United States trustee renders the employment 

improper under the circumstances of the case. Whenever under 

this subdivision an individual may not be approved for appointment or employment, the individual’s firm, partnership, corporation, or any other form of business association or relationship, 

and all members, associates and professional employees thereof 

also may not be approved for appointment or employment. 

(b) JUDICIAL DETERMINATION THAT APPROVAL OF APPOINTMENT OR

EMPLOYMENT IS IMPROPER. A bankruptcy judge may not approve 

the appointment of a person as a trustee or examiner pursuant to 

§ 1104 of the Code or approve the employment of a person as an attorney, accountant, appraiser, auctioneer, or other professional 

person pursuant to §§ 327, 1103, or 1114 of the Code if that person 

is or has been so connected with such judge or the United States 

trustee as to render the appointment or employment improper. 

(As amended Apr. 29, 1985, eff. Aug. 1, 1985; Apr. 30, 1991, eff. Aug. 

1, 1991.) 

Rule 5003. Records Kept By the Clerk 

(a) BANKRUPTCY DOCKETS. The clerk shall keep a docket in each 

case under the Code and shall enter thereon each judgment, order, 

and activity in that case as prescribed by the Director of the Administrative Office of the United States Courts. The entry of a 
71 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 5003 

judgment or order in a docket shall show the date the entry is 

made. 

(b) CLAIMS REGISTER. The clerk shall keep in a claims register 

a list of claims filed in a case when it appears that there will be 

a distribution to unsecured creditors. 

(c) JUDGMENTS AND ORDERS. The clerk shall keep, in the form 

and manner as the Director of the Administrative Office of the 

United States Courts may prescribe, a correct copy of every final 

judgment or order affecting title to or lien on real property or for 

the recovery of money or property, and any other order which the 

court may direct to be kept. On request of the prevailing party, 

a correct copy of every judgment or order affecting title to or lien 

upon real or personal property or for the recovery of money or 

property shall be kept and indexed with the civil judgments of the 

district court. 

(d) INDEX OF CASES; CERTIFICATE OF SEARCH. The clerk shall keep 

indices of all cases and adversary proceedings as prescribed by the 

Director of the Administrative Office of the United States Courts. 

On request, the clerk shall make a search of any index and papers 

in the clerk’s custody and certify whether a case or proceeding 

has been filed in or transferred to the court or if a discharge has 

been entered in its records. 

(e) REGISTER OF MAILING ADDRESSES OF FEDERAL AND STATE

GOVERNMENTAL UNITS AND CERTAIN TAXING AUTHORITIES. The 

United States or the state or territory in which the court is located may file a statement designating its mailing address. The 

United States, state, territory, or local governmental unit responsible for collecting taxes within the district in which the case is 

pending may also file a statement designating an address for service of requests under § 505(b) of the Code, and the designation shall 

describe where further information concerning additional requirements for filing such requests may be found. The clerk shall keep, 

in the form and manner as the Director of the Administrative Office of the United States Courts may prescribe, a register that includes the mailing addresses designated under the first sentence of 

this subdivision, and a separate register of the addresses designated for the service of requests under § 505(b) of the Code. The 

clerk is not required to include in any single register more than 

one mailing address for each department, agency, or instrumentality of the United States or the state or territory. If more than 

one address for a department, agency, or instrumentality is included in the register, the clerk shall also include information 

that would enable a user of the register to determine the circumstances when each address is applicable, and mailing notice to 

only one applicable address is sufficient to provide effective notice. The clerk shall update the register annually, effective January 2 of each year. The mailing address in the register is conclusively presumed to be a proper address for the governmental unit, 

but the failure to use that mailing address does not invalidate any 

notice that is otherwise effective under applicable law. 

(f) OTHER BOOKS AND RECORDS OF THE CLERK. The clerk shall 

keep any other books and records required by the Director of the 

Administrative Office of the United States Courts. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 17, 2000, eff. Dec. 

1, 2000; Apr. 23, 2008, eff. Dec. 1, 2008.) 
Rule 5004 FEDERAL RULES OF BANKRUPTCY PROCEDURE 72 

1So in original. Probably should be ‘‘circumstance’’. 

Rule 5004. Disqualification 

(a) DISQUALIFICATION OF JUDGE. A bankruptcy judge shall be governed by 28 U.S.C. § 455, and disqualified from presiding over the 

proceeding or contested matter in which the disqualifying circumstances 1 arises or, if appropriate, shall be disqualified from presiding over the case. 

(b) DISQUALIFICATION OF JUDGE FROM ALLOWING COMPENSATION. A 

bankruptcy judge shall be disqualified from allowing compensation to a person who is a relative of the bankruptcy judge or with 

whom the judge is so connected as to render it improper for the 

judge to authorize such compensation. 

(As amended Apr. 29, 1985, eff. Aug. 1, 1985; Mar. 30, 1987, eff. Aug. 

1, 1987.) 

Rule 5005. Filing and Transmittal of Papers 

(a) FILING. 

(1) Place of Filing. The lists, schedules, statements, proofs of 

claim or interest, complaints, motions, applications, objections and other papers required to be filed by these rules, except as provided in 28 U.S.C. § 1409, shall be filed with the clerk 

in the district where the case under the Code is pending. The 

judge of that court may permit the papers to be filed with the 

judge, in which event the filing date shall be noted thereon, 

and they shall be forthwith transmitted to the clerk. The 

clerk shall not refuse to accept for filing any petition or other 

paper presented for the purpose of filing solely because it is 

not presented in proper form as required by these rules or any 

local rules or practices. 

(2) Electronic Filing and Signing. 

(A) By a Represented Entity—Generally Required; Exceptions. An entity represented by an attorney shall file electronically, unless nonelectronic filing is allowed by the 

court for good cause or is allowed or required by local rule. 

(B) By an Unrepresented Individual—When Allowed or Required. An individual not represented by an attorney: 

(i) may file electronically only if allowed by court 

order or by local rule; and 

(ii) may be required to file electronically only by 

court order, or by a local rule that includes reasonable 

exceptions. 

(C) Signing. A filing made through a person’s electronicfiling account and authorized by that person, together 

with that person’s name on a signature block, constitutes 

the person’s signature. 

(D) Same as a Written Paper. A paper filed electronically 

is a written paper for purposes of these rules, the Federal 

Rules of Civil Procedure made applicable by these rules, 

and § 107 of the Code. 

(b) TRANSMITTAL TO THE UNITED STATES TRUSTEE. 

(1) The complaints, notices, motions, applications, objections and other papers required to be transmitted to the 

United States trustee may be sent by filing with the court’s 
73 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 5007 

electronic-filing system in accordance with Rule 9036, unless a 

court order or local rule provides otherwise. 

(2) The entity, other than the clerk, transmitting a paper to 

the United States trustee other than through the court’s electronic-filing system shall promptly file as proof of such transmittal a statement identifying the paper and stating the manner by which and the date on which it was transmitted to the 

United States trustee. 

(3) Nothing in these rules shall require the clerk to transmit 

any paper to the United States trustee if the United States 

trustee requests in writing that the paper not be transmitted. 

(c) ERROR IN FILING OR TRANSMITTAL. A paper intended to be 

filed with the clerk but erroneously delivered to the United States 

trustee, the trustee, the attorney for the trustee, a bankruptcy 

judge, a district judge, the clerk of the bankruptcy appellate 

panel, or the clerk of the district court shall, after the date of its 

receipt has been noted thereon, be transmitted forthwith to the 

clerk of the bankruptcy court. A paper intended to be transmitted 

to the United States trustee but erroneously delivered to the 

clerk, the trustee, the attorney for the trustee, a bankruptcy 

judge, a district judge, the clerk of the bankruptcy appellate 

panel, or the clerk of the district court shall, after the date of its 

receipt has been noted thereon, be transmitted forthwith to the 

United States trustee. In the interest of justice, the court may 

order that a paper erroneously delivered shall be deemed filed 

with the clerk or transmitted to the United States trustee as of 

the date of its original delivery. 

(As amended 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. 12, 2006, eff. Dec. 1, 2006; Apr. 26, 2018, eff. Dec. 1, 2018; Apr. 

11, 2022, eff. Dec. 1, 2022.) 

Rule 5006. Certification of Copies of Papers 

The clerk shall issue a certified copy of the record of any proceeding in a case under the Code or of any paper filed with the 

clerk on payment of any prescribed fee. 

(As amended Apr. 30, 1991, eff. Aug. 1, 1991.) 

Rule 5007. Record of Proceedings and Transcripts 

(a) FILING OF RECORD OR TRANSCRIPT. The reporter or operator 

of a recording device shall certify the original notes of testimony, 

tape recording, or other original record of the proceeding and 

promptly file them with the clerk. The person preparing any transcript shall promptly file a certified copy. 

(b) TRANSCRIPT FEES. The fees for copies of transcripts shall be 

charged at rates prescribed by the Judicial Conference of the 

United States. No fee may be charged for the certified copy filed 

with the clerk. 

(c) ADMISSIBILITY OF RECORD IN EVIDENCE. A certified sound recording or a transcript of a proceeding shall be admissible as 

prima facie evidence to establish the record. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991.) 
Rule 5008 FEDERAL RULES OF BANKRUPTCY PROCEDURE 74 

Rule 5008. Notice Regarding Presumption of Abuse in Chapter 7 

Cases of Individual Debtors 

If a presumption of abuse has arisen under § 707(b) in a chapter 

7 case of an individual with primarily consumer debts, the clerk 

shall within 10 days after the date of the filing of the petition notify creditors of the presumption of abuse in accordance with Rule 

2002. If the debtor has not filed a statement indicating whether a 

presumption of abuse has arisen, the clerk shall within 10 days 

after the date of the filing of the petition notify creditors that the 

debtor has not filed the statement and that further notice will be 

given if a later filed statement indicates that a presumption of 

abuse has arisen. If a debtor later files a statement indicating 

that a presumption of abuse has arisen, the clerk shall notify 

creditors of the presumption of abuse as promptly as practicable. 

(Added Apr. 23, 2008, eff. Dec. 1, 2008.) 

Rule 5009. Closing Chapter 7, Chapter 12, Chapter 13, and Chapter 

15 Cases; Order Declaring Lien Satisfied 

(a) CLOSING OF CASES UNDER CHAPTERS 7, 12, AND 13. If in a chapter 7, chapter 12, or chapter 13 case the trustee has filed a final report and final account and has certified that the estate has been 

fully administered, and if within 30 days no objection has been 

filed by the United States trustee or a party in interest, there 

shall be a presumption that the estate has been fully administered. 

(b) NOTICE OF FAILURE TO FILE RULE 1007(b)(7) STATEMENT. If an 

individual debtor in a chapter 7 or 13 case is required to file a 

statement under Rule 1007(b)(7) and fails to do so within 45 days 

after the first date set for the meeting of creditors under § 341(a) 

of the Code, the clerk shall promptly notify the debtor that the 

case will be closed without entry of a discharge unless the required statement is filed within the applicable time limit under 

Rule 1007(c). 

(c) CASES UNDER CHAPTER 15. A foreign representative in a proceeding recognized under § 1517 of the Code shall file a final report 

when the purpose of the representative’s appearance in the court 

is completed. The report shall describe the nature and results of 

the representative’s activities in the court. The foreign representative shall transmit the report to the United States trustee, and 

give notice of its filing to the debtor, all persons or bodies authorized to administer foreign proceedings of the debtor, all parties to 

litigation pending in the United States in which the debtor was a 

party at the time of the filing of the petition, and such other entities as the court may direct. The foreign representative shall file 

a certificate with the court that notice has been given. If no objection has been filed by the United States trustee or a party in interest within 30 days after the certificate is filed, there shall be 

a presumption that the case has been fully administered. 

(d) ORDER DECLARING LIEN SATISFIED. In a chapter 12 or chapter 

13 case, if a claim that was secured by property of the estate is 

subject to a lien under applicable nonbankruptcy law, the debtor 

may request entry of an order declaring that the secured claim 

has been satisfied and the lien has been released under the terms 

of a confirmed plan. The request shall be made by motion and 
75 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 5012 

shall be served on the holder of the claim and any other entity the 

court designates in the manner provided by Rule 7004 for service 

of a summons and complaint. 

(As amended Apr. 30, 1991, eff. Aug. 1, 1991; Apr. 28, 2010, eff. Dec. 

1, 2010; Apr. 16, 2013, eff. Dec. 1, 2013; Apr. 27, 2017, eff. Dec. 1, 2017.) 

Rule 5010. Reopening Cases 

A case may be reopened on motion of the debtor or other party 

in interest pursuant to § 350(b) of the Code. In a chapter 7, 12, or 

13 case a trustee shall not be appointed by the United States 

trustee unless the court determines that a trustee is necessary to 

protect the interests of creditors and the debtor or to insure efficient administration of the case. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991.) 

Rule 5011. Withdrawal and Abstention from Hearing a Proceeding 

(a) WITHDRAWAL. A motion for withdrawal of a case or proceeding shall be heard by a district judge. 

(b) ABSTENTION FROM HEARING A PROCEEDING. A motion for abstention pursuant to 28 U.S.C. § 1334(c) shall be governed by Rule 

9014 and shall be served on the parties to the proceeding. 

(c) EFFECT OF FILING OF MOTION FOR WITHDRAWAL OR ABSTENTION. The filing of a motion for withdrawal of a case or proceeding 

or for abstention pursuant to 28 U.S.C. § 1334(c) shall not stay the 

administration of the case or any proceeding therein before the 

bankruptcy judge except that the bankruptcy judge may stay, on 

such terms and conditions as are proper, proceedings pending disposition of the motion. A motion for a stay ordinarily shall be 

presented first to the bankruptcy judge. A motion for a stay or relief from a stay filed in the district court shall state why it has 

not been presented to or obtained from the bankruptcy judge. Relief granted by the district judge shall be on such terms and conditions as the judge deems proper. 

(Added Mar. 30, 1987, eff. Aug. 1, 1987; amended Apr. 30, 1991, eff. 

Aug. 1, 1991.) 

Rule 5012. Agreements Concerning Coordination of Proceedings in 

Chapter 15 Cases 

Approval of an agreement under § 1527(4) of the Code shall be 

sought by motion. The movant shall attach to the motion a copy 

of the proposed agreement or protocol and, unless the court directs otherwise, give at least 30 days’ notice of any hearing on the 

motion by transmitting the motion to the United States trustee, 

and serving it on the debtor, all persons or bodies authorized to 

administer foreign proceedings of the debtor, 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 at the time of the filing of the petition, and such other entities as the court may direct. 

(Added Apr. 28, 2010, eff. Dec. 1, 2010.) 
Rule 6001 FEDERAL RULES OF BANKRUPTCY PROCEDURE 76 

PART VI—COLLECTION AND LIQUIDATION OF THE ESTATE 

Rule 6001. Burden of Proof As to Validity of Postpetition Transfer 

Any entity asserting the validity of a transfer under § 549 of the 

Code shall have the burden of proof. 

Rule 6002. Accounting by Prior Custodian of Property of the Estate 

(a) ACCOUNTING REQUIRED. Any custodian required by the Code 

to deliver property in the custodian’s possession or control to the 

trustee shall promptly file and transmit to the United States 

trustee a report and account with respect to the property of the 

estate and the administration thereof. 

(b) EXAMINATION OF ADMINISTRATION. On the filing and transmittal of the report and account required by subdivision (a) of this 

rule and after an examination has been made into the superseded 

administration, after notice and a hearing, the court shall determine the propriety of the administration, including the reasonableness of all disbursements. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Apr. 22, 1993, eff. Aug. 1, 1993.) 

Rule 6003. Interim and Final Relief Immediately Following the 

Commencement of the Case—Applications for Employment; 

Motions for Use, Sale, or Lease of Property; and Motions for Assumption or Assignment of Executory Contracts 

Except to the extent that relief is necessary to avoid immediate 

and irreparable harm, the court shall not, within 21 days after the 

filing of the petition, issue an order granting the following: 

(a) an application under Rule 2014; 

(b) a motion to use, sell, lease, or otherwise incur an obligation regarding property of the estate, including a motion to 

pay all or part of a claim that arose before the filing of the petition, but not a motion under Rule 4001; or 

(c) a motion to assume or assign an executory contract or 

unexpired lease in accordance with § 365. 

(Added Apr. 30, 2007, eff. Dec. 1, 2007; amended Mar. 26, 2009, eff. 

Dec. 1, 2009; Apr. 26, 2011, eff. Dec. 1, 2011.) 

Rule 6004. Use, Sale, or Lease of Property 

(a) NOTICE OF PROPOSED USE, SALE, OR LEASE OF PROPERTY. Notice of a proposed use, sale, or lease of property, other than cash 

collateral, not in the ordinary course of business shall be given 

pursuant to Rule 2002(a)(2), (c)(1), (i), and (k) and, if applicable, in 

accordance with § 363(b)(2) of the Code. 

(b) OBJECTION TO PROPOSAL. Except as provided in subdivisions 

(c) and (d) of this rule, an objection to a proposed use, sale, or 

lease of property shall be filed and served not less than seven days 

before the date set for the proposed action or within the time 

fixed by the court. An objection to the proposed use, sale, or lease 

of property is governed by Rule 9014. 

(c) SALE FREE AND CLEAR OF LIENS AND OTHER INTERESTS. A motion for authority to sell property free and clear of liens or other 

interests shall be made in accordance with Rule 9014 and shall be 
77 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 6004 

served on the parties who have liens or other interests in the property to be sold. The notice required by subdivision (a) of this rule 

shall include the date of the hearing on the motion and the time 

within which objections may be filed and served on the debtor in 

possession or trustee. 

(d) SALE OF PROPERTY UNDER $2,500. Notwithstanding subdivision (a) of this rule, when all of the nonexempt property of the estate has an aggregate gross value less than $2,500, it shall be sufficient to give a general notice of intent to sell such property other 

than in the ordinary course of business to all creditors, indenture 

trustees, committees appointed or elected pursuant to the Code, 

the United States trustee and other persons as the court may direct. An objection to any such sale may be filed and served by a 

party in interest within 14 days of the mailing of the notice, or 

within the time fixed by the court. An objection is governed by 

Rule 9014. 

(e) HEARING. If a timely objection is made pursuant to subdivision (b) or (d) of this rule, the date of the hearing thereon may be 

set in the notice given pursuant to subdivision (a) of this rule. 

(f) CONDUCT OF SALE NOT IN THE ORDINARY COURSE OF BUSINESS. 

(1) Public or Private Sale. All sales not in the ordinary course 

of business may be by private sale or by public auction. Unless 

it is impracticable, an itemized statement of the property 

sold, the name of each purchaser, and the price received for 

each item or lot or for the property as a whole if sold in bulk 

shall be filed on completion of a sale. If the property is sold 

by an auctioneer, the auctioneer shall file the statement, 

transmit a copy thereof to the United States trustee, and furnish a copy to the trustee, debtor in possession, or chapter 13 

debtor. If the property is not sold by an auctioneer, the trustee, debtor in possession, or chapter 13 debtor shall file the 

statement and transmit a copy thereof to the United States 

trustee. 

(2) Execution of Instruments. After a sale in accordance with 

this rule the debtor, the trustee, or debtor in possession, as 

the case may be, shall execute any instrument necessary or 

ordered by the court to effectuate the transfer to the purchaser. 

(g) SALE OF PERSONALLY IDENTIFIABLE INFORMATION. 

(1) Motion. A motion for authority to sell or lease personally 

identifiable information under § 363(b)(1)(B) shall include a request for an order directing the United States trustee to appoint a consumer privacy ombudsman under § 332. Rule 9014 

governs the motion which shall be served on: any committee 

elected under § 705 or appointed under § 1102 of the Code, or if 

the case is a chapter 11 reorganization case and no committee 

of unsecured creditors has been appointed under § 1102, on the 

creditors included on the list of creditors filed under Rule 

1007(d); and on such other entities as the court may direct. The 

motion shall be transmitted to the United States trustee. 

(2) Appointment. If a consumer privacy ombudsman is appointed under § 332, no later than seven days before the hearing 

on the motion under § 363(b)(1)(B), the United States trustee 

shall file a notice of the appointment, including the name and 

address of the person appointed. The United States trustee’s 
Rule 6005 FEDERAL RULES OF BANKRUPTCY PROCEDURE 78 

notice shall be accompanied by a verified statement of the 

person appointed setting forth the person’s connections with 

the debtor, creditors, any other party in interest, their respective attorneys and accountants, the United States trustee, or 

any person employed in the office of the United States trustee. 

(h) STAY OF ORDER AUTHORIZING USE, SALE, OR LEASE OF PROPERTY. An order authorizing the use, sale, or lease of property other 

than cash collateral is stayed until the expiration of 14 days after 

entry of the order, unless the court orders otherwise. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Apr. 26, 1999, eff. Dec. 1, 1999; Apr. 23, 2008, eff. Dec. 1, 2008; 

Mar. 26, 2009, eff. Dec. 1, 2009.) 

Rule 6005. Appraisers and Auctioneers 

The order of the court approving the employment of an appraiser or auctioneer shall fix the amount or rate of compensation. No officer or employee of the Judicial Branch of the United 

States or the United States Department of Justice shall be eligible to act as appraiser or auctioneer. No residence or licensing requirement shall disqualify an appraiser or auctioneer from employment. 

(As amended Apr. 30, 1991, eff. Aug. 1, 1991.) 

Rule 6006. Assumption, Rejection or Assignment of an Executory 

Contract or Unexpired Lease 

(a) PROCEEDING TO ASSUME, REJECT, OR ASSIGN. A proceeding to 

assume, reject, or assign an executory contract or unexpired lease, 

other than as part of a plan, is governed by Rule 9014. 

(b) PROCEEDING TO REQUIRE TRUSTEE TO ACT. A proceeding by a 

party to an executory contract or unexpired lease in a chapter 9 

municipality case, chapter 11 reorganization case, chapter 12 family farmer’s debt adjustment case, or chapter 13 individual’s debt 

adjustment case, to require the trustee, debtor in possession, or 

debtor to determine whether to assume or reject the contract or 

lease is governed by Rule 9014. 

(c) NOTICE. Notice of a motion made pursuant to subdivision (a) 

or (b) of this rule shall be given to the other party to the contract 

or lease, to other parties in interest as the court may direct, and, 

except in a chapter 9 municipality case, to the United States 

trustee. 

(d) STAY OF ORDER AUTHORIZING ASSIGNMENT. An order authorizing the trustee to assign an executory contract or unexpired lease 

under § 365(f) is stayed until the expiration of 14 days after the 

entry of the order, unless the court orders otherwise. 

(e) LIMITATIONS. The trustee shall not seek authority to assume 

or assign multiple executory contracts or unexpired leases in one 

motion unless: (1) all executory contracts or unexpired leases to 

be assumed or assigned are between the same parties or are to be 

assigned to the same assignee; (2) the trustee seeks to assume, but 

not assign to more than one assignee, unexpired leases of real 

property; or (3) the court otherwise authorizes the motion to be 

filed. Subject to subdivision (f), the trustee may join requests for 

authority to reject multiple executory contracts or unexpired 

leases in one motion. 
79 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 6007 

(f) OMNIBUS MOTIONS. A motion to reject or, if permitted under 

subdivision (e), a motion to assume or assign multiple executory 

contracts or unexpired leases that are not between the same parties shall: 

(1) state in a conspicuous place that parties receiving the 

omnibus motion should locate their names and their contracts 

or leases listed in the motion; 

(2) list parties alphabetically and identify the corresponding 

contract or lease; 

(3) specify the terms, including the curing of defaults, for 

each requested assumption or assignment; 

(4) specify the terms, including the identity of each assignee 

and the adequate assurance of future performance by each assignee, for each requested assignment; 

(5) be numbered consecutively with other omnibus motions 

to assume, assign, or reject executory contracts or unexpired 

leases; and 

(6) be limited to no more than 100 executory contracts or unexpired leases. 

(g) FINALITY OF DETERMINATION. The finality of any order respecting an executory contract or unexpired lease included in an 

omnibus motion shall be determined as though such contract or 

lease had been the subject of a separate motion. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Apr. 22, 1993, eff. Aug. 1, 1993; Apr. 26, 1999, eff. Dec. 1, 1999; 

Apr. 30 2007, eff. Dec. 1, 2007; Mar. 26, 2009, eff. Dec. 1, 2009.) 

Rule 6007. Abandonment or Disposition of Property 

(a) NOTICE OF PROPOSED ABANDONMENT OR DISPOSITION; OBJECTIONS; HEARING. Unless otherwise directed by the court, the trustee or debtor in possession shall give notice of a proposed abandonment or disposition of property to the United States trustee, all 

creditors, indenture trustees, and committees elected pursuant to 

§ 705 or appointed pursuant to § 1102 of the Code. A party in interest may file and serve an objection within 14 days of the mailing 

of the notice, or within the time fixed by the court. If a timely objection is made, the court shall set a hearing on notice to the 

United States trustee and to other entities as the court may direct. 

(b) MOTION BY PARTY IN INTEREST. A party in interest may file 

and serve a motion requiring the trustee or debtor in possession 

to abandon property of the estate. Unless otherwise directed by 

the court, the party filing the motion shall serve the motion and 

any notice of the motion on the trustee or debtor in possession, 

the United States trustee, all creditors, indenture trustees, and 

committees elected pursuant to § 705 or appointed pursuant to 

§ 1102 of the Code. A party in interest may file and serve an objection within 14 days of service, or within the time fixed by the 

court. If a timely objection is made, the court shall set a hearing 

on notice to the United States trustee and to other entities as the 

court may direct. If the court grants the motion, the order effects 

the trustee’s or debtor in possession’s abandonment without further notice, unless otherwise directed by the court. 

[(c) HEARING] (Abrogated Apr. 22, 1993, eff. Aug. 1, 1993) 
Rule 6008 FEDERAL RULES OF BANKRUPTCY PROCEDURE 80 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Apr. 22, 1993, eff. Aug. 1, 1993; Mar. 26, 2009, eff. Dec. 1, 2009; 

Apr. 25, 2019, eff. Dec. 1, 2019.) 

Rule 6008. Redemption of Property from Lien or Sale 

On motion by the debtor, trustee, or debtor in possession and 

after hearing on notice as the court may direct, the court may authorize the redemption of property from a lien or from a sale to 

enforce a lien in accordance with applicable law. 

Rule 6009. Prosecution and Defense of Proceedings by Trustee or 

Debtor in Possession 

With or without court approval, the trustee or debtor in possession may prosecute or may enter an appearance and defend any 

pending action or proceeding by or against the debtor, or commence and prosecute any action or proceeding in behalf of the estate before any tribunal. 

Rule 6010. Proceeding to Avoid Indemnifying Lien or Transfer to 

Surety 

If a lien voidable under § 547 of the Code has been dissolved by 

the furnishing of a bond or other obligation and the surety thereon has been indemnified by the transfer of, or the creation of a 

lien upon, nonexempt property of the debtor, the surety shall be 

joined as a defendant in any proceeding to avoid the indemnifying 

transfer or lien. Such proceeding is governed by the rules in Part 

VII. 

(As amended Apr. 30, 1991, eff. Aug. 1, 1991.) 

Rule 6011. Disposal of Patient Records in Health Care Business 

Case 

(a) NOTICE BY PUBLICATION UNDER § 351(1)(A). A notice regarding 

the claiming or disposing of patient records under § 351(1)(A) shall 

not identify any patient by name or other identifying information, but shall: 

(1) identify with particularity the health care facility whose 

patient records the trustee proposes to destroy; 

(2) state the name, address, telephone number, email address, and website, if any, of a person from whom information 

about the patient records may be obtained; 

(3) state how to claim the patient records; and 

(4) state the date by which patient records must be claimed, 

and that if they are not so claimed the records will be destroyed. 

(b) NOTICE BY MAIL UNDER § 351(1)(B). Subject to applicable nonbankruptcy law relating to patient privacy, a notice regarding the 

claiming or disposing of patient records under § 351(1)(B) shall, in 

addition to including the information in subdivision (a), direct 

that a patient’s family member or other representative who receives the notice inform the patient of the notice. Any notice 

under this subdivision shall be mailed to the patient and any family member or other contact person whose name and address have 

been given to the trustee or the debtor for the purpose of providing information regarding the patient’s health care, to the Attorney General of the State where the health care facility is located, 
81 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 7002 

1So in original. Probably should be only one section symbol. 

and to any insurance company known to have provided health 

care insurance to the patient. 

(c) PROOF OF COMPLIANCE WITH NOTICE REQUIREMENT. Unless the 

court orders the trustee to file proof of compliance with § 351(1)(B) 

under seal, the trustee shall not file, but shall maintain, the proof 

of compliance for a reasonable time. 

(d) REPORT OF DESTRUCTION OF RECORDS. The trustee shall file, 

no later than 30 days after the destruction of patient records 

under § 351(3), a report certifying that the unclaimed records have 

been destroyed and explaining the method used to effect the destruction. The report shall not identify any patient by name or 

other identifying information. 

(Added Apr. 23, 2008, eff. Dec. 1, 2008.) 

PART VII—ADVERSARY PROCEEDINGS 

Rule 7001. Scope of Rules of Part VII 

An adversary proceeding is governed by the rules of this Part 

VII. The following are adversary proceedings: 

(1) a proceeding to recover money or property, other than a 

proceeding to compel the debtor to deliver property to the 

trustee, or a proceeding under § 554(b) or § 725 of the Code, Rule 

2017, or Rule 6002; 

(2) a proceeding to determine the validity, priority, or extent of a lien or other interest in property, but not a proceeding under Rule 3012 or Rule 4003(d); 

(3) a proceeding to obtain approval under § 363(h) for the sale 

of both the interest of the estate and of a co-owner in property; 

(4) a proceeding to object to or revoke a discharge, other 

than an objection to discharge under §§ 727(a)(8),1 (a)(9), or 

1328(f); 

(5) a proceeding to revoke an order of confirmation of a 

chapter 11, chapter 12, or chapter 13 plan; 

(6) a proceeding to determine the dischargeability of a debt; 

(7) a proceeding to obtain an injunction or other equitable 

relief, except when a chapter 9, chapter 11, chapter 12, or chapter 13 plan provides for the relief; 

(8) a proceeding to subordinate any allowed claim or interest, except when a chapter 9, chapter 11, chapter 12, or chapter 

13 plan provides for subordination; 

(9) a proceeding to obtain a declaratory judgment relating to 

any of the foregoing; or 

(10) a proceeding to determine a claim or cause of action removed under 28 U.S.C. § 1452. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Apr. 26, 1999, eff. Dec. 1, 1999; Apr. 28, 2010, eff. Dec. 1, 2010; 

Apr. 27, 2017, eff. Dec. 1, 2017.) 

Rule 7002. References to Federal Rules of Civil Procedure 

Whenever a Federal Rule of Civil Procedure applicable to adversary proceedings makes reference to another Federal Rule of Civil 
Rule 7003 FEDERAL RULES OF BANKRUPTCY PROCEDURE 82 

Procedure, the reference shall be read as a reference to the Federal Rule of Civil Procedure as modified in this Part VII. 

Rule 7003. Commencement of Adversary Proceeding 

Rule 3 F.R.Civ.P. applies in adversary proceedings. 

Rule 7004. Process; Service of Summons, Complaint 

(a) SUMMONS; SERVICE; PROOF OF SERVICE. 

(1) Except as provided in Rule 7004(a)(2), Rule 4(a), (b), (c)(1), 

(d)(5), (e)–(j), (l), and (m) F.R.Civ.P. applies in adversary proceedings. Personal service under Rule 4(e)–(j) F.R.Civ.P. may 

be made by any person at least 18 years of age who is not a 

party, and the summons may be delivered by the clerk to any 

such person. 

(2) The clerk may sign, seal, and issue a summons electronically by putting an ‘‘s/’’ before the clerk’s name and including 

the court’s seal on the summons. 

(b) SERVICE BY FIRST CLASS MAIL. Except as provided in subdivision (h), in addition to the methods of service authorized by Rule 

4(e)–(j) F.R.Civ.P., service may be made within the United States 

by first class mail postage prepaid as follows: 

(1) Upon an individual other than an infant or incompetent, 

by mailing a copy of the summons and complaint to the individual’s dwelling house or usual place of abode or to the place 

where the individual regularly conducts a business or profession. 

(2) Upon an infant or an incompetent person, by mailing a 

copy of the summons and complaint to the person upon whom 

process is prescribed to be served by the law of the state in 

which service is made when an action is brought against such 

a defendant in the courts of general jurisdiction of that state. 

The summons and complaint in that case shall be addressed to 

the person required to be served at that person’s dwelling 

house or usual place of abode or at the place where the person 

regularly conducts a business or profession. 

(3) Upon a domestic or foreign corporation or upon a partnership or other unincorporated association, by mailing a 

copy of the summons and complaint to the attention of an officer, a managing or general agent, or to any other agent authorized by appointment or by law to receive service of process and, if the agent is one authorized by statute to receive 

service and the statute so requires, by also mailing a copy to 

the defendant. 

(4) Upon the United States, by mailing a copy of the summons and complaint addressed to the civil process clerk at the 

office of the United States attorney for the district in which 

the action is brought and by mailing a copy of the summons 

and complaint to the Attorney General of the United States at 

Washington, District of Columbia, and in any action attacking 

the validity of an order of an officer or an agency of the 

United States not made a party, by also mailing a copy of the 

summons and complaint to that officer or agency. The court 

shall allow a reasonable time for service pursuant to this subdivision for the purpose of curing the failure to mail a copy of 

the summons and complaint to multiple officers, agencies, or 
83 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 7004 

corporations of the United States if the plaintiff has mailed a 

copy of the summons and complaint either to the civil process 

clerk at the office of the United States attorney or to the Attorney General of the United States. 

(5) Upon any officer or agency of the United States, by mailing a copy of the summons and complaint to the United States 

as prescribed in paragraph (4) of this subdivision and also to 

the officer or agency. If the agency is a corporation, the mailing shall be as prescribed in paragraph (3) of this subdivision 

of this rule. The court shall allow a reasonable time for service pursuant to this subdivision for the purpose of curing the 

failure to mail a copy of the summons and complaint to multiple officers, agencies, or corporations of the United States if 

the plaintiff has mailed a copy of the summons and complaint 

either to the civil process clerk at the office of the United 

States attorney or to the Attorney General of the United 

States. If the United States trustee is the trustee in the case 

and service is made upon the United States trustee solely as 

trustee, service may be made as prescribed in paragraph (10) of 

this subdivision of this rule. 

(6) Upon a state or municipal corporation or other governmental organization thereof subject to suit, by mailing a copy 

of the summons and complaint to the person or office upon 

whom process is prescribed to be served by the law of the state 

in which service is made when an action is brought against 

such a defendant in the courts of general jurisdiction of that 

state, or in the absence of the designation of any such person 

or office by state law, then to the chief executive officer thereof. 

(7) Upon a defendant of any class referred to in paragraph (1) 

or (3) of this subdivision of this rule, it is also sufficient if a 

copy of the summons and complaint is mailed to the entity 

upon whom service is prescribed to be served by any statute 

of the United States or by the law of the state in which service 

is made when an action is brought against such a defendant in 

the court of general jurisdiction of that state. 

(8) Upon any defendant, it is also sufficient if a copy of the 

summons and complaint is mailed to an agent of such defendant authorized by appointment or by law to receive service of 

process, at the agent’s dwelling house or usual place of abode 

or at the place where the agent regularly carries on a business 

or profession and, if the authorization so requires, by mailing 

also a copy of the summons and complaint to the defendant as 

provided in this subdivision. 

(9) Upon the debtor, after a petition has been filed by or 

served upon the debtor and until the case is dismissed or 

closed, by mailing a copy of the summons and complaint to 

the debtor at the address shown in the petition or to such 

other address as the debtor may designate in a filed writing. 

(10) Upon the United States trustee, when the United States 

trustee is the trustee in the case and service is made upon the 

United States trustee solely as trustee, by mailing a copy of 

the summons and complaint to an office of the United States 

trustee or another place designated by the United States 
Rule 7004 FEDERAL RULES OF BANKRUPTCY PROCEDURE 84 

trustee in the district where the case under the Code is pending. 

(c) SERVICE BY PUBLICATION. If a party to an adversary proceeding to determine or protect rights in property in the custody of 

the court cannot be served as provided in Rule 4(e)–(j) F.R.Civ.P. 

or subdivision (b) of this rule, the court may order the summons 

and complaint to be served by mailing copies thereof by first class 

mail, postage prepaid, to the party’s last known address, and by 

at least one publication in such manner and form as the court 

may direct. 

(d) NATIONWIDE SERVICE OF PROCESS. The summons and complaint and all other process except a subpoena may be served anywhere in the United States. 

(e) SUMMONS: TIME LIMIT FOR SERVICE WITHIN THE UNITED

STATES. Service made under Rule 4(e), (g), (h)(1), (i), or (j)(2) 

F.R.Civ.P. shall be by delivery of the summons and complaint 

within 7 days after the summons is issued. If service is by any authorized form of mail, the summons and complaint shall be deposited in the mail within 7 days after the summons is issued. If a 

summons is not timely delivered or mailed, another summons will 

be issued for service. This subdivision does not apply to service in 

a foreign country. 

(f) PERSONAL JURISDICTION. If the exercise of jurisdiction is consistent with the Constitution and laws of the United States, serving a summons or filing a waiver of service in accordance with 

this rule or the subdivisions of Rule 4 F.R.Civ.P. made applicable 

by these rules is effective to establish personal jurisdiction over 

the person of any defendant with respect to a case under the Code 

or a civil proceeding arising under the Code, or arising in or related to a case under the Code. 

(g) SERVICE ON DEBTOR’S ATTORNEY. If the debtor is represented 

by an attorney, whenever service is made upon the debtor under 

this Rule, service shall also be made upon the debtor’s attorney by 

any means authorized under Rule 5(b) F.R.Civ.P. 

(h) SERVICE OF PROCESS ON AN INSURED DEPOSITORY INSTITUTION. 

Service on an insured depository institution (as defined in section 

3 of the Federal Deposit Insurance Act) in a contested matter or 

adversary proceeding shall be made by certified mail addressed to 

an officer of the institution unless— 

(1) the institution has appeared by its attorney, in which 

case the attorney shall be served by first class mail; 

(2) the court orders otherwise after service upon the institution by certified mail of notice of an application to permit 

service on the institution by first class mail sent to an officer 

of the institution designated by the institution; or 

(3) the institution has waived in writing its entitlement to 

service by certified mail by designating an officer to receive 

service. 

(i) SERVICE OF PROCESS BY TITLE. This subdivision (i) applies to 

service on a domestic or foreign corporation or partnership or 

other unincorporated association under Rule 7004(b)(3) or on an officer of an insured depository institution under Rule 7004(h). The 
85 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 7010 

defendant’s officer or agent need not be correctly named in the address—or even be named—if the envelope is addressed to the defendant’s proper address and directed to the attention of the officer’s or agent’s position or title. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Pub. L. 103–394, title I, § 114, Oct. 22, 1994, 108 Stat. 4118; Apr. 

23, 1996, eff. Dec. 1, 1996; Apr. 26, 1999, eff. Dec. 1, 1999; Apr. 25, 2005, 

eff. Dec. 1, 2005; Apr. 12, 2006, eff. Dec. 1, 2006; Mar. 26, 2009, eff. Dec. 

1, 2009; Apr. 25, 2014, eff. Dec. 1, 2014; Apr. 26, 2018, eff. Dec. 1, 2018; 

Apr. 11, 2022, eff. Dec. 1, 2022.) 

Rule 7005. Service and Filing of Pleadings and Other Papers 

Rule 5 F.R.Civ.P. applies in adversary proceedings. 

Rule 7007. Pleadings Allowed 

Rule 7 F.R.Civ.P. applies in adversary proceedings. 

Rule 7007.1. Corporate Ownership Statement 

(a) REQUIRED DISCLOSURE. Any nongovernmental corporation 

that is a party to an adversary proceeding, other than the debtor, 

shall file a statement that identifies any parent corporation and 

any publicly held corporation that owns 10% or more of its stock 

or states that there is no such corporation. The same requirement 

applies to a nongovernmental corporation that seeks to intervene. 

(b) TIME FOR FILING; SUPPLEMENTAL FILING. The corporate ownership statement shall: 

(1) be filed with the corporation’s first appearance, pleading, 

motion, response, or other request addressed to the court; and 

(2) be supplemented whenever the information required by 

this rule changes. 

(Added Mar. 27, 2003, eff. Dec. 1, 2003; amended Apr. 30, 2007, eff. 

Dec. 1, 2007; Apr. 14, 2021, eff. Dec. 1, 2021.) 

Rule 7008. General Rules of Pleading 

Rule 8 F.R.Civ.P. applies in adversary proceedings. The allegation of jurisdiction required by Rule 8(a) shall also contain a reference to the name, number, and chapter of the case under the 

Code to which the adversary proceeding relates and to the district 

and division where the case under the Code is pending. In an adversary proceeding before a bankruptcy court, the complaint, 

counterclaim, cross-claim, or third-party complaint shall contain 

a statement that the pleader does or does not consent to entry of 

final orders or judgment by the bankruptcy court. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 25, 2014, eff. Dec. 

1, 2014; Apr. 28, 2016, eff. Dec. 1, 2016.) 

Rule 7009. Pleading Special Matters 

Rule 9 F.R.Civ.P. applies in adversary proceedings. 

Rule 7010. Form of Pleadings 

Rule 10 F.R.Civ.P. applies in adversary proceedings, except that 

the caption of each pleading in such a proceeding shall conform 

substantially to the appropriate Official Form. 
Rule 7012 FEDERAL RULES OF BANKRUPTCY PROCEDURE 86 

(As amended Apr. 30, 1991, eff. Aug. 1, 1991.) 

Rule 7012. Defenses and Objections—When and How Presented— 

By Pleading or Motion—Motion for Judgment on the Pleadings 

(a) WHEN PRESENTED. If a complaint is duly served, the defendant shall serve an answer within 30 days after the issuance of the 

summons, except when a different time is prescribed by the court. 

The court shall prescribe the time for service of the answer when 

service of a complaint is made by publication or upon a party in 

a foreign country. A party served with a pleading stating a crossclaim shall serve an answer thereto within 21 days after service. 

The plaintiff shall serve a reply to a counterclaim in the answer 

within 21 days after service of the answer or, if a reply is ordered 

by the court, within 21 days after service of the order, unless the 

order otherwise directs. The United States or an officer or agency 

thereof shall serve an answer to a complaint within 35 days after 

the issuance of the summons, and shall serve an answer to a crossclaim, or a reply to a counterclaim, within 35 days after service 

upon the United States attorney of the pleading in which the 

claim is asserted. The service of a motion permitted under this 

rule alters these periods of time as follows, unless a different time 

is fixed by order of the court: (1) if the court denies the motion 

or postpones its disposition until the trial on the merits, the responsive pleading shall be served within 14 days after notice of the 

court’s action; (2) if the court grants a motion for a more definite 

statement, the responsive pleading shall be served within 14 days 

after the service of a more definite statement. 

(b) APPLICABILITY OF RULE 12(b)–(i) F.R.CIV.P. Rule 12(b)–(i) 

F.R.Civ.P. applies in adversary proceedings. A responsive pleading 

shall include a statement that the party does or does not consent 

to entry of final orders or judgment by the bankruptcy court. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 23, 2008, eff. Dec. 

1, 2008; Mar. 26, 2009, eff. Dec. 1, 2009; Apr. 28, 2016, eff. Dec. 1, 2016.) 

Rule 7013. Counterclaim and Cross-Claim 

Rule 13 F.R.Civ.P. applies in adversary proceedings, except that 

a party sued by a trustee or debtor in possession need not state 

as a counterclaim any claim that the party has against the debtor, the debtor’s property, or the estate, unless the claim arose 

after the entry of an order for relief. A trustee or debtor in possession who fails to plead a counterclaim through oversight, inadvertence, or excusable neglect, or when justice so requires, may by 

leave of court amend the pleading, or commence a new adversary 

proceeding or separate action. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987.) 

Rule 7014. Third-Party Practice 

Rule 14 F.R.Civ.P. applies in adversary proceedings. 

Rule 7015. Amended and Supplemental Pleadings 

Rule 15 F.R.Civ.P. applies in adversary proceedings. 

Rule 7016. Pretrial Procedures 

(a) PRETRIAL CONFERENCES; SCHEDULING; MANAGEMENT. Rule 16 

F.R.Civ.P. applies in adversary proceedings. 
87 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 7024 

(b) DETERMINING PROCEDURE. The bankruptcy court shall decide, 

on its own motion or a party’s timely motion, whether: 

(1) to hear and determine the proceeding; 

(2) to hear the proceeding and issue proposed findings of fact 

and conclusions of law; or 

(3) to take some other action. 

(As amended Apr. 28, 2016, eff. Dec. 1, 2016.) 

Rule 7017. Parties Plaintiff and Defendant; Capacity 

Rule 17 F.R.Civ.P. applies in adversary proceedings, except as 

provided in Rule 2010(b). 

(As amended Apr. 30, 1991, eff. Aug. 1, 1991.) 

Rule 7018. Joinder of Claims and Remedies 

Rule 18 F.R.Civ.P. applies in adversary proceedings. 

Rule 7019. Joinder of Persons Needed for Just Determination 

Rule 19 F.R.Civ.P. applies in adversary proceedings, except that 

(1) if an entity joined as a party raises the defense that the court 

lacks jurisdiction over the subject matter and the defense is sustained, the court shall dismiss such entity from the adversary proceedings and (2) if an entity joined as a party properly and timely 

raises the defense of improper venue, the court shall determine, as 

provided in 28 U.S.C. § 1412, whether that part of the proceeding involving the joined party shall be transferred to another district, 

or whether the entire adversary proceeding shall be transferred to 

another district. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987.) 

Rule 7020. Permissive Joinder of Parties 

Rule 20 F.R.Civ.P. applies in adversary proceedings. 

Rule 7021. Misjoinder and Non-Joinder of Parties 

Rule 21 F.R.Civ.P. applies in adversary proceedings. 

Rule 7022. Interpleader 

Rule 22(a) F.R.Civ.P. applies in adversary proceedings. This rule 

supplements—and does not limit—the joinder of parties allowed 

by Rule 7020. 

(As amended Apr. 23, 2008, eff. Dec. 1, 2008.) 

Rule 7023. Class Proceedings 

Rule 23 F.R.Civ.P. applies in adversary proceedings. 

Rule 7023.1. Derivative Actions 

Rule 23.1 F.R.Civ.P. applies in adversary proceedings. 

(As amended Apr. 23, 2008, eff. Dec. 1, 2008.) 

Rule 7023.2. Adversary Proceedings Relating to Unincorporated 

Associations 

Rule 23.2 F.R.Civ.P. applies in adversary proceedings. 

Rule 7024. Intervention 

Rule 24 F.R.Civ.P. applies in adversary proceedings. 
Rule 7025 FEDERAL RULES OF BANKRUPTCY PROCEDURE 88 

Rule 7025. Substitution of Parties 

Subject to the provisions of Rule 2012, Rule 25 F.R.Civ.P. applies 

in adversary proceedings. 

Rule 7026. General Provisions Governing Discovery 

Rule 26 F.R.Civ.P. applies in adversary proceedings. 

Rule 7027. Depositions Before Adversary Proceedings or Pending 

Appeal 

Rule 27 F.R.Civ.P. applies to adversary proceedings. 

Rule 7028. Persons Before Whom Depositions May Be Taken 

Rule 28 F.R.Civ.P. applies in adversary proceedings. 

Rule 7029. Stipulations Regarding Discovery Procedure 

Rule 29 F.R.Civ.P. applies in adversary proceedings. 

Rule 7030. Depositions Upon Oral Examination 

Rule 30 F.R.Civ.P. applies in adversary proceedings. 

Rule 7031. Deposition Upon Written Questions 

Rule 31 F.R.Civ.P. applies in adversary proceedings. 

Rule 7032. Use of Depositions in Adversary Proceedings 

Rule 32 F.R.Civ.P. applies in adversary proceedings. 

Rule 7033. Interrogatories to Parties 

Rule 33 F.R.Civ.P. applies in adversary proceedings. 

Rule 7034. Production of Documents and Things and Entry Upon 

Land for Inspection and Other Purposes 

Rule 34 F.R.Civ.P. applies in adversary proceedings. 

Rule 7035. Physical and Mental Examination of Persons 

Rule 35 F.R.Civ.P. applies in adversary proceedings. 

Rule 7036. Requests for Admission 

Rule 36 F.R.Civ.P. applies in adversary proceedings. 

Rule 7037. Failure to Make Discovery: Sanctions 

Rule 37 F.R.Civ.P. applies in adversary proceedings. 

Rule 7040. Assignment of Cases for Trial 

Rule 40 F.R.Civ.P. applies in adversary proceedings. 

Rule 7041. Dismissal of Adversary Proceedings 

Rule 41 F.R.Civ.P. applies in adversary proceedings, except that 

a complaint objecting to the debtor’s discharge shall not be dismissed at the plaintiff’s instance without notice to the trustee, 

the United States trustee, and such other persons as the court 

may direct, and only on order of the court containing terms and 

conditions which the court deems proper. 

(As amended Apr. 30, 1991, eff. Aug. 1, 1991.) 
89 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 7058 

Rule 7042. Consolidation of Adversary Proceedings; Separate 

Trials 

Rule 42 F.R.Civ.P. applies in adversary proceedings. 

Rule 7052. Findings by the Court 

Rule 52 F.R.Civ.P. applies in adversary proceedings, except that 

any motion under subdivision (b) of that rule for amended or additional findings shall be filed no later than 14 days after entry of 

judgment. In these proceedings, the reference in Rule 52 

F.R.Civ.P. to the entry of judgment under Rule 58 F.R.Civ.P. shall 

be read as a reference to the entry of a judgment or order under 

Rule 5003(a). 

(As amended Mar. 26, 2009, eff. Dec. 1, 2009.) 

Rule 7054. Judgments; Costs 

(a) JUDGMENTS. Rule 54(a)–(c) F.R.Civ.P. applies in adversary 

proceedings. 

(b) COSTS; ATTORNEY’S FEES. 

(1) Costs Other Than Attorney’s Fees. The court may allow 

costs to the prevailing party except when a statute of the 

United States or these rules otherwise provides. Costs against 

the United States, its officers and agencies shall be imposed 

only to the extent permitted by law. Costs may be taxed by 

the clerk on 14 days’ notice; on motion served within seven 

days thereafter, the action of the clerk may be reviewed by 

the court. 

(2) Attorney’s Fees. 

(A) Rule 54(d)(2)(A)–(C) and (E) F.R.Civ.P. applies in adversary proceedings except for the reference in Rule 

54(d)(2)(C) to Rule 78. 

(B) By local rule, the court may establish special procedures to resolve fee-related issues without extensive evidentiary hearings. 

(As amended Apr. 23, 2012, eff. Dec. 1, 2012; Apr. 25, 2014, eff. Dec. 

1, 2014.) 

Rule 7055. Default 

Rule 55 F.R.Civ.P. applies in adversary proceedings. 

Rule 7056. Summary Judgment 

Rule 56 F.R.Civ.P. applies in adversary proceedings, except that 

any motion for summary judgment must be made at least 30 days 

before the initial date set for an evidentiary hearing on any issue 

for which summary judgment is sought, unless a different time is 

set by local rule or the court orders otherwise. 

(As amended Apr. 23, 2012, eff. Dec. 1, 2012.) 

Rule 7058. Entering Judgment in Adversary Proceeding 

Rule 58 F.R.Civ.P. applies in adversary proceedings. In these 

proceedings, the reference in Rule 58 F.R.Civ.P. to the civil docket 

shall be read as a reference to the docket maintained by the clerk 

under Rule 5003(a). 

(Added Mar. 26, 2009, eff. Dec. 1, 2009.) 
Rule 7062 FEDERAL RULES OF BANKRUPTCY PROCEDURE 90 

1The 2014 amendments to Part VIII of the Bankruptcy Rules are comprehensive. Proposed amendment of the heading, ‘‘Part VIII. Bankruptcy Appeals’’, was not transmitted for Congressional review. 

Rule 7062. Stay of Proceedings to Enforce a Judgment 

Rule 62 F.R.Civ.P. applies in adversary proceedings, except that 

proceedings to enforce a judgment are stayed for 14 days after its 

entry. 

(As amended Apr. 30, 1991, eff. Aug. 1, 1991; Apr. 26, 1999, eff. Dec. 

1, 1999; Apr. 26, 2018, eff. Dec. 1, 2018.) 

Rule 7064. Seizure of Person or Property 

Rule 64 F.R.Civ.P. applies in adversary proceedings. 

Rule 7065. Injunctions 

Rule 65 F.R.Civ.P. applies in adversary proceedings, except that 

a temporary restraining order or preliminary injunction may be 

issued on application of a debtor, trustee, or debtor in possession 

without compliance with Rule 65(c). 

Rule 7067. Deposit in Court 

Rule 67 F.R.Civ.P. applies in adversary proceedings. 

Rule 7068. Offer of Judgment 

Rule 68 F.R.Civ.P. applies in adversary proceedings. 

Rule 7069. Execution 

Rule 69 F.R.Civ.P. applies in adversary proceedings. 

Rule 7070. Judgment for Specific Acts; Vesting Title 

Rule 70 F.R.Civ.P. applies in adversary proceedings and the 

court may enter a judgment divesting the title of any party and 

vesting title in others whenever the real or personal property involved is within the jurisdiction of the court. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987.) 

Rule 7071. Process in Behalf of and Against Persons Not Parties 

Rule 71 F.R.Civ.P. applies in adversary proceedings. 

Rule 7087. Transfer of Adversary Proceeding 

On motion and after a hearing, the court may transfer an adversary proceeding or any part thereof to another district pursuant 

to 28 U.S.C. § 1412, except as provided in Rule 7019(2). 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987.) 

PART VIII—APPEALS TO DISTRICT COURT OR BANKRUPTCY 

APPELLATE PANEL 1

Rule 8001. Scope of Part VIII Rules; Definition of ‘‘BAP’’; Method 

of Transmission 

(a) GENERAL SCOPE. These Part VIII rules govern the procedure 

in a United States district court and a bankruptcy appellate panel 

on appeal from a judgment, order, or decree of a bankruptcy 

court. They also govern certain procedures on appeal to a United 

States court of appeals under 28 U.S.C. § 158(d). 
91 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 8002 

(b) DEFINITION OF ‘‘BAP.’’ ‘‘BAP’’ means a bankruptcy appellate 

panel established by a circuit’s judicial council and authorized to 

hear appeals from a bankruptcy court under 28 U.S.C. § 158. 

(c) METHOD OF TRANSMITTING DOCUMENTS. A document must be 

sent electronically under these Part VIII rules, unless it is being 

sent by or to an individual who is not represented by counsel or 

the court’s governing rules permit or require mailing or other 

means of delivery. 

(Added Apr. 25, 2014, eff. Dec. 1, 2014.) 

Rule 8002. Time for Filing Notice of Appeal 

(a) IN GENERAL. 

(1) Fourteen-Day Period. Except as provided in subdivisions 

(b) and (c), a notice of appeal must be filed with the bankruptcy clerk within 14 days after entry of the judgment, order, 

or decree being appealed. 

(2) Filing Before the Entry of Judgment. A notice of appeal 

filed after the bankruptcy court announces a decision or 

order—but before entry of the judgment, order, or decree—is 

treated as filed on the date of and after the entry. 

(3) Multiple Appeals. If one party files a timely notice of appeal, any other party may file a notice of appeal within 14 

days after the date when the first notice was filed, or within 

the time otherwise allowed by this rule, whichever period ends 

later. 

(4) Mistaken Filing in Another Court. If a notice of appeal is 

mistakenly filed in a district court, BAP, or court of appeals, 

the clerk of that court must state on the notice the date on 

which it was received and transmit it to the bankruptcy clerk. 

The notice of appeal is then considered filed in the bankruptcy 

court on the date so stated. 

(5) Entry Defined. 

(A) A judgment, order, or decree is entered for purposes 

of this Rule 8002(a): 

(i) when it is entered in the docket under Rule 

5003(a), or 

(ii) if Rule 7058 applies and Rule 58(a) F.R.Civ.P. requires a separate document, when the judgment, order, 

or decree is entered in the docket under Rule 5003(a) 

and when the earlier of these events occurs: 

• the judgment, order, or decree is set out in a 

separate document; or 

• 150 days have run from entry of the judgment, 

order, or decree in the docket under Rule 5003(a). 

(B) A failure to set out a judgment, order, or decree in 

a separate document when required by Rule 58(a) 

F.R.Civ.P. does not affect the validity of an appeal from 

that judgment, order, or decree. 

(b) EFFECT OF A MOTION ON THE TIME TO APPEAL. 

(1) In General. If a party files in the bankruptcy court any of 

the following motions and does so within the time allowed by 

these rules, the time to file an appeal runs for all parties from 

the entry of the order disposing of the last such remaining motion: 
Rule 8002 FEDERAL RULES OF BANKRUPTCY PROCEDURE 92 

(A) to amend or make additional findings under Rule 

7052, whether or not granting the motion would alter the 

judgment; 

(B) to alter or amend the judgment under Rule 9023; 

(C) for a new trial under Rule 9023; or 

(D) for relief under Rule 9024 if the motion is filed within 

14 days after the judgment is entered. 

(2) Filing an Appeal Before the Motion is Decided. If a party 

files a notice of appeal after the court announces or enters a 

judgment, order, or decree—but before it disposes of any motion listed in subdivision (b)(1)—the notice becomes effective 

when the order disposing of the last such remaining motion is 

entered. 

(3) Appealing the Ruling on the Motion. If a party intends to 

challenge an order disposing of any motion listed in subdivision (b)(1)—or the alteration or amendment of a judgment, 

order, or decree upon the motion—the party must file a notice 

of appeal or an amended notice of appeal. The notice or 

amended notice must comply with Rule 8003 or 8004 and be 

filed within the time prescribed by this rule, measured from 

the entry of the order disposing of the last such remaining motion. 

(4) No Additional Fee. No additional fee is required to file an 

amended notice of appeal. 

(c) APPEAL BY AN INMATE CONFINED IN AN INSTITUTION. 

(1) In General. If an institution has a system designed for 

legal mail, an inmate confined there must use that system to 

receive the benefit of this Rule 8002(c)(1). If an inmate files a 

notice of appeal from a judgment, order, or decree of a bankruptcy court, the notice is timely if it is deposited in the institution’s internal mail system on or before the last day for filing and: 

(A) it is accompanied by: 

(i) a declaration in compliance with 28 U.S.C. § 1746— 

or a notarized statement—setting out the date of deposit and stating that first-class postage is being prepaid; or 

(ii) evidence (such as a postmark or date stamp) 

showing that the notice was so deposited and that 

postage was prepaid; or 

(B) the appellate court exercises its discretion to permit 

the later filing of a declaration or notarized statement 

that satisfies Rule 8002(c)(1)(A)(i). 

(2) Multiple Appeals. If an inmate files under this subdivision 

the first notice of appeal, the 14-day period provided in subdivision (a)(3) for another party to file a notice of appeal runs 

from the date when the bankruptcy clerk dockets the first notice. 

(d) EXTENDING THE TIME TO APPEAL. 

(1) When the Time May be Extended. Except as provided in 

subdivision (d)(2), the bankruptcy court may extend the time 

to file a notice of appeal upon a party’s motion that is filed: 

(A) within the time prescribed by this rule; or 

(B) within 21 days after that time, if the party shows excusable neglect. 
93 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 8003 

(2) When the Time May Not be Extended. The bankruptcy court 

may not extend the time to file a notice of appeal if the judgment, order, or decree appealed from: 

(A) grants relief from an automatic stay under § 362, 922, 

1201, or 1301 of the Code; 

(B) authorizes the sale or lease of property or the use of 

cash collateral under § 363 of the Code; 

(C) authorizes the obtaining of credit under § 364 of the 

Code; 

(D) authorizes the assumption or assignment of an executory contract or unexpired lease under § 365 of the Code; 

(E) approves a disclosure statement under § 1125 of the 

Code; or 

(F) confirms a plan under § 943, 1129, 1225, or 1325 of the 

Code. 

(3) TIME LIMITS ON AN EXTENSION. No extension of time may 

exceed 21 days after the time prescribed by this rule, or 14 days 

after the order granting the motion to extend time is entered, 

whichever is later. 

(Added Apr. 25, 2014, eff. Dec. 1, 2014; amended Apr. 26, 2018, eff. 

Dec. 1, 2018.) 

Rule 8003. Appeal as of Right—How Taken; Docketing the Appeal 

(a) FILING THE NOTICE OF APPEAL. 

(1) In General. An appeal from a judgment, order, or decree 

of a bankruptcy court to a district court or BAP under 28 

U.S.C. § 158(a)(1) or (a)(2) may be taken only by filing a notice 

of appeal with the bankruptcy clerk within the time allowed 

by Rule 8002. 

(2) Effect of Not Taking Other Steps. An appellant’s failure to 

take any step other than the timely filing of a notice of appeal 

does not affect the validity of the appeal, but is ground only 

for the district court or BAP to act as it considers appropriate, including dismissing the appeal. 

(3) Contents. The notice of appeal must: 

(A) conform substantially to the appropriate Official 

Form; 

(B) be accompanied by the judgment—or the appealable 

order or decree—from which the appeal is taken; and 

(C) be accompanied by the prescribed fee. 

(4) Merger. The notice of appeal encompasses all orders that, 

for purposes of appeal, merge into the identified judgment or 

appealable order or decree. It is not necessary to identify 

those orders in the notice of appeal. 

(5) Final Judgment. The notice of appeal encompasses the 

final judgment, whether or not that judgment is set out in a 

separate document under Rule 7058, if the notice identifies: 

(A) an order that adjudicates all remaining claims and 

the rights and liabilities of all remaining parties; or 

(B) an order described in Rule 8002(b)(1). 

(6) Limited Appeal. An appellant may identify only part of a 

judgment or appealable order or decree by expressly stating 

that the notice of appeal is so limited. Without such an express statement, specific identifications do not limit the scope 

of the notice of appeal. 
Rule 8004 FEDERAL RULES OF BANKRUPTCY PROCEDURE 94 

(7) Impermissible Ground for Dismissal. An appeal must not be 

dismissed for failure to properly identify the judgment or appealable order or decree if the notice of appeal was filed after 

entry of the judgment or appealable order or decree and identifies an order that merged into that judgment or appealable 

order or decree. 

(8) Additional Copies. If requested to do so, the appellant 

must furnish the bankruptcy clerk with enough copies of the 

notice to enable the clerk to comply with subdivision (c). 

(b) JOINT OR CONSOLIDATED APPEALS. 

(1) Joint Notice of Appeal. When two or more parties are entitled to appeal from a judgment, order, or decree of a bankruptcy court and their interests make joinder practicable, 

they may file a joint notice of appeal. They may then proceed 

on appeal as a single appellant. 

(2) Consolidating Appeals. When parties have separately filed 

timely notices of appeal, the district court or BAP may join 

or consolidate the appeals. 

(c) SERVING THE NOTICE OF APPEAL. 

(1) Serving Parties and Transmitting to the United States Trustee. The bankruptcy clerk must serve the notice of appeal on 

counsel of record for each party to the appeal, excluding the 

appellant, and transmit it to the United States trustee. If a 

party is proceeding pro se, the clerk must send the notice of 

appeal to the party’s last known address. The clerk must note, 

on each copy, the date when the notice of appeal was filed. 

(2) Effect of Failing to Serve or Transmit Notice. The bankruptcy clerk’s failure to serve notice on a party or transmit 

notice to the United States trustee does not affect the validity 

of the appeal. 

(3) Noting Service on the Docket. The clerk must note on the 

docket the names of the parties served and the date and method of the service. 

(d) TRANSMITTING THE NOTICE OF APPEAL TO THE DISTRICT COURT

OR BAP; DOCKETING THE APPEAL. 

(1) Transmitting the Notice. The bankruptcy clerk must 

promptly transmit the notice of appeal to the BAP clerk if a 

BAP has been established for appeals from that district and 

the appellant has not elected to have the district court hear 

the appeal. Otherwise, the bankruptcy clerk must promptly 

transmit the notice to the district clerk. 

(2) Docketing in the District Court or BAP. Upon receiving the 

notice of appeal, the district or BAP clerk must docket the appeal under the title of the bankruptcy case and the title of any 

adversary proceeding, and must identify the appellant, adding 

the appellant’s name if necessary. 

(Added Apr. 25, 2014, eff. Dec. 1, 2014; Apr. 24, 2023, eff. Dec. 1, 2023.) 

Rule 8004. Appeal by Leave—How Taken; Docketing the Appeal 

(a) NOTICE OF APPEAL AND MOTION FOR LEAVE TO APPEAL. To appeal from an interlocutory order or decree of a bankruptcy court 

under 28 U.S.C. § 158(a)(3), a party must file with the bankruptcy 

clerk a notice of appeal as prescribed by Rule 8003(a). The notice 

must: 
95 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 8005 

(1) be filed within the time allowed by Rule 8002; 

(2) be accompanied by a motion for leave to appeal prepared 

in accordance with subdivision (b); and 

(3) unless served electronically using the court’s transmission equipment, include proof of service in accordance with 

Rule 8011(d). 

(b) CONTENTS OF THE MOTION; RESPONSE. 

(1) Contents. A motion for leave to appeal under 28 U.S.C. 

§ 158(a)(3) must include the following: 

(A) the facts necessary to understand the question presented; 

(B) the question itself; 

(C) the relief sought; 

(D) the reasons why leave to appeal should be granted; 

and 

(E) a copy of the interlocutory order or decree and any 

related opinion or memorandum. 

(2) Response. A party may file with the district or BAP clerk 

a response in opposition or a cross-motion within 14 days after 

the motion is served. 

(c) TRANSMITTING THE NOTICE OF APPEAL AND THE MOTION; DOCKETING THE APPEAL; DETERMINING THE MOTION. 

(1) Transmitting to the District Court or BAP. The bankruptcy 

clerk must promptly transmit the notice of appeal and the 

motion for leave to the BAP clerk if a BAP has been established for appeals from that district and the appellant has not 

elected to have the district court hear the appeal. Otherwise, 

the bankruptcy clerk must promptly transmit the notice and 

motion to the district clerk. 

(2) Docketing in the District Court or BAP. Upon receiving the 

notice and motion, the district or BAP clerk must docket the 

appeal under the title of the bankruptcy case and the title of 

any adversary proceeding, and must identify the appellant, 

adding the appellant’s name if necessary. 

(3) Oral Argument Not Required. The motion and any response 

or cross-motion are submitted without oral argument unless 

the district court or BAP orders otherwise. 

(d) FAILURE TO FILE A MOTION WITH A NOTICE OF APPEAL. If an 

appellant timely files a notice of appeal under this rule but does 

not include a motion for leave, the district court or BAP may 

order the appellant to file a motion for leave, or treat the notice 

of appeal as a motion for leave and either grant or deny it. If the 

court orders that a motion for leave be filed, the appellant must 

do so within 14 days after the order is entered, unless the order 

provides otherwise. 

(e) DIRECT APPEAL TO A COURT OF APPEALS. If leave to appeal an 

interlocutory order or decree is required under 28 U.S.C. § 158(a)(3), 

an authorization of a direct appeal by the court of appeals under 

28 U.S.C. § 158(d)(2) satisfies the requirement. 

(Added Apr. 25, 2014, eff. Dec. 1, 2014.) 

Rule 8005. Election to Have an Appeal Heard by the District Court 

Instead of the BAP 

(a) FILING OF A STATEMENT OF ELECTION. To elect to have an appeal heard by the district court, a party must: 
Rule 8006 FEDERAL RULES OF BANKRUPTCY PROCEDURE 96 

(1) file a statement of election that conforms substantially 

to the appropriate Official Form; and 

(2) do so within the time prescribed by 28 U.S.C. § 158(c)(1). 

(b) TRANSMITTING THE DOCUMENTS RELATED TO THE APPEAL. Upon 

receiving an appellant’s timely statement of election, the bankruptcy clerk must transmit to the district clerk all documents related to the appeal. Upon receiving a timely statement of election 

by a party other than the appellant, the BAP clerk must transmit 

to the district clerk all documents related to the appeal and notify the bankruptcy clerk of the transmission. 

(c) DETERMINING THE VALIDITY OF AN ELECTION. A party seeking 

a determination of the validity of an election must file a motion 

in the court where the appeal is then pending. The motion must 

be filed within 14 days after the statement of election is filed. 

(d) MOTION FOR LEAVE WITHOUT A NOTICE OF APPEAL—EFFECT ON

THE TIMING OF AN ELECTION. If an appellant moves for leave to appeal under Rule 8004 but fails to file a separate notice of appeal 

with the motion, the motion must be treated as a notice of appeal 

for purposes of determining the timeliness of a statement of election. 

(Added Apr. 25, 2014, eff. Dec. 1, 2014.) 

Rule 8006. Certifying a Direct Appeal to the Court of Appeals 

(a) EFFECTIVE DATE OF A CERTIFICATION. A certification of a 

judgment, order, or decree of a bankruptcy court for direct review 

in a court of appeals under 28 U.S.C. § 158(d)(2) is effective when: 

(1) the certification has been filed; 

(2) a timely appeal has been taken under Rule 8003 or 8004; 

and 

(3) the notice of appeal has become effective under Rule 8002. 

(b) FILING THE CERTIFICATION. The certification must be filed 

with the clerk of the court where the matter is pending. For purposes of this rule, a matter remains pending in the bankruptcy 

court for 30 days after the effective date under Rule 8002 of the 

first notice of appeal from the judgment, order, or decree for 

which direct review is sought. A matter is pending in the district 

court or BAP thereafter. 

(c) JOINT CERTIFICATION BY ALL APPELLANTS AND APPELLEES. 

(1) How Accomplished. A joint certification by all the appellants and appellees under 28 U.S.C. § 158(d)(2)(A) must be made 

by using the appropriate Official Form. The parties may supplement the certification with a short statement of the basis 

for the certification, which may include the information listed 

in subdivision (f)(2). 

(2) Supplemental Statement by the Court. Within 14 days after 

the parties’ certification, the bankruptcy court or the court in 

which the matter is then pending may file a short supplemental statement about the merits of the certification. 

(d) THE COURT THAT MAY MAKE THE CERTIFICATION. Only the 

court where the matter is pending, as provided in subdivision (b), 

may certify a direct review on request of parties or on its own motion. 

(e) CERTIFICATION ON THE COURT’S OWN MOTION. 

(1) How Accomplished. A certification on the court’s own motion must be set forth in a separate document. The clerk of 
97 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 8006 

the certifying court must serve it on the parties to the appeal 

in the manner required for service of a notice of appeal under 

Rule 8003(c)(1). The certification must be accompanied by an 

opinion or memorandum that contains the information required by subdivision (f)(2)(A)–(D). 

(2) Supplemental Statement by a Party. Within 14 days after 

the court’s certification, a party may file with the clerk of the 

certifying court a short supplemental statement regarding the 

merits of certification. 

(f) CERTIFICATION BY THE COURT ON REQUEST. 

(1) How Requested. A request by a party for certification that 

a circumstance specified in 28 U.S.C. §158(d)(2)(A)(i)–(iii) applies—or a request by a majority of the appellants and a majority of the appellees—must be filed with the clerk of the 

court where the matter is pending within 60 days after the 

entry of the judgment, order, or decree. 

(2) Service and Contents. The request must be served on all 

parties to the appeal in the manner required for service of a 

notice of appeal under Rule 8003(c)(1), and it must include the 

following: 

(A) the facts necessary to understand the question presented; 

(B) the question itself; 

(C) the relief sought; 

(D) the reasons why the direct appeal should be allowed, 

including which circumstance specified in 28 U.S.C. 

§ 158(d)(2)(A)(i)–(iii) applies; and 

(E) a copy of the judgment, order, or decree and any related opinion or memorandum. 

(3) Time to File a Response or a Cross-Request. A party may file 

a response to the request within 14 days after the request is 

served, or such other time as the court where the matter is 

pending allows. A party may file a cross-request for certification within 14 days after the request is served, or within 60 

days after the entry of the judgment, order, or decree, whichever occurs first. 

(4) Oral Argument Not Required. The request, cross-request, 

and any response are submitted without oral argument unless 

the court where the matter is pending orders otherwise. 

(5) Form and Service of the Certification. If the court certifies 

a direct appeal in response to the request, it must do so in a 

separate document. The certification must be served on the 

parties to the appeal in the manner required for service of a 

notice of appeal under Rule 8003(c)(1). 

(g) PROCEEDING IN THE COURT OF APPEALS FOLLOWING A CERTIFICATION. Within 30 days after the date the certification becomes effective under subdivision (a), a request for permission to take a direct appeal to the court of appeals must be filed with the circuit 

clerk in accordance with F.R.App.P. 6(c). 

(Added Apr. 25, 2014, eff. Dec. 1, 2014; amended Apr. 26, 2018, eff. 

Dec. 1, 2018.) 
Rule 8007 FEDERAL RULES OF BANKRUPTCY PROCEDURE 98 

Rule 8007. Stay Pending Appeal; Bonds; Suspension of Proceedings 

(a) INITIAL MOTION IN THE BANKRUPTCY COURT. 

(1) In General. Ordinarily, a party must move first in the 

bankruptcy court for the following relief: 

(A) a stay of a judgment, order, or decree of the bankruptcy court pending appeal; 

(B) the approval of a bond or other security provided to 

obtain a stay of judgment; 

(C) an order suspending, modifying, restoring, or granting an injunction while an appeal is pending; or 

(D) the suspension or continuation of proceedings in a 

case or other relief permitted by subdivision (e). 

(2) Time to File. The motion may be made either before or 

after the notice of appeal is filed. 

(b) MOTION IN THE DISTRICT COURT, THE BAP, OR THE COURT OF

APPEALS ON DIRECT APPEAL. 

(1) Request for Relief. A motion for the relief specified in subdivision (a)(1)—or to vacate or modify a bankruptcy court’s 

order granting such relief—may be made in the court where 

the appeal is pending. 

(2) Showing or Statement Required. The motion must: 

(A) show that moving first in the bankruptcy court 

would be impracticable; or 

(B) if a motion was made in the bankruptcy court, either 

state that the court has not yet ruled on the motion, or 

state that the court has ruled and set out any reasons 

given for the ruling. 

(3) Additional Content. The motion must also include: 

(A) the reasons for granting the relief requested and the 

facts relied upon; 

(B) affidavits or other sworn statements supporting facts 

subject to dispute; and 

(C) relevant parts of the record. 

(4) Serving Notice. The movant must give reasonable notice of 

the motion to all parties. 

(c) FILING A BOND OR OTHER SECURITY. The district court, BAP, 

or court of appeals may condition relief on filing a bond or other 

security with the bankruptcy court. 

(d) BOND OR OTHER SECURITY FOR A TRUSTEE OR THE UNITED

STATES. The court may require a trustee to file a bond or other 

security when the trustee appeals. A bond or other security is not 

required when an appeal is taken by the United States, its officer, 

or its agency or by direction of any department of the federal government. 

(e) CONTINUATION OF PROCEEDINGS IN THE BANKRUPTCY COURT. Despite Rule 7062 and subject to the authority of the district court, 

BAP, or court of appeals, the bankruptcy court may: 

(1) suspend or order the continuation of other proceedings in 

the case; or 

(2) issue any other appropriate orders during the pendency of 

an appeal to protect the rights of all parties in interest. 

(Added Apr. 25, 2014, eff. Dec. 1, 2014; amended Apr. 26, 2018, eff. 

Dec. 1, 2018.) 
99 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 8009 

Rule 8008. Indicative Rulings 

(a) RELIEF PENDING APPEAL. If a party files a timely motion in 

the bankruptcy court for relief that the court lacks authority to 

grant because of an appeal that has been docketed and is pending, 

the bankruptcy court may: 

(1) defer considering the motion; 

(2) deny the motion; or 

(3) state that the court would grant the motion if the court 

where the appeal is pending remands for that purpose, or state 

that the motion raises a substantial issue. 

(b) NOTICE TO THE COURT WHERE THE APPEAL IS PENDING. The 

movant must promptly notify the clerk of the court where the appeal is pending if the bankruptcy court states that it would grant 

the motion or that the motion raises a substantial issue. 

(c) REMAND AFTER AN INDICATIVE RULING. If the bankruptcy 

court states that it would grant the motion or that the motion 

raises a substantial issue, the district court or BAP may remand 

for further proceedings, but it retains jurisdiction unless it expressly dismisses the appeal. If the district court or BAP remands 

but retains jurisdiction, the parties must promptly notify the 

clerk of that court when the bankruptcy court has decided the 

motion on remand. 

(Added Apr. 25, 2014, eff. Dec. 1, 2014.) 

Rule 8009. Record on Appeal; Sealed Documents 

(a) DESIGNATING THE RECORD ON APPEAL; STATEMENT OF THE ISSUES. 

(1) Appellant. 

(A) The appellant must file with the bankruptcy clerk 

and serve on the appellee a designation of the items to be 

included in the record on appeal and a statement of the issues to be presented. 

(B) The appellant must file and serve the designation 

and statement within 14 days after: 

(i) the appellant’s notice of appeal as of right becomes effective under Rule 8002; or 

(ii) an order granting leave to appeal is entered. 

A designation and statement served prematurely must be 

treated as served on the first day on which filing is timely. 

(2) Appellee and Cross-Appellant. Within 14 days after being 

served, the appellee may file with the bankruptcy clerk and 

serve on the appellant a designation of additional items to be 

included in the record. An appellee who files a cross-appeal 

must file and serve a designation of additional items to be included in the record and a statement of the issues to be presented on the cross-appeal. 

(3) Cross-Appellee. Within 14 days after service of the crossappellant’s designation and statement, a cross-appellee may 

file with the bankruptcy clerk and serve on the cross-appellant a designation of additional items to be included in the 

record. 

(4) Record on Appeal. The record on appeal must include the 

following: 

• docket entries kept by the bankruptcy clerk; 
Rule 8009 FEDERAL RULES OF BANKRUPTCY PROCEDURE 100 

• items designated by the parties; 

• the notice of appeal; 

• the judgment, order, or decree being appealed; 

• any order granting leave to appeal; 

• any certification required for a direct appeal to the 

court of appeals; 

• any opinion, findings of fact, and conclusions of law relating to the issues on appeal, including transcripts of all 

oral rulings; 

• any transcript ordered under subdivision (b); 

• any statement required by subdivision (c); and 

• any additional items from the record that the court 

where the appeal is pending orders. 

(5) Copies for the Bankruptcy Clerk. If paper copies are needed, 

a party filing a designation of items must provide a copy of 

any of those items that the bankruptcy clerk requests. If the 

party fails to do so, the bankruptcy clerk must prepare the 

copy at the party’s expense. 

(b) TRANSCRIPT OF PROCEEDINGS. 

(1) Appellant’s Duty to Order. Within the time period prescribed by subdivision (a)(1), the appellant must: 

(A) order in writing from the reporter, as defined in Rule 

8010(a)(1), a transcript of such parts of the proceedings not 

already on file as the appellant considers necessary for the 

appeal, and file a copy of the order with the bankruptcy 

clerk; or 

(B) file with the bankruptcy clerk a certificate stating 

that the appellant is not ordering a transcript. 

(2) Cross-Appellant’s Duty to Order. Within 14 days after the 

appellant files a copy of the transcript order or a certificate 

of not ordering a transcript, the appellee as cross-appellant 

must: 

(A) order in writing from the reporter, as defined in Rule 

8010(a)(1), a transcript of such additional parts of the proceedings as the cross-appellant considers necessary for the 

appeal, and file a copy of the order with the bankruptcy 

clerk; or 

(B) file with the bankruptcy clerk a certificate stating 

that the cross-appellant is not ordering a transcript. 

(3) Appellee’s or Cross-Appellee’s Right to Order. Within 14 days 

after the appellant or cross-appellant files a copy of a transcript order or certificate of not ordering a transcript, the appellee or cross-appellee may order in writing from the reporter 

a transcript of such additional parts of the proceedings as the 

appellee or cross-appellee considers necessary for the appeal. 

A copy of the order must be filed with the bankruptcy clerk. 

(4) Payment. At the time of ordering, a party must make satisfactory arrangements with the reporter for paying the cost 

of the transcript. 

(5) Unsupported Finding or Conclusion. If the appellant intends to argue on appeal that a finding or conclusion is unsupported by the evidence or is contrary to the evidence, the appellant must include in the record a transcript of all relevant 

testimony and copies of all relevant exhibits. 
101 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 8009 

(c) STATEMENT OF THE EVIDENCE WHEN A TRANSCRIPT IS UNAVAILABLE. If a transcript of a hearing or trial is unavailable, the appellant may prepare a statement of the evidence or proceedings from 

the best available means, including the appellant’s recollection. 

The statement must be filed within the time prescribed by subdivision (a)(1) and served on the appellee, who may serve objections or proposed amendments within 14 days after being served. 

The statement and any objections or proposed amendments must 

then be submitted to the bankruptcy court for settlement and approval. As settled and approved, the statement must be included 

by the bankruptcy clerk in the record on appeal. 

(d) AGREED STATEMENT AS THE RECORD ON APPEAL. Instead of the 

record on appeal as defined in subdivision (a), the parties may prepare, sign, and submit to the bankruptcy court a statement of the 

case showing how the issues presented by the appeal arose and 

were decided in the bankruptcy court. The statement must set 

forth only those facts alleged and proved or sought to be proved 

that are essential to the court’s resolution of the issues. If the 

statement is accurate, it—together with any additions that the 

bankruptcy court may consider necessary to a full presentation of 

the issues on appeal—must be approved by the bankruptcy court 

and must then be certified to the court where the appeal is pending as the record on appeal. The bankruptcy clerk must then 

transmit it to the clerk of that court within the time provided by 

Rule 8010. A copy of the agreed statement may be filed in place of 

the appendix required by Rule 8018(b) or, in the case of a direct appeal to the court of appeals, by F.R.App.P. 30. 

(e) CORRECTING OR MODIFYING THE RECORD. 

(1) Submitting to the Bankruptcy Court. If any difference arises 

about whether the record accurately discloses what occurred 

in the bankruptcy court, the difference must be submitted to 

and settled by the bankruptcy court and the record conformed 

accordingly. If an item has been improperly designated as part 

of the record on appeal, a party may move to strike that item. 

(2) Correcting in Other Ways. If anything material to either 

party is omitted from or misstated in the record by error or 

accident, the omission or misstatement may be corrected, and 

a supplemental record may be certified and transmitted: 

(A) on stipulation of the parties; 

(B) by the bankruptcy court before or after the record 

has been forwarded; or 

(C) by the court where the appeal is pending. 

(3) Remaining Questions. All other questions as to the form 

and content of the record must be presented to the court 

where the appeal is pending. 

(f) SEALED DOCUMENTS. A document placed under seal by the 

bankruptcy court may be designated as part of the record on appeal. In doing so, a party must identify it without revealing confidential or secret information, but the bankruptcy clerk must 

not transmit it to the clerk of the court where the appeal is pending as part of the record. Instead, a party must file a motion with 

the court where the appeal is pending to accept the document 

under seal. If the motion is granted, the movant must notify the 

bankruptcy court of the ruling, and the bankruptcy clerk must 
Rule 8010 FEDERAL RULES OF BANKRUPTCY PROCEDURE 102 

promptly transmit the sealed document to the clerk of the court 

where the appeal is pending. 

(g) OTHER NECESSARY ACTIONS. All parties to an appeal must 

take any other action necessary to enable the bankruptcy clerk to 

assemble and transmit the record. 

(Added Apr. 25, 2014, eff. Dec. 1, 2014.) 

Rule 8010. Completing and Transmitting the Record 

(a) REPORTER’S DUTIES. 

(1) Proceedings Recorded Without a Reporter Present. If proceedings were recorded without a reporter being present, the 

person or service selected under bankruptcy court procedures 

to transcribe the recording is the reporter for purposes of this 

rule. 

(2) Preparing and Filing the Transcript. The reporter must prepare and file a transcript as follows: 

(A) Upon receiving an order for a transcript in accordance with Rule 8009(b), the reporter must file in the bankruptcy court an acknowledgment of the request that shows 

when it was received, and when the reporter expects to 

have the transcript completed. 

(B) After completing the transcript, the reporter must 

file it with the bankruptcy clerk, who will notify the district, BAP, or circuit clerk of its filing. 

(C) If the transcript cannot be completed within 30 days 

after receiving the order, the reporter must request an extension of time from the bankruptcy clerk. The clerk must 

enter on the docket and notify the parties whether the extension is granted. 

(D) If the reporter does not file the transcript on time, 

the bankruptcy clerk must notify the bankruptcy judge. 

(b) CLERK’S DUTIES. 

(1) Transmitting the Record—In General. Subject to Rule 

8009(f) and subdivision (b)(5) of this rule, when the record is 

complete, the bankruptcy clerk must transmit to the clerk of 

the court where the appeal is pending either the record or a 

notice that the record is available electronically. 

(2) Multiple Appeals. If there are multiple appeals from a 

judgment, order, or decree, the bankruptcy clerk must transmit a single record. 

(3) Receiving the Record. Upon receiving the record or notice 

that it is available electronically, the district, BAP, or circuit 

clerk must enter that information on the docket and promptly 

notify all parties to the appeal. 

(4) If Paper Copies Are Ordered. If the court where the appeal 

is pending directs that paper copies of the record be provided, 

the clerk of that court must so notify the appellant. If the appellant fails to provide them, the bankruptcy clerk must prepare them at the appellant’s expense. 

(5) When Leave to Appeal is Requested. Subject to subdivision 

(c), if a motion for leave to appeal has been filed under Rule 

8004, the bankruptcy clerk must prepare and transmit the 

record only after the district court, BAP, or court of appeals 

grants leave. 
103 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 8011 

(c) RECORD FOR A PRELIMINARY MOTION IN THE DISTRICT COURT, 

BAP, OR COURT OF APPEALS. This subdivision (c) applies if, before 

the record is transmitted, a party moves in the district court, 

BAP, or court of appeals for any of the following relief: 

• leave to appeal; 

• dismissal; 

• a stay pending appeal; 

• approval of a bond or other security provided to obtain a 

stay of judgment; or 

• any other intermediate order. 

The bankruptcy clerk must then transmit to the clerk of the 

court where the relief is sought any parts of the record designated 

by a party to the appeal or a notice that those parts are available 

electronically. 

(Added Apr. 25, 2014, eff. Dec. 1, 2014; amended Apr. 26, 2018, eff. 

Dec. 1, 2018.) 

Rule 8011. Filing and Service; Signature 

(a) FILING. 

(1) With the Clerk. A document required or permitted to be 

filed in a district court or BAP must be filed with the clerk 

of that court. 

(2) Method and Timeliness. 

(A) Nonelectronic Filing. 

(i) In General. For a document not filed electronically, filing may be accomplished by mail addressed to 

the clerk of the district court or BAP. Except as provided in subdivision (a)(2)(A)(ii) and (iii), filing is timely only if the clerk receives the document within the 

time fixed for filing. 

(ii) Brief or Appendix. A brief or appendix not filed 

electronically is also timely filed if, on or before the 

last day for filing, it is: 

• mailed to the clerk by first-class mail—or other 

class of mail that is at least as expeditious—postage prepaid; or 

• dispatched to a third-party commercial carrier 

for delivery within 3 days to the clerk. 

(iii) Inmate Filing. If an institution has a system designed for legal mail, an inmate confined there must 

use that system to receive the benefit of this Rule 

8011(a)(2)(A)(iii). A document not filed electronically 

by an inmate confined in an institution is timely if it 

is deposited in the institution’s internal mailing system on or before the last day for filing and: 

• it is accompanied by a declaration in compliance with 28 U.S.C. § 1746—or a notarized statement—setting out the date of deposit and stating 

that first-class postage is being prepaid; or evidence (such as a postmark or date stamp) showing 

that the notice was so deposited and that postage 

was prepaid; or 

• the appellate court exercises its discretion to 

permit the later filing of a declaration or notarized 

statement that satisfies this Rule 8011(a)(2)(A)(iii). 
Rule 8011 FEDERAL RULES OF BANKRUPTCY PROCEDURE 104 

(B) Electronic Filing. 

(i) By a Represented Person—Generally Required; Exceptions. An entity represented by an attorney must file 

electronically, unless nonelectronic filing is allowed 

by the court for good cause or is allowed or required by 

local rule. 

(ii) By an Unrepresented Individual—When Allowed or 

Required. An individual not represented by an attorney: 

• may file electronically only if allowed by court 

order or by local rule; and 

• may be required to file electronically only by 

court order, or by a local rule that includes reasonable exceptions. 

(iii) Same as a Written Paper. A document filed electronically is a written paper for purposes of these 

rules. 

(C) Copies. If a document is filed electronically, no paper 

copy is required. If a document is filed by mail or delivery 

to the district court or BAP, no additional copies are required. But the district court or BAP may require by local 

rule or by order in a particular case the filing or furnishing of a specified number of paper copies. 

(3) Clerk’s Refusal of Documents. The court’s clerk must not 

refuse to accept for filing any document transmitted for that 

purpose solely because it is not presented in proper form as required by these rules or by any local rule or practice. 

(b) SERVICE OF ALL DOCUMENTS REQUIRED. Unless a rule requires 

service by the clerk, a party must, at or before the time of the filing of a document, serve it on the other parties to the appeal. 

Service on a party represented by counsel must be made on the 

party’s counsel. 

(c) MANNER OF SERVICE. 

(1) Nonelectronic Service. Nonelectronic service may be by any 

of the following: 

(A) personal delivery; 

(B) mail; or 

(C) third-party commercial carrier for delivery within 3 

days. 

(2) Electronic Service. Electronic service may be made by 

sending a document to a registered user by filing it with the 

court’s electronic-filing system or by using other electronic 

means that the person served consented to in writing. 

(3) When Service Is Complete. Service by electronic means is 

complete on filing or sending, unless the person making service receives notice that the document was not received by the 

person served. Service by mail or by commercial carrier is 

complete on mailing or delivery to the carrier. 

(d) PROOF OF SERVICE. 

(1) What Is Required. A document presented for filing must 

contain either of the following if it was served other than 

through the court’s electronic-filing system: 

(A) an acknowledgment of service by the person served; 

or 

(B) proof of service consisting of a statement by the person who made service certifying: 
105 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 8013 

(i) the date and manner of service; 

(ii) the names of the persons served; and 

(iii) the mail or electronic address, the fax number, 

or the address of the place of delivery, as appropriate 

for the manner of service, for each person served. 

(2) Delayed Proof. The district or BAP clerk may permit documents to be filed without acknowledgment or proof of service, but must require the acknowledgment or proof to be filed 

promptly thereafter. 

(3) Brief or Appendix. When a brief or appendix is filed, the 

proof of service must also state the date and manner by which 

it was filed. 

(e) SIGNATURE. Every document filed electronically must include 

the electronic signature of the person filing it or, if the person is 

represented, the electronic signature of counsel. A filing made 

through a person’s electronic-filing account and authorized by 

that person, together with that person’s name on a signature 

block, constitutes the person’s signature. Every document filed in 

paper form must be signed by the person filing the document or, 

if the person is represented, by counsel. 

(Added Apr. 25, 2014, eff. Dec. 1, 2014; amended Apr. 26, 2018, eff. 

Dec. 1, 2018.) 

Rule 8012. Disclosure Statement 

(a) NONGOVERNMENTAL CORPORATIONS. Any nongovernmental 

corporation that is a party to a proceeding in the district court 

or BAP must file a statement that identifies any parent corporation and any publicly held corporation that owns 10% or more of 

its stock or states that there is no such corporation. The same requirement applies to a nongovernmental corporation that seeks to 

intervene. 

(b) DISCLOSURE ABOUT THE DEBTOR. The debtor, the trustee, or, 

if neither is a party, the appellant must file a statement that: 

(1) identifies each debtor not named in the caption; and 

(2) for each debtor that is a corporation, discloses the information required by Rule 8012(a). 

(c) TIME TO FILE; SUPPLEMENTAL FILING. A Rule 8012 statement 

must: 

(1) be filed with the principal brief or upon filing a motion, 

response, petition, or answer in the district court or BAP, 

whichever occurs first, unless a local rule requires earlier filing; 

(2) be included before the table of contents in the principal 

brief; and 

(3) be supplemented whenever the information required by 

Rule 8012 changes. 

(Added Apr. 25, 2014, eff. Dec. 1, 2014; amended Apr. 27, 2020, eff. 

Dec. 1, 2020.) 

Rule 8013. Motions; Intervention 

(a) CONTENTS OF A MOTION; RESPONSE; REPLY. 

(1) Request for Relief. A request for an order or other relief is 

made by filing a motion with the district or BAP clerk. 

(2) Contents of a Motion. 
Rule 8013 FEDERAL RULES OF BANKRUPTCY PROCEDURE 106 

(A) Grounds and the Relief Sought. A motion must state 

with particularity the grounds for the motion, the relief 

sought, and the legal argument necessary to support it. 

(B) Motion to Expedite an Appeal. A motion to expedite an 

appeal must explain what justifies considering the appeal 

ahead of other matters. If the district court or BAP grants 

the motion, it may accelerate the time to transmit the 

record, the deadline for filing briefs and other documents, 

oral argument, and the resolution of the appeal. A motion 

to expedite an appeal may be filed as an emergency motion 

under subdivision (d). 

(C) Accompanying Documents. 

(i) Any affidavit or other document necessary to support a motion must be served and filed with the motion. 

(ii) An affidavit must contain only factual information, not legal argument. 

(iii) A motion seeking substantive relief must include a copy of the bankruptcy court’s judgment, 

order, or decree, and any accompanying opinion as a 

separate exhibit. 

(D) Documents Barred or Not Required. 

(i) A separate brief supporting or responding to a motion must not be filed. 

(ii) Unless the court orders otherwise, a notice of motion or a proposed order is not required. 

(3) Response and Reply; Time to File. Unless the district court 

or BAP orders otherwise, 

(A) any party to the appeal may file a response to the 

motion within 7 days after service of the motion; and 

(B) the movant may file a reply to a response within 7 

days after service of the response, but may only address 

matters raised in the response. 

(b) DISPOSITION OF A MOTION FOR A PROCEDURAL ORDER. The district court or BAP may rule on a motion for a procedural order— 

including a motion under Rule 9006(b) or (c)—at any time without 

awaiting a response. A party adversely affected by the ruling may 

move to reconsider, vacate, or modify it within 7 days after the 

procedural order is served. 

(c) ORAL ARGUMENT. A motion will be decided without oral argument unless the district court or BAP orders otherwise. 

(d) EMERGENCY MOTION. 

(1) Noting the Emergency. When a movant requests expedited 

action on a motion because irreparable harm would occur during the time needed to consider a response, the movant must 

insert the word ‘‘Emergency’’ before the title of the motion. 

(2) Contents of the Motion. The emergency motion must 

(A) be accompanied by an affidavit setting out the nature of the emergency; 

(B) state whether all grounds for it were submitted to 

the bankruptcy court and, if not, why the motion should 

not be remanded for the bankruptcy court to consider; 

(C) include the e-mail addresses, office addresses, and 

telephone numbers of moving counsel and, when known, of 

opposing counsel and any unrepresented parties to the appeal; and 
107 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 8014 

(D) be served as prescribed by Rule 8011. 

(3) Notifying Opposing Parties. Before filing an emergency motion, the movant must make every practicable effort to notify 

opposing counsel and any unrepresented parties in time for 

them to respond. The affidavit accompanying the emergency 

motion must state when and how notice was given or state 

why giving it was impracticable. 

(e) POWER OF A SINGLE BAP JUDGE TO ENTERTAIN A MOTION. 

(1) Single Judge’s Authority. A BAP judge may act alone on 

any motion, but may not dismiss or otherwise determine an 

appeal, deny a motion for leave to appeal, or deny a motion for 

a stay pending appeal if denial would make the appeal moot. 

(2) Reviewing a Single Judge’s Action. The BAP may review a 

single judge’s action, either on its own motion or on a party’s 

motion. 

(f) FORM OF DOCUMENTS; LENGTH LIMITS; NUMBER OF COPIES. 

(1) Format of a Paper Document. Rule 27(d)(1) F.R.App.P. applies in the district court or BAP to a paper version of a motion, response, or reply. 

(2) Format of an Electronically Filed Document. A motion, response, or reply filed electronically must comply with the requirements for a paper version regarding covers, line spacing, 

margins, typeface, and type style. It must also comply with 

the length limits under paragraph (3). 

(3) Length Limits. Except by the district court’s or BAP’s permission, and excluding the accompanying documents authorized by subdivision (a)(2)(C): 

(A) a motion or a response to a motion produced using 

a computer must include a certificate under Rule 8015(h) 

and not exceed 5,200 words; 

(B) a handwritten or typewritten motion or a response to 

a motion must not exceed 20 pages; 

(C) a reply produced using a computer must include a 

certificate under Rule 8015(h) and not exceed 2,600 words; 

and 

(D) a handwritten or typewritten reply must not exceed 

10 pages. 

(4) Paper Copies. Paper copies must be provided only if required by local rule or by an order in a particular case. 

(g) INTERVENING IN AN APPEAL. Unless a statute provides otherwise, an entity that seeks to intervene in an appeal pending in the 

district court or BAP must move for leave to intervene and serve 

a copy of the motion on the parties to the appeal. The motion or 

other notice of intervention authorized by statute must be filed 

within 30 days after the appeal is docketed. It must concisely 

state the movant’s interest, the grounds for intervention, whether 

intervention was sought in the bankruptcy court, why intervention is being sought at this stage of the proceeding, and why participating as an amicus curiae would not be adequate. 

(Added Apr. 25, 2014, eff. Dec. 1, 2014; amended Apr. 26, 2018, eff. 

Dec. 1, 2018; Apr. 27, 2020, eff. Dec. 1, 2020.) 

Rule 8014. Briefs 

(a) APPELLANT’S BRIEF. The appellant’s brief must contain the 

following under appropriate headings and in the order indicated: 
Rule 8014 FEDERAL RULES OF BANKRUPTCY PROCEDURE 108 

(1) a corporate disclosure statement, if required by Rule 8012; 

(2) a table of contents, with page references; 

(3) a table of authorities—cases (alphabetically arranged), 

statutes, and other authorities—with references to the pages 

of the brief where they are cited; 

(4) a jurisdictional statement, including: 

(A) the basis for the bankruptcy court’s subject-matter 

jurisdiction, with citations to applicable statutory provisions and stating relevant facts establishing jurisdiction; 

(B) the basis for the district court’s or BAP’s jurisdiction, with citations to applicable statutory provisions and 

stating relevant facts establishing jurisdiction; 

(C) the filing dates establishing the timeliness of the appeal; and 

(D) an assertion that the appeal is from a final judgment, order, or decree, or information establishing the district court’s or BAP’s jurisdiction on another basis; 

(5) a statement of the issues presented and, for each one, a 

concise statement of the applicable standard of appellate review; 

(6) a concise statement of the case setting out the facts relevant to the issues submitted for review, describing the relevant procedural history, and identifying the rulings presented for review, with appropriate references to the record; 

(7) a summary of the argument, which must contain a succinct, clear, and accurate statement of the arguments made in 

the body of the brief, and which must not merely repeat the 

argument headings; 

(8) the argument, which must contain the appellant’s contentions and the reasons for them, with citations to the authorities and parts of the record on which the appellant relies; 

(9) a short conclusion stating the precise relief sought; and 

(10) the certificate of compliance, if required by Rule 

8015(a)(7) or (b). 

(b) APPELLEE’S BRIEF. The appellee’s brief must conform to the 

requirements of subdivision (a)(1)–(8) and (10), except that none of 

the following need appear unless the appellee is dissatisfied with 

the appellant’s statement: 

(1) the jurisdictional statement; 

(2) the statement of the issues and the applicable standard 

of appellate review; and 

(3) the statement of the case. 

(c) REPLY BRIEF. The appellant may file a brief in reply to the 

appellee’s brief. A reply brief must comply with the requirements 

of subdivision (a)(2)–(3). 

(d) STATUTES, RULES, REGULATIONS, OR SIMILAR AUTHORITY. If 

the court’s determination of the issues presented requires the 

study of the Code or other statutes, rules, regulations, or similar 

authority, the relevant parts must be set out in the brief or in an 

addendum. 

(e) BRIEFS IN A CASE INVOLVING MULTIPLE APPELLANTS OR APPELLEES. In a case involving more than one appellant or appellee, including consolidated cases, any number of appellants or appellees 

may join in a brief, and any party may adopt by reference a part 

of another’s brief. Parties may also join in reply briefs. 
109 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 8015 

(f) CITATION OF SUPPLEMENTAL AUTHORITIES. If pertinent and significant authorities come to a party’s attention after the party’s 

brief has been filed—or after oral argument but before a decision— 

a party may promptly advise the district or BAP clerk by a signed 

submission setting forth the citations. The submission, which 

must be served on the other parties to the appeal, must state the 

reasons for the supplemental citations, referring either to the pertinent page of a brief or to a point argued orally. The body of the 

submission must not exceed 350 words. Any response must be made 

within 7 days after the party is served, unless the court orders 

otherwise, and must be similarly limited. 

(Added Apr. 25, 2014, eff. Dec. 1, 2014.) 

Rule 8015. Form and Length of Briefs; Form of Appendices and 

Other Papers 

(a) PAPER COPIES OF A BRIEF. If a paper copy of a brief may or 

must be filed, the following provisions apply: 

(1) Reproduction. 

(A) A brief may be reproduced by any process that yields 

a clear black image on light paper. The paper must be 

opaque and unglazed. Only one side of the paper may be 

used. 

(B) Text must be reproduced with a clarity that equals 

or exceeds the output of a laser printer. 

(C) Photographs, illustrations, and tables may be reproduced by any method that results in a good copy of the 

original. A glossy finish is acceptable if the original is 

glossy. 

(2) Cover. The front cover of a brief must contain: 

(A) the number of the case centered at the top; 

(B) the name of the court; 

(C) the title of the case as prescribed by Rule 8003(d)(2) 

or 8004(c)(2); 

(D) the nature of the proceeding and the name of the 

court below; 

(E) the title of the brief, identifying the party or parties 

for whom the brief is filed; and 

(F) the name, office address, telephone number, and email address of counsel representing the party for whom 

the brief is filed. 

(3) Binding. The brief must be bound in any manner that is 

secure, does not obscure the text, and permits the brief to lie 

reasonably flat when open. 

(4) Paper Size, Line Spacing, and Margins. The brief must be 

on 81⁄2-by-11 inch paper. The text must be double-spaced, but 

quotations more than two lines long may be indented and single-spaced. Headings and footnotes may be single-spaced. Margins must be at least one inch on all four sides. Page numbers 

may be placed in the margins, but no text may appear there. 

(5) Typeface. Either a proportionally spaced or monospaced 

face may be used. 

(A) A proportionally spaced face must include serifs, but 

sans-serif type may be used in headings and captions. A 

proportionally spaced face must be 14-point or larger. 
Rule 8015 FEDERAL RULES OF BANKRUPTCY PROCEDURE 110 

(B) A monospaced face may not contain more than 101⁄2

characters per inch. 

(6) Type Styles. A brief must be set in plain, roman style, although italics or boldface may be used for emphasis. Case 

names must be italicized or underlined. 

(7) Length. 

(A) Page Limitation. A principal brief must not exceed 30 

pages, or a reply brief 15 pages, unless it complies with 

subparagraph (B). 

(B) Type-volume Limitation. 

(i) A principal brief is acceptable if it contains a certificate under Rule 8015(h) and: 

• contains no more than 13,000 words; or 

• uses a monospaced face and contains no more 

than 1,300 lines of text. 

(ii) A reply brief is acceptable if it includes a certificate under Rule 8015(h) and contains no more than half 

of the type volume specified in item (i). 

(b) ELECTRONICALLY FILED BRIEFS. A brief filed electronically 

must comply with subdivision (a), except for (a)(1), (a)(3), and the 

paper requirement of (a)(4). 

(c) PAPER COPIES OF APPENDICES. A paper copy of an appendix 

must comply with subdivision (a)(1), (2), (3), and (4), with the following exceptions: 

(1) An appendix may include a legible photocopy of any document found in the record or of a printed decision. 

(2) When necessary to facilitate inclusion of odd-sized documents such as technical drawings, an appendix may be a size 

other than 81⁄2-by-11 inches, and need not lie reasonably flat 

when opened. 

(d) ELECTRONICALLY FILED APPENDICES. An appendix filed electronically must comply with subdivision (a)(2) and (4), except for 

the paper requirement of (a)(4). 

(e) OTHER DOCUMENTS. 

(1) Motion. Rule 8013(f) governs the form of a motion, response, or reply. 

(2) Paper Copies of Other Documents. A paper copy of any 

other document, other than a submission under Rule 8014(f), 

must comply with subdivision (a), with the following exceptions: 

(A) A cover is not necessary if the caption and signature 

page together contain the information required by subdivision (a)(2). 

(B) Subdivision (a)(7) does not apply. 

(3) Other Documents Filed Electronically. Any other document 

filed electronically, other than a submission under Rule 

8014(f), must comply with the appearance requirements of 

paragraph (2). 

(f) LOCAL VARIATION. A district court or BAP must accept documents that comply with the form requirements of this rule and 

the length limits set by Part VIII of these rules. By local rule or 

order in a particular case, a district court or BAP may accept documents that do not meet all the form requirements of this rule or 

the length limits set by Part VIII of these rules. 
111 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 8016 

(g) ITEMS EXCLUDED FROM LENGTH. In computing any length 

limit, headings, footnotes, and quotations count toward the limit, 

but the following items do not: 

• cover page; 

• disclosure statement under Rule 8012; 

• table of contents; 

• table of citations; 

• statement regarding oral argument; 

• addendum containing statutes, rules, or regulations; 

• certificates of counsel; 

• signature block; 

• proof of service; and 

• any item specifically excluded by these rules or by local 

rule. 

(h) CERTIFICATE OF COMPLIANCE. 

(1) Briefs and Documents That Require a Certificate. A brief 

submitted under Rule 8015(a)(7)(B), 8016(d)(2), or 8017(b)(4)—and 

a document submitted under Rule 8013(f)(3)(A), 8013(f)(3)(C), or 

8022(b)(1)—must include a certificate by the attorney, or an 

unrepresented party, that the document complies with the 

type-volume limitation. The individual preparing the certificate may rely on the word or line count of the word-processing 

system used to prepare the document. The certificate must 

state the number of words—or the number of lines of monospaced type—in the document. 

(2) Acceptable Form. The certificate requirement is satisfied 

by a certificate of compliance that conforms substantially to 

the appropriate Official Form. 

(Added Apr. 25, 2014, eff. Dec. 1, 2014; amended Apr. 26, 2018, eff. 

Dec. 1, 2018; Apr. 27, 2020, eff. Dec. 1, 2020.) 

Rule 8016. Cross-Appeals 

(a) APPLICABILITY. This rule applies to a case in which a crossappeal is filed. Rules 8014(a)–(c), 8015(a)(7)(A)–(B), and 8018(a)(1)–(3) 

do not apply to such a case, except as otherwise provided in this 

rule. 

(b) DESIGNATION OF APPELLANT. The party who files a notice of 

appeal first is the appellant for purposes of this rule and Rule 

8018(a)(4) and (b) and Rule 8019. If notices are filed on the same 

day, the plaintiff, petitioner, applicant, or movant in the proceeding below is the appellant. These designations may be modified by 

the parties’ agreement or by court order. 

(c) BRIEFS. In a case involving a cross-appeal: 

(1) Appellant’s Principal Brief. The appellant must file a principal brief in the appeal. That brief must comply with Rule 

8014(a). 

(2) Appellee’s Principal and Response Brief. The appellee must 

file a principal brief in the cross-appeal and must, in the same 

brief, respond to the principal brief in the appeal. That brief 

must comply with Rule 8014(a), except that the brief need not 

include a statement of the case unless the appellee is dissatisfied with the appellant’s statement. 

(3) Appellant’s Response and Reply Brief. The appellant must 

file a brief that responds to the principal brief in the cross-appeal and may, in the same brief, reply to the response in the 
Rule 8017 FEDERAL RULES OF BANKRUPTCY PROCEDURE 112 

appeal. That brief must comply with Rule 8014(a)(2)–(8) and 

(10), except that none of the following need appear unless the 

appellant is dissatisfied with the appellee’s statement in the 

cross-appeal: 

(A) the jurisdictional statement; 

(B) the statement of the issues and the applicable standard of appellate review; and 

(C) the statement of the case. 

(4) Appellee’s Reply Brief. The appellee may file a brief in 

reply to the response in the cross-appeal. That brief must comply with Rule 8014(a)(2)–(3) and (10) and must be limited to the 

issues presented by the cross-appeal. 

(d) LENGTH. 

(1) Page Limitation. Unless it complies with paragraph (2), the 

appellant’s principal brief must not exceed 30 pages; the appellee’s principal and response brief, 35 pages; the appellant’s response and reply brief, 30 pages; and the appellee’s reply brief, 

15 pages. 

(2) Type-volume Limitation. 

(A) The appellant’s principal brief or the appellant’s response and reply brief is acceptable if it includes a certificate under Rule 8015(h) and: 

(i) contains no more than 13,000 words; or 

(ii) uses a monospaced face and contains no more 

than 1,300 lines of text. 

(B) The appellee’s principal and response brief is acceptable if it includes a certificate under Rule 8015(h) and: 

(i) contains no more than 15,300 words; or 

(ii) uses a monospaced face and contains no more 

than 1,500 lines of text. 

(C) The appellee’s reply brief is acceptable if it includes 

a certificate under Rule 8015(h) and contains no more than 

half of the type volume specified in subparagraph (A). 

(e) TIME TO SERVE AND FILE A BRIEF. Briefs must be served and 

filed as follows, unless the district court or BAP by order in a particular case excuses the filing of briefs or specifies different time 

limits: 

(1) the appellant’s principal brief, within 30 days after the 

docketing of notice that the record has been transmitted or is 

available electronically; 

(2) the appellee’s principal and response brief, within 30 days 

after the appellant’s principal brief is served; 

(3) the appellant’s response and reply brief, within 30 days 

after the appellee’s principal and response brief is served; and 

(4) the appellee’s reply brief, within 14 days after the appellant’s response and reply brief is served, but at least 7 days before scheduled argument unless the district court or BAP, for 

good cause, allows a later filing. 

(Added Apr. 25, 2014, eff. Dec. 1, 2014; amended Apr. 26, 2018, eff. 

Dec. 1, 2018.) 

Rule 8017. Brief of an Amicus Curiae 

(a) DURING INITIAL CONSIDERATION OF A CASE ON THE MERITS. 

(1) Applicability. This Rule 8017(a) governs amicus filings during a court’s initial consideration of a case on the merits. 
113 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 8017 

(2) When Permitted. The United States or its officer or agency 

or a state may file an amicus brief without the consent of the 

parties or leave of court. Any other amicus curiae may file a 

brief only by leave of court or if the brief states that all parties have consented to its filing, but a district court or BAP 

may prohibit the filing of or may strike an amicus brief that 

would result in a judge’s disqualification. On its own motion, 

and with notice to all parties to an appeal, the district court 

or BAP may request a brief by an amicus curiae. 

(3) Motion for Leave to File. The motion must be accompanied 

by the proposed brief and state: 

(A) the movant’s interest; and 

(B) the reason why an amicus brief is desirable and why 

the matters asserted are relevant to the disposition of the 

appeal. 

(4) Contents and Form. An amicus brief must comply with 

Rule 8015. In addition to the requirements of Rule 8015, the 

cover must identify the party or parties supported and indicate whether the brief supports affirmance or reversal. If an 

amicus curiae is a corporation, the brief must include a disclosure statement like that required of parties by Rule 8012. An 

amicus brief need not comply with Rule 8014, but must include 

the following: 

(A) a table of contents, with page references; 

(B) a table of authorities—cases (alphabetically arranged), statutes, and other authorities—with references 

to the pages of the brief where they are cited; 

(C) a concise statement of the identity of the amicus curiae, its interest in the case, and the source of its authority to file; 

(D) unless the amicus curiae is one listed in the first sentence of subdivision (a)(2), a statement that indicates 

whether: 

(i) a party’s counsel authored the brief in whole or in 

part; 

(ii) a party or a party’s counsel contributed money 

that was intended to fund preparing or submitting the 

brief; and 

(iii) a person—other than the amicus curiae, its 

members, or its counsel—contributed money that was 

intended to fund preparing or submitting the brief and, 

if so, identifies each such person; 

(E) an argument, which may be preceded by a summary 

and need not include a statement of the applicable standard of review; and 

(F) a certificate of compliance, if required by Rule 

8015(h). 

(5) Length. Except by the district court’s or BAP’s permission, an amicus brief must be no more than one-half the maximum length authorized by these rules for a party’s principal 

brief. If the court grants a party permission to file a longer 

brief, that extension does not affect the length of an amicus 

brief. 

(6) Time for Filing. An amicus curiae must file its brief, accompanied by a motion for filing when necessary, no later 
Rule 8018 FEDERAL RULES OF BANKRUPTCY PROCEDURE 114 

than 7 days after the principal brief of the party being supported is filed. An amicus curiae that does not support either 

party must file its brief no later than 7 days after the appellant’s principal brief is filed. The district court or BAP may 

grant leave for later filing, specifying the time within which 

an opposing party may answer. 

(7) Reply Brief. Except by the district court’s or BAP’s permission, an amicus curiae may not file a reply brief. 

(8) Oral Argument. An amicus curiae may participate in oral 

argument only with the district court’s or BAP’s permission. 

(b) DURING CONSIDERATION OF WHETHER TO GRANT REHEARING. 

(1) Applicability. This Rule 8017(b) governs amicus filings during a district court’s or BAP’s consideration of whether to 

grant rehearing, unless a local rule or order in a case provides 

otherwise. 

(2) When Permitted. The United States or its officer or agency 

or a state may file an amicus brief without the consent of the 

parties or leave of court. Any other amicus curiae may file a 

brief only by leave of court. 

(3) Motion for Leave to File. Rule 8017(a)(3) applies to a motion 

for leave. 

(4) Contents, Form, and Length. Rule 8017(a)(4) applies to the 

amicus brief. The brief must include a certificate under Rule 

8015(h) and not exceed 2,600 words. 

(5) Time for Filing. An amicus curiae supporting the motion 

for rehearing or supporting neither party must file its brief, 

accompanied by a motion for filing when necessary, no later 

than 7 days after the motion is filed. An amicus curiae opposing the motion for rehearing must file its brief, accompanied 

by a motion for filing when necessary, no later than the date 

set by the court for the response. 

(Added Apr. 25, 2014, eff. Dec. 1, 2014; amended Apr. 26, 2018, eff. 

Dec. 1, 2018.) 

Rule 8018. Serving and Filing Briefs; Appendices 

(a) TIME TO SERVE AND FILE A BRIEF. The following rules apply 

unless the district court or BAP by order in a particular case excuses the filing of briefs or specifies different time limits: 

(1) The appellant must serve and file a brief within 30 days 

after the docketing of notice that the record has been transmitted or is available electronically. 

(2) The appellee must serve and file a brief within 30 days 

after service of the appellant’s brief. 

(3) The appellant may serve and file a reply brief within 14 

days after service of the appellee’s brief, but a reply brief must 

be filed at least 7 days before scheduled argument unless the 

district court or BAP, for good cause, allows a later filing. 

(4) If an appellant fails to file a brief on time or within an 

extended time authorized by the district court or BAP, an appellee may move to dismiss the appeal—or the district court 

or BAP, after notice, may dismiss the appeal on its own motion. An appellee who fails to file a brief will not be heard at 

oral argument unless the district court or BAP grants permission. 
115 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 8019 

(b) DUTY TO SERVE AND FILE AN APPENDIX TO THE BRIEF. 

(1) Appellant. Subject to subdivision (e) and Rule 8009(d), the 

appellant must serve and file with its principal brief excerpts 

of the record as an appendix. It must contain the following: 

(A) the relevant entries in the bankruptcy docket; 

(B) the complaint and answer, or other equivalent filings; 

(C) the judgment, order, or decree from which the appeal 

is taken; 

(D) any other orders, pleadings, jury instructions, findings, conclusions, or opinions relevant to the appeal; 

(E) the notice of appeal; and 

(F) any relevant transcript or portion of it. 

(2) Appellee. The appellee may also serve and file with its 

brief an appendix that contains material required to be included by the appellant or relevant to the appeal or cross-appeal, but omitted by the appellant. 

(3) Cross-Appellee. The appellant as cross-appellee may also 

serve and file with its response an appendix that contains material relevant to matters raised initially by the principal 

brief in the cross-appeal, but omitted by the cross-appellant. 

(c) FORMAT OF THE APPENDIX. The appendix must begin with a 

table of contents identifying the page at which each part begins. 

The relevant docket entries must follow the table of contents. 

Other parts of the record must follow chronologically. When pages 

from the transcript of proceedings are placed in the appendix, the 

transcript page numbers must be shown in brackets immediately 

before the included pages. Omissions in the text of documents or 

of the transcript must be indicated by asterisks. Immaterial formal matters (captions, subscriptions, acknowledgments, and the 

like) should be omitted. 

(d) EXHIBITS. Exhibits designated for inclusion in the appendix 

may be reproduced in a separate volume or volumes, suitably indexed. 

(e) APPEAL ON THE ORIGINAL RECORD WITHOUT AN APPENDIX. The 

district court or BAP may, either by rule for all cases or classes 

of cases or by order in a particular case, dispense with the appendix and permit an appeal to proceed on the original record, with 

the submission of any relevant parts of the record that the district court or BAP orders the parties to file. 

(Added Apr. 25, 2014, eff. Dec. 1, 2014.) 

Rule 8018.1. District-Court Review of a Judgment that the Bankruptcy Court Lacked the Constitutional Authority to Enter 

If, on appeal, a district court determines that the bankruptcy 

court did not have the power under Article III of the Constitution 

to enter the judgment, order, or decree appealed from, the district 

court may treat it as proposed findings of fact and conclusions of 

law. 

(Added Apr. 26, 2018, eff. Dec. 1, 2018.) 

Rule 8019. Oral Argument 

(a) PARTY’S STATEMENT. Any party may file, or a district court 

or BAP may require, a statement explaining why oral argument 

should, or need not, be permitted. 
Rule 8020 FEDERAL RULES OF BANKRUPTCY PROCEDURE 116 

(b) PRESUMPTION OF ORAL ARGUMENT AND EXCEPTIONS. Oral argument must be allowed in every case unless the district judge—or 

all the BAP judges assigned to hear the appeal—examine the 

briefs and record and determine that oral argument is unnecessary because 

(1) the appeal is frivolous; 

(2) the dispositive issue or issues have been authoritatively 

decided; or 

(3) the facts and legal arguments are adequately presented in 

the briefs and record, and the decisional process would not be 

significantly aided by oral argument. 

(c) NOTICE OF ARGUMENT; POSTPONEMENT. The district court or 

BAP must advise all parties of the date, time, and place for oral 

argument, and the time allowed for each side. A motion to postpone the argument or to allow longer argument must be filed reasonably in advance of the hearing date. 

(d) ORDER AND CONTENTS OF ARGUMENT. The appellant opens and 

concludes the argument. Counsel must not read at length from 

briefs, the record, or authorities. 

(e) CROSS-APPEALS AND SEPARATE APPEALS. If there is a cross-appeal, Rule 8016(b) determines which party is the appellant and 

which is the appellee for the purposes of oral argument. Unless the 

district court or BAP directs otherwise, a cross-appeal or separate 

appeal must be argued when the initial appeal is argued. Separate 

parties should avoid duplicative argument. 

(f) NONAPPEARANCE OF A PARTY. If the appellee fails to appear for 

argument, the district court or BAP may hear the appellant’s argument. If the appellant fails to appear for argument, the district 

court or BAP may hear the appellee’s argument. If neither party 

appears, the case will be decided on the briefs unless the district 

court or BAP orders otherwise. 

(g) SUBMISSION ON BRIEFS. The parties may agree to submit a 

case for decision on the briefs, but the district court or BAP may 

direct that the case be argued. 

(h) USE OF PHYSICAL EXHIBITS AT ARGUMENT; REMOVAL. Counsel 

intending to use physical exhibits other than documents at the argument must arrange to place them in the courtroom on the day 

of the argument before the court convenes. After the argument, 

counsel must remove the exhibits from the courtroom unless the 

district court or BAP directs otherwise. The clerk may destroy or 

dispose of the exhibits if counsel does not reclaim them within a 

reasonable time after the clerk gives notice to remove them. 

(Added Apr. 25, 2014, eff. Dec. 1, 2014.) 

Rule 8020. Frivolous Appeal and Other Misconduct 

(a) FRIVOLOUS APPEAL—DAMAGES AND COSTS. If the district 

court or BAP determines that an appeal is frivolous, it may, after 

a separately filed motion or notice from the court and reasonable 

opportunity to respond, award just damages and single or double 

costs to the appellee. 

(b) OTHER MISCONDUCT. The district court or BAP may discipline 

or sanction an attorney or party appearing before it for other misconduct, including failure to comply with any court order. First, 

however, the court must afford the attorney or party reasonable 
117 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 8022 

notice, an opportunity to show cause to the contrary, and, if requested, a hearing. 

(Added Apr. 25, 2014, eff. Dec. 1, 2014.) 

Rule 8021. Costs 

(a) AGAINST WHOM ASSESSED. The following rules apply unless 

the law provides or the district court or BAP orders otherwise: 

(1) if an appeal is dismissed, costs are taxed against the appellant, unless the parties agree otherwise; 

(2) if a judgment, order, or decree is affirmed, costs are taxed 

against the appellant; 

(3) if a judgment, order, or decree is reversed, costs are taxed 

against the appellee; 

(4) if a judgment, order, or decree is affirmed or reversed in 

part, modified, or vacated, costs are taxed only as the district 

court or BAP orders. 

(b) COSTS FOR AND AGAINST THE UNITED STATES. Costs for or 

against the United States, its agency, or its officer may be assessed under subdivision (a) only if authorized by law. 

(c) COSTS ON APPEAL TAXABLE IN THE BANKRUPTCY COURT. The 

following costs on appeal are taxable in the bankruptcy court for 

the benefit of the party entitled to costs under this rule: 

(1) the production of any required copies of a brief, appendix, 

exhibit, or the record; 

(2) the preparation and transmission of the record; 

(3) the reporter’s transcript, if needed to determine the appeal; 

(4) premiums paid for a bond or other security to preserve 

rights pending appeal; and 

(5) the fee for filing the notice of appeal. 

(d) BILL OF COSTS; OBJECTIONS. A party who wants costs taxed 

must, within 14 days after entry of judgment on appeal, file with 

the bankruptcy clerk and serve an itemized and verified bill of 

costs. Objections must be filed within 14 days after service of the 

bill of costs, unless the bankruptcy court extends the time. 

(Added Apr. 25, 2014, eff. Dec. 1, 2014; amended Apr. 26, 2018, eff. 

Dec. 1, 2018; Apr. 27, 2020, eff. Dec. 1, 2020.) 

Rule 8022. Motion for Rehearing 

(a) TIME TO FILE; CONTENTS; RESPONSE; ACTION BY THE DISTRICT

COURT OR BAP IF GRANTED. 

(1) Time. Unless the time is shortened or extended by order 

or local rule, any motion for rehearing by the district court or 

BAP must be filed within 14 days after entry of judgment on 

appeal. 

(2) Contents. The motion must state with particularity each 

point of law or fact that the movant believes the district court 

or BAP has overlooked or misapprehended and must argue in 

support of the motion. Oral argument is not permitted. 

(3) Response. Unless the district court or BAP requests, no 

response to a motion for rehearing is permitted. But ordinarily, rehearing will not be granted in the absence of such a 

request. 
Rule 8023 FEDERAL RULES OF BANKRUPTCY PROCEDURE 118 

(4) Action by the District Court or BAP. If a motion for rehearing is granted, the district court or BAP may do any of the following: 

(A) make a final disposition of the appeal without reargument; 

(B) restore the case to the calendar for reargument or resubmission; or 

(C) issue any other appropriate order. 

(b) FORM OF THE MOTION; LENGTH. The motion must comply in 

form with Rule 8013(f)(1) and (2). Copies must be served and filed 

as provided by Rule 8011. Except by the district court’s or BAP’s 

permission: 

(1) a motion for rehearing produced using a computer must 

include a certificate under Rule 8015(h) and not exceed 3,900 

words; and 

(2) a handwritten or typewritten motion must not exceed 15 

pages. 

(Added Apr. 25, 2014, eff. Dec. 1, 2014; amended Apr. 26, 2018, eff. 

Dec. 1, 2018.) 

Rule 8023. Voluntary Dismissal 

(a) STIPULATED DISMISSAL. The clerk of the district court or 

BAP must dismiss an appeal if the parties file a signed dismissal 

agreement specifying how costs are to be paid and pay any court 

fees that are due. 

(b) APPELLANT’S MOTION TO DISMISS. An appeal may be dismissed 

on the appellant’s motion on terms agreed to by the parties or 

fixed by the district court or BAP. 

(c) OTHER RELIEF. A court order is required for any relief under 

Rule 8023(a) or (b) beyond the dismissal of an appeal—including 

approving a settlement, vacating an action of the bankruptcy 

court, or remanding the case to it. 

(d) COURT APPROVAL. This rule does not alter the legal requirements governing court approval of a settlement, payment, or 

other consideration. 

(Added Apr. 25, 2014, eff. Dec. 1, 2014; amended Apr. 11, 2022, eff. 

Dec. 1, 2022.) 

Rule 8024. Clerk’s Duties on Disposition of the Appeal 

(a) JUDGMENT ON APPEAL. The district or BAP clerk must prepare, sign, and enter the judgment after receiving the court’s 

opinion or, if there is no opinion, as the court instructs. Noting 

the judgment on the docket constitutes entry of judgment. 

(b) NOTICE OF A JUDGMENT. Immediately upon the entry of a 

judgment, the district or BAP clerk must: 

(1) transmit a notice of the entry to each party to the appeal, to the United States trustee, and to the bankruptcy 

clerk, together with a copy of any opinion; and 

(2) note the date of the transmission on the docket. 

(c) RETURNING PHYSICAL ITEMS. If any physical items were transmitted as the record on appeal, they must be returned to the 

bankruptcy clerk on disposition of the appeal. 

(Added Apr. 25, 2014, eff. Dec. 1, 2014.) 
119 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 8026 

Rule 8025. Stay of a District Court or BAP Judgment 

(a) AUTOMATIC STAY OF JUDGMENT ON APPEAL. Unless the district 

court or BAP orders otherwise, its judgment is stayed for 14 days 

after entry. 

(b) STAY PENDING APPEAL TO THE COURT OF APPEALS. 

(1) In General. On a party’s motion and notice to all other 

parties to the appeal, the district court or BAP may stay its 

judgment pending an appeal to the court of appeals. 

(2) Time Limit. The stay must not exceed 30 days after the 

judgment is entered, except for cause shown. 

(3) Stay Continued. If, before a stay expires, the party who 

obtained the stay appeals to the court of appeals, the stay continues until final disposition by the court of appeals. 

(4) Bond or Other Security. A bond or other security may be 

required as a condition for granting or continuing a stay of 

the judgment. A bond or other security may be required if a 

trustee obtains a stay, but not if a stay is obtained by the 

United States or its officer or agency or at the direction of 

any department of the United States government. 

(c) AUTOMATIC STAY OF AN ORDER, JUDGMENT, OR DECREE OF A

BANKRUPTCY COURT. If the district court or BAP enters a judgment affirming an order, judgment, or decree of the bankruptcy 

court, a stay of the district court’s or BAP’s judgment automatically stays the bankruptcy court’s order, judgment, or decree for 

the duration of the appellate stay. 

(d) POWER OF A COURT OF APPEALS NOT LIMITED. This rule does 

not limit the power of a court of appeals or any of its judges to 

do the following: 

(1) stay a judgment pending appeal; 

(2) stay proceedings while an appeal is pending; 

(3) suspend, modify, restore, vacate, or grant a stay or an injunction while an appeal is pending; or 

(4) issue any order appropriate to preserve the status quo or 

the effectiveness of any judgment to be entered. 

(Added Apr. 25, 2014, eff. Dec. 1, 2014.) 

Rule 8026. Rules by Circuit Councils and District Courts; Procedure When There is No Controlling Law 

(a) LOCAL RULES BY CIRCUIT COUNCILS AND DISTRICT COURTS. 

(1) Adopting Local Rules. A circuit council that has authorized a BAP under 28 U.S.C. § 158(b) may make and amend rules 

governing the practice and procedure on appeal from a judgment, order, or decree of a bankruptcy court to the BAP. A 

district court may make and amend rules governing the practice and procedure on appeal from a judgment, order, or decree 

of a bankruptcy court to the district court. Local rules must 

be consistent with, but not duplicative of, Acts of Congress 

and these Part VIII rules. Rule 83 F.R.Civ.P. governs the procedure for making and amending rules to govern appeals. 

(2) Numbering. Local rules must conform to any uniform 

numbering system prescribed by the Judicial Conference of 

the United States. 

(3) Limitation on Imposing Requirements of Form. A local rule 

imposing a requirement of form must not be enforced in a way 
Rule 8027 FEDERAL RULES OF BANKRUPTCY PROCEDURE 120 

that causes a party to lose any right because of a nonwillful 

failure to comply. 

(b) PROCEDURE WHEN THERE IS NO CONTROLLING LAW. 

(1) In General. A district court or BAP may regulate practice 

in any manner consistent with federal law, applicable federal 

rules, the Official Forms, and local rules. 

(2) Limitation on Sanctions. No sanction or other disadvantage may be imposed for noncompliance with any requirement 

not in federal law, applicable federal rules, the Official Forms, 

or local rules unless the alleged violator has been furnished in 

the particular case with actual notice of the requirement. 

(Added Apr. 25, 2014, eff. Dec. 1, 2014.) 

Rule 8027. Notice of a Mediation Procedure 

If the district court or BAP has a mediation procedure applicable to bankruptcy appeals, the clerk must notify the parties 

promptly after docketing the appeal of: 

(a) the requirements of the mediation procedure; and 

(b) any effect the mediation procedure has on the time to file 

briefs. 

(Added Apr. 25, 2014, eff. Dec. 1, 2014.) 

Rule 8028. Suspension of Rules in Part VIII 

In the interest of expediting decision or for other cause in a particular case, the district court or BAP, or where appropriate the 

court of appeals, may suspend the requirements or provisions of 

the rules in Part VIII, except Rules 8001, 8002, 8003, 8004, 8005, 8006, 

8007, 8012, 8020, 8024, 8025, 8026, and 8028. 

(Added Apr. 25, 2014, eff. Dec. 1, 2014.) 

PART IX—GENERAL PROVISIONS 

Rule 9001. General Definitions 

The definitions of words and phrases in §§ 101, 902, 1101, and 1502 

of the Code, and the rules of construction in § 102, govern their use 

in these rules. In addition, the following words and phrases used 

in these rules have the meanings indicated: 

(1) ‘‘Bankruptcy clerk’’ means a clerk appointed pursuant to 

28 U.S.C. § 156(b). 

(2) ‘‘Bankruptcy Code’’ or ‘‘Code’’ means title 11 of the 

United States Code. 

(3) ‘‘Clerk’’ means bankruptcy clerk, if one has been appointed, otherwise clerk of the district court. 

(4) ‘‘Court’’ or ‘‘judge’’ means the judicial officer before 

whom a case or proceeding is pending. 

(5) ‘‘Debtor.’’ When any act is required by these rules to be 

performed by a debtor or when it is necessary to compel attendance of a debtor for examination and the debtor is not a 

natural person: (A) if the debtor is a corporation, ‘‘debtor’’ includes, if designated by the court, any or all of its officers, 

members of its board of directors or trustees or of a similar 

controlling body, a controlling stockholder or member, or any 

other person in control; (B) if the debtor is a partnership, 
121 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 9003 

‘‘debtor’’ includes any or all of its general partners or, if designated by the court, any other person in control. 

(6) ‘‘Firm’’ includes a partnership or professional corporation of attorneys or accountants. 

(7) ‘‘Judgment’’ means any appealable order. 

(8) ‘‘Mail’’ means first class, postage prepaid. 

(9) ‘‘Notice provider’’ means any entity approved by the Administrative Office of the United States Courts to give notice 

to creditors under Rule 2002(g)(4). 

(10) ‘‘Regular associate’’ means any attorney regularly employed by, associated with, or counsel to an individual or firm. 

(11) ‘‘Trustee’’ includes a debtor in possession in a chapter 11 

case. 

(12) ‘‘United States trustee’’ includes an assistant United 

States trustee and any designee of the United States trustee. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Apr. 25, 2005, eff. Dec. 1, 2005; Apr. 28, 2010, eff. Dec. 1, 2010.) 

Rule 9002. Meanings of Words in the Federal Rules of Civil Procedure When Applicable to Cases Under the Code 

The following words and phrases used in the Federal Rules of 

Civil Procedure made applicable to cases under the Code by these 

rules have the meanings indicated unless they are inconsistent 

with the context: 

(1) ‘‘Action’’ or ‘‘civil action’’ means an adversary proceeding or, when appropriate, a contested petition, or proceedings 

to vacate an order for relief or to determine any other contested matter. 

(2) ‘‘Appeal’’ means an appeal as provided by 28 U.S.C. § 158. 

(3) ‘‘Clerk’’ or ‘‘clerk of the district court’’ means the court 

officer responsible for the bankruptcy records in the district. 

(4) ‘‘District Court,’’ ‘‘trial court,’’ ‘‘court,’’ ‘‘district 

judge,’’ or ‘‘judge’’ means bankruptcy judge if the case or proceeding is pending before a bankruptcy judge. 

(5) ‘‘Judgment’’ includes any order appealable to an appellate court. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 22, 1993, eff. Aug. 

1, 1993.) 

Rule 9003. Prohibition of Ex Parte Contacts 

(a) GENERAL PROHIBITION. Except as otherwise permitted by applicable law, any examiner, any party in interest, and any attorney, accountant, or employee of a party in interest shall refrain 

from ex parte meetings and communications with the court concerning matters affecting a particular case or proceeding. 

(b) UNITED STATES TRUSTEE. Except as otherwise permitted by 

applicable law, the United States trustee and assistants to and 

employees or agents of the United States trustee shall refrain 

from ex parte meetings and communications with the court concerning matters affecting a particular case or proceeding. This 

rule does not preclude communications with the court to discuss 

general problems of administration and improvement of bankruptcy administration, including the operation of the United 

States trustee system. 
Rule 9004 FEDERAL RULES OF BANKRUPTCY PROCEDURE 122 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991.) 

Rule 9004. General Requirements of Form 

(a) LEGIBILITY; ABBREVIATIONS. All petitions, pleadings, schedules and other papers shall be clearly legible. Abbreviations in 

common use in the English language may be used. 

(b) CAPTION. Each paper filed shall contain a caption setting 

forth the name of the court, the title of the case, the bankruptcy 

docket number, and a brief designation of the character of the 

paper. 

Rule 9005. Harmless Error 

Rule 61 F.R.Civ.P. applies in cases under the Code. When appropriate, the court may order the correction of any error or defect 

or the cure of any omission which does not affect substantial 

rights. 

Rule 9005.1. Constitutional Challenge to a Statute—Notice, Certification, and Intervention 

Rule 5.1 F.R.Civ.P. applies in cases under the Code. 

(Added Apr. 30, 2007, eff. Dec. 1, 2007.) 

Rule 9006. Computing and Extending Time; Time for Motion Papers 

(a) COMPUTING TIME. The following rules apply in computing any 

time period specified in these rules, in the Federal Rules of Civil 

Procedure, in any local rule or court order, or in any statute that 

does not specify a method of computing time. 

(1) Period Stated in Days or a Longer Unit. When the period is 

stated in days or a longer unit of time: 

(A) exclude the day of the event that triggers the period; 

(B) count every day, including intermediate Saturdays, 

Sundays, and legal holidays; and 

(C) include the last day of the period, but if the last day 

is a Saturday, Sunday, or legal holiday, the period continues to run until the end of the next day that is not a 

Saturday, Sunday, or legal holiday. 

(2) Period Stated in Hours. When the period is stated in hours: 

(A) begin counting immediately on the occurrence of the 

event that triggers the period; 

(B) count every hour, including hours during intermediate Saturdays, Sundays, and legal holidays; and 

(C) if the period would end on a Saturday, Sunday, or 

legal holiday, then continue the period until the same 

time on the next day that is not a Saturday, Sunday, or 

legal holiday. 

(3) Inaccessibility of Clerk’s Office. Unless the court orders 

otherwise, if the clerk’s office is inaccessible: 

(A) on the last day for filing under Rule 9006(a)(1), then 

the time for filing is extended to the first accessible day 

that is not a Saturday, Sunday, or legal holiday; or 

(B) during the last hour for filing under Rule 9006(a)(2), 

then the time for filing is extended to the same time on 
123 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 9006 

the first accessible day that is not a Saturday, Sunday, or 

legal holiday. 

(4) ‘‘Last Day’’ Defined. Unless a different time is set by a 

statute, local rule, or order in the case, the last day ends: 

(A) for electronic filing, at midnight in the court’s time 

zone; and 

(B) for filing by other means, when the clerk’s office is 

scheduled to close. 

(5) ‘‘Next Day’’ Defined. The ‘‘next day’’ is determined by 

continuing to count forward when the period is measured after 

an event and backward when measured before an event. 

(6) ‘‘Legal Holiday’’ Defined. ‘‘Legal holiday’’ means: 

(A) the day set aside by statute for observing New Year’s 

Day, Martin Luther King Jr.’s Birthday, Washington’s 

Birthday, Memorial Day, Juneteenth National Independence Day, Independence Day, Labor Day, Columbus Day, 

Veterans’ Day, Thanksgiving Day, or Christmas Day; 

(B) any day declared a holiday by the President or Congress; and 

(C) for periods that are measured after an event, any 

other day declared a holiday by the state where the district court is located. (In this rule, ‘‘state’’ includes the 

District of Columbia and any United States commonwealth or territory.) 

(b) ENLARGEMENT. 

(1) In General. Except as provided in paragraphs (2) and (3) of 

this subdivision, when an act is required or allowed to be done 

at or within a specified period by these rules or by a notice 

given thereunder or by order of court, the court for cause 

shown may at any time in its discretion (1) with or without 

motion or notice order the period enlarged if the request 

therefor is made before the expiration of the period originally 

prescribed or as extended by a previous order or (2) on motion 

made after the expiration of the specified period permit the 

act to be done where the failure to act was the result of excusable neglect. 

(2) Enlargement Not Permitted. The court may not enlarge the 

time for taking action under Rules 1007(d), 2003(a) and (d), 7052, 

9023, and 9024. 

(3) Enlargement Governed By Other Rules. The court may enlarge the time for taking action under Rules 1006(b)(2), 1017(e), 

3002(c), 4003(b), 4004(a), 4007(c), 4008(a), 8002, and 9033, only to 

the extent and under the conditions stated in those rules. In 

addition, the court may enlarge the time to file the statement 

required under Rule 1007(b)(7), and to file schedules and statements in a small business case under § 1116(3) of the Code, only 

to the extent and under the conditions stated in Rule 1007(c). 

(c) REDUCTION. 

(1) In General. Except as provided in paragraph (2) of this 

subdivision, when an act is required or allowed to be done at 

or within a specified time by these rules or by a notice given 

thereunder or by order of court, the court for cause shown 

may in its discretion with or without motion or notice order 

the period reduced. 

(2) Reduction Not Permitted. The court may not reduce the 

time for taking action under Rules 2002(a)(7), 2003(a), 3002(c), 
Rule 9007 FEDERAL RULES OF BANKRUPTCY PROCEDURE 124 

3014, 3015, 4001(b)(2), (c)(2), 4003(a), 4004(a), 4007(c), 4008(a), 8002, 

and 9033(b). In addition, the court may not reduce the time 

under Rule 1007(c) to file the statement required by Rule 

1007(b)(7). 

(d) MOTION PAPERS. A written motion, other than one which 

may be heard ex parte, and notice of any hearing shall be served 

not later than seven days before the time specified for such hearing, unless a different period is fixed by these rules or by order of 

the court. Such an order may for cause shown be made on ex parte 

application. When a motion is supported by affidavit, the affidavit 

shall be served with the motion. Except as otherwise provided in 

Rule 9023, any written response shall be served not later than one 

day before the hearing, unless the court permits otherwise. 

(e) TIME OF SERVICE. Service of process and service of any paper 

other than process or of notice by mail is complete on mailing. 

(f) ADDITIONAL TIME AFTER SERVICE BY MAIL OR UNDER RULE

5(b)(2)(D) OR (F) F.R.CIV.P. When there is a right or requirement 

to act or undertake some proceedings within a prescribed period 

after being served and that service is by mail or under Rule 

5(b)(2)(D) (leaving with the clerk) or (F) (other means consented 

to) F.R.Civ.P., three days are added after the prescribed period 

would otherwise expire under Rule 9006(a). 

(g) GRAIN STORAGE FACILITY CASES. This rule shall not limit the 

court’s authority under § 557 of the Code to enter orders governing 

procedures in cases in which the debtor is an owner or operator of 

a grain storage facility. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 25, 1989, eff. Aug. 

1, 1989; Apr. 30, 1991, eff. Aug. 1, 1991; Apr. 23, 1996, eff. Dec. 1, 1996; 

Apr. 26, 1999, eff. Dec. 1, 1999; Apr. 23, 2001, eff. Dec. 1, 2001; Apr. 

25, 2005, eff. Dec. 1, 2005; Apr. 23, 2008, eff. Dec. 1, 2008; Mar. 26, 2009, 

eff. Dec. 1, 2009; Apr. 16, 2013, eff. Dec. 1, 2013; Apr. 28, 2016, eff. Dec. 

1, 2016; Apr. 24, 2023, eff. Dec. 1, 2023.) 

Rule 9007. General Authority to Regulate Notices 

When notice is to be given under these rules, the court shall designate, if not otherwise specified herein, the time within which, 

the entities to whom, and the form and manner in which the notice shall be given. When feasible, the court may order any notices 

under these rules to be combined. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987.) 

Rule 9008. Service or Notice by Publication 

Whenever these rules require or authorize service or notice by 

publication, the court shall, to the extent not otherwise specified 

in these rules, determine the form and manner thereof, including 

the newspaper or other medium to be used and the number of publications. 

Rule 9009. Forms 

(a) OFFICIAL FORMS. The Official Forms prescribed by the Judicial Conference of the United States shall be used without alteration, except as otherwise provided in these rules, in a particular 

Official Form, or in the national instructions for a particular Official Form. Official Forms may be modified to permit minor 
125 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 9011 

changes not affecting wording or the order of presenting information, including changes that: 

(1) expand the prescribed areas for responses in order to permit complete responses; 

(2) delete space not needed for responses; or 

(3) delete items requiring detail in a question or category if 

the filer indicates—either by checking ‘‘no’’ or ‘‘none’’ or by 

stating in words—that there is nothing to report on that question or category. 

(b) DIRECTOR’S FORMS. The Director of the Administrative Office 

of the United States Courts may issue additional forms for use 

under the Code. 

(c) CONSTRUCTION. The forms shall be construed to be consistent 

with these rules and the Code. 

(As amended Apr. 30, 1991, eff. Aug. 1, 1991; Apr. 23, 2008, eff. Dec. 

1, 2008; Apr. 27, 2017, eff. Dec. 1, 2017.) 

Rule 9010. Representation and Appearances; Powers of Attorney 

(a) AUTHORITY TO ACT PERSONALLY OR BY ATTORNEY. A debtor, 

creditor, equity security holder, indenture trustee, committee or 

other party may (1) appear in a case under the Code and act either 

in the entity’s own behalf or by an attorney authorized to practice 

in the court, and (2) perform any act not constituting the practice 

of law, by an authorized agent, attorney in fact, or proxy. 

(b) NOTICE OF APPEARANCE. An attorney appearing for a party in 

a case under the Code shall file a notice of appearance with the 

attorney’s name, office address and telephone number, unless the 

attorney’s appearance is otherwise noted in the record. 

(c) POWER OF ATTORNEY. The authority of any agent, attorney in 

fact, or proxy to represent a creditor for any purpose other than 

the execution and filing of a proof of claim or the acceptance or 

rejection of a plan shall be evidenced by a power of attorney conforming substantially to the appropriate Official Form. The execution of any such power of attorney shall be acknowledged before 

one of the officers enumerated in 28 U.S.C. § 459, § 953, Rule 9012, or 

a person authorized to administer oaths under the laws of the 

state where the oath is administered. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991.) 

Rule 9011. Signing of Papers; Representations to the Court; Sanctions; Verification and Copies of Papers 

(a) SIGNATURE. Every petition, pleading, written motion, and 

other paper, except a list, schedule, or statement, or amendments 

thereto, shall be signed by at least one attorney of record in the 

attorney’s individual name. A party who is not represented by an 

attorney shall sign all papers. Each paper shall state the signer’s 

address and telephone number, if any. An unsigned paper shall be 

stricken unless omission of the signature is corrected promptly 

after being called to the attention of the attorney or party. 

(b) REPRESENTATIONS TO THE COURT. By presenting to the court 

(whether by signing, filing, submitting, or later advocating) a petition, pleading, written motion, or other paper, an attorney or 

unrepresented party is certifying that to the best of the person’s 
Rule 9011 FEDERAL RULES OF BANKRUPTCY PROCEDURE 126 

1So in original. The comma probably should not appear. 

knowledge, information, and belief, formed after an inquiry reasonable under the circumstances,—1

(1) it is not being presented for any improper purpose, such 

as to harass or to cause unnecessary delay or needless increase 

in the cost of litigation; 

(2) the claims, defenses, and other legal contentions therein 

are warranted by existing law or by a nonfrivolous argument 

for the extension, modification, or reversal of existing law or 

the establishment of new law; 

(3) the allegations and other factual contentions have evidentiary support or, if specifically so identified, are likely to 

have evidentiary support after a reasonable opportunity for 

further investigation or discovery; and 

(4) the denials of factual contentions are warranted on the 

evidence or, if specifically so identified, are reasonably based 

on a lack of information or belief. 

(c) SANCTIONS. If, after notice and a reasonable opportunity to 

respond, the court determines that subdivision (b) has been violated, the court may, subject to the conditions stated below, impose an appropriate sanction upon the attorneys, law firms, or 

parties that have violated subdivision (b) or are responsible for 

the violation. 

(1) How Initiated. 

(A) By Motion. A motion for sanctions under this rule 

shall be made separately from other motions or requests 

and shall describe the specific conduct alleged to violate 

subdivision (b). It shall be served as provided in Rule 7004. 

The motion for sanctions may not be filed with or presented to the court unless, within 21 days after service of 

the motion (or such other period as the court may prescribe), the challenged paper, claim, defense, contention, 

allegation, or denial is not withdrawn or appropriately 

corrected, except that this limitation shall not apply if the 

conduct alleged is the filing of a petition in violation of 

subdivision (b). If warranted, the court may award to the 

party prevailing on the motion the reasonable expenses 

and attorney’s fees incurred in presenting or opposing the 

motion. Absent exceptional circumstances, a law firm 

shall be held jointly responsible for violations committed 

by its partners, associates, and employees. 

(B) On Court’s Initiative. On its own initiative, the court 

may enter an order describing the specific conduct that 

appears to violate subdivision (b) and directing an attorney, law firm, or party to show cause why it has not violated subdivision (b) with respect thereto. 

(2) Nature of Sanction; Limitations. A sanction imposed for 

violation of this rule shall be limited to what is sufficient to 

deter repetition of such conduct or comparable conduct by 

others similarly situated. Subject to the limitations in subparagraphs (A) and (B), the sanction may consist of, or include, directives of a nonmonetary nature, an order to pay a 

penalty into court, or, if imposed on motion and warranted for 
127 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 9013 

effective deterrence, an order directing payment to the movant of some or all of the reasonable attorneys’ fees and other 

expenses incurred as a direct result of the violation. 

(A) Monetary sanctions may not be awarded against a 

represented party for a violation of subdivision (b)(2). 

(B) Monetary sanctions may not be awarded on the 

court’s initiative unless the court issues its order to show 

cause before a voluntary dismissal or settlement of the 

claims made by or against the party which is, or whose attorneys are, to be sanctioned. 

(3) Order. When imposing sanctions, the court shall describe 

the conduct determined to constitute a violation of this rule 

and explain the basis for the sanction imposed. 

(d) INAPPLICABILITY TO DISCOVERY. Subdivisions (a) through (c) 

of this rule do not apply to disclosures and discovery requests, responses, objections, and motions that are subject to the provisions 

of Rules 7026 through 7037. 

(e) VERIFICATION. Except as otherwise specifically provided by 

these rules, papers filed in a case under the Code need not be verified. Whenever verification is required by these rules, an unsworn 

declaration as provided in 28 U.S.C. § 1746 satisfies the requirement 

of verification. 

(f) COPIES OF SIGNED OR VERIFIED PAPERS. When these rules require copies of a signed or verified paper, it shall suffice if the 

original is signed or verified and the copies are conformed to the 

original. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Apr. 11, 1997, eff. Dec. 1, 1997.) 

Rule 9012. Oaths and Affirmations 

(a) PERSONS AUTHORIZED TO ADMINISTER OATHS. The following 

persons may administer oaths and affirmations and take acknowledgments: a bankruptcy judge, clerk, deputy clerk, United States 

trustee, officer authorized to administer oaths in proceedings before the courts of the United States or under the laws of the state 

where the oath is to be taken, or a diplomatic or consular officer 

of the United States in any foreign country. 

(b) AFFIRMATION IN LIEU OF OATH. When in a case under the Code 

an oath is required to be taken a solemn affirmation may be accepted in lieu thereof. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991.) 

Rule 9013. Motions: Form and Service 

A request for an order, except when an application is authorized 

by the rules, shall be by written motion, unless made during a 

hearing. The motion shall state with particularity the grounds 

therefor, and shall set forth the relief or order sought. Every written motion, other than one which may be considered ex parte, 

shall be served by the moving party within the time determined 

under Rule 9006(d). The moving party shall serve the motion on: 

(a) the trustee or debtor in possession and on those entities 

specified by these rules; or 

(b) the entities the court directs if these rules do not require 

service or specify the entities to be served. 
Rule 9014 FEDERAL RULES OF BANKRUPTCY PROCEDURE 128 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 16, 2013, eff. Dec. 

1, 2013.) 

Rule 9014. Contested Matters 

(a) MOTION. In a contested matter not otherwise governed by 

these rules, relief shall be requested by motion, and reasonable notice and opportunity for hearing shall be afforded the party 

against whom relief is sought. No response is required under this 

rule unless the court directs otherwise. 

(b) SERVICE. The motion shall be served in the manner provided 

for service of a summons and complaint by Rule 7004 and within 

the time determined under Rule 9006(d). Any written response to 

the motion shall be served within the time determined under Rule 

9006(d). Any paper served after the motion shall be served in the 

manner provided by Rule 5(b) F.R. Civ. P. 

(c) APPLICATION OF PART VII RULES. Except as otherwise provided in this rule, and unless the court directs otherwise, the following rules shall apply: 7009, 7017, 7021, 7025, 7026, 7028–7037, 7041, 

7042, 7052, 7054–7056, 7064, 7069, and 7071. The following subdivisions 

of Fed. R. Civ. P. 26, as incorporated by Rule 7026, shall not apply 

in a contested matter unless the court directs otherwise: 26(a)(1) 

(mandatory disclosure), 26(a)(2) (disclosures regarding expert testimony) and 26(a)(3) (additional pre-trial disclosure), and 26(f) 

(mandatory meeting before scheduling conference/discovery plan). 

An entity that desires to perpetuate testimony may proceed in 

the same manner as provided in Rule 7027 for the taking of a deposition before an adversary proceeding. The court may at any stage 

in a particular matter direct that one or more of the other rules 

in Part VII shall apply. The court shall give the parties notice of 

any order issued under this paragraph to afford them a reasonable 

opportunity to comply with the procedures prescribed by the 

order. 

(d) TESTIMONY OF WITNESSES. Testimony of witnesses with respect to disputed material factual issues shall be taken in the 

same manner as testimony in an adversary proceeding. 

(e) ATTENDANCE OF WITNESSES. The court shall provide procedures that enable parties to ascertain at a reasonable time before 

any scheduled hearing whether the hearing will be an evidentiary 

hearing at which witnesses may testify. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 26, 1999, eff. Dec. 

1, 1999; Apr. 29, 2002, eff. Dec. 1, 2002; Apr. 26, 2004, eff. Dec. 1, 2004; 

Apr. 16, 2013, eff. Dec. 1, 2013.) 

Rule 9015. Jury Trials 

(a) APPLICABILITY OF CERTAIN FEDERAL RULES OF CIVIL PROCEDURE. Rules 38, 39, 47–49, and 51, F.R.Civ.P., and Rule 81(c) 

F.R.Civ.P. insofar as it applies to jury trials, apply in cases and 

proceedings, except that a demand made under Rule 38(b) 

F.R.Civ.P. shall be filed in accordance with Rule 5005. 

(b) CONSENT TO HAVE TRIAL CONDUCTED BY BANKRUPTCY JUDGE. 

If the right to a jury trial applies, a timely demand has been filed 

pursuant to Rule 38(b) F.R.Civ.P., and the bankruptcy judge has 

been specially designated to conduct the jury trial, the parties 

may consent to have a jury trial conducted by a bankruptcy judge 
129 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 9020 

under 28 U.S.C. § 157(e) by jointly or separately filing a statement 

of consent within any applicable time limits specified by local 

rule. 

(c) APPLICABILITY OF RULE 50 F.R.CIV.P. Rule 50 F.R.Civ.P. applies in cases and proceedings, except that any renewed motion for 

judgment or request for a new trial shall be filed no later than 14 

days after the entry of judgment. 

(Added Apr. 11, 1997, eff. Dec. 1, 1997; amended Mar. 26, 2009, eff. 

Dec. 1, 2009.) 

Rule 9016. Subpoena 

Rule 45 F.R.Civ.P. applies in cases under the Code. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987.) 

Rule 9017. Evidence 

The Federal Rules of Evidence and Rules 43, 44 and 44.1 

F.R.Civ.P. apply in cases under the Code. 

Rule 9018. Secret, Confidential, Scandalous, or Defamatory Matter 

On motion or on its own initiative, with or without notice, the 

court may make any order which justice requires (1) to protect 

the estate or any entity in respect of a trade secret or other confidential research, development, or commercial information, (2) to 

protect any entity against scandalous or defamatory matter contained in any paper filed in a case under the Code, or (3) to protect 

governmental matters that are made confidential by statute or 

regulation. If an order is entered under this rule without notice, 

any entity affected thereby may move to vacate or modify the 

order, and after a hearing on notice the court shall determine the 

motion. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987.) 

Rule 9019. Compromise and Arbitration 

(a) COMPROMISE. On motion by the trustee and after notice and 

a hearing, the court may approve a compromise or settlement. Notice shall be given to creditors, the United States trustee, the 

debtor, and indenture trustees as provided in Rule 2002 and to any 

other entity as the court may direct. 

(b) AUTHORITY TO COMPROMISE OR SETTLE CONTROVERSIES WITHIN

CLASSES. After a hearing on such notice as the court may direct, 

the court may fix a class or classes of controversies and authorize 

the trustee to compromise or settle controversies within such 

class or classes without further hearing or notice. 

(c) ARBITRATION. On stipulation of the parties to any controversy affecting the estate the court may authorize the matter 

to be submitted to final and binding arbitration. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Apr. 22, 1993, eff. Aug. 1, 1993.) 

Rule 9020. Contempt Proceedings 

Rule 9014 governs a motion for an order of contempt made by the 

United States trustee or a party in interest. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Apr. 23, 2001, eff. Dec. 1, 2001.) 
Rule 9021 FEDERAL RULES OF BANKRUPTCY PROCEDURE 130 

Rule 9021. Entry of Judgment 

A judgment or order is effective when entered under Rule 5003. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Mar. 26, 2009, eff. Dec. 

1, 2009.) 

Rule 9022. Notice of Judgment or Order 

(a) JUDGMENT OR ORDER OF BANKRUPTCY JUDGE. Immediately on 

the entry of a judgment or order the clerk shall serve a notice of 

entry in the manner provided in Rule 5(b) F.R.Civ.P. on the contesting parties and on other entities as the court directs. Unless 

the case is a chapter 9 municipality case, the clerk shall forthwith 

transmit to the United States trustee a copy of the judgment or 

order. Service of the notice shall be noted in the docket. Lack of 

notice of the entry does not affect the time to appeal or relieve 

or authorize the court to relieve a party for failure to appeal within the time allowed, except as permitted in Rule 8002. 

(b) JUDGMENT OR ORDER OF DISTRICT JUDGE. Notice of a judgment or order entered by a district judge is governed by Rule 77(d) 

F.R.Civ.P. Unless the case is a chapter 9 municipality case, the 

clerk shall forthwith transmit to the United States trustee a copy 

of a judgment or order entered by a district judge. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Apr. 23, 2001, eff. Dec. 1, 2001.) 

Rule 9023. New Trials; Amendment of Judgments 

Except as provided in this rule and Rule 3008, Rule 59 F.R.Civ.P. 

applies in cases under the Code. A motion for a new trial or to 

alter or amend a judgment shall be filed, and a court may on its 

own order a new trial, no later than 14 days after entry of judgment. In some circumstances, Rule 8008 governs post-judgment 

motion practice after an appeal has been docketed and is pending. 

(As amended Mar. 26, 2009, eff. Dec. 1, 2009; Apr. 25, 2014, eff. Dec. 

1, 2014.) 

Rule 9024. Relief from Judgment or Order 

Rule 60 F.R.Civ.P. applies in cases under the Code except that (1) 

a motion to reopen a case under the Code or for the reconsideration of an order allowing or disallowing a claim against the estate entered without a contest is not subject to the one year limitation prescribed in Rule 60(c), (2) a complaint to revoke a discharge in a chapter 7 liquidation case may be filed only within the 

time allowed by § 727(e) of the Code, and (3) a complaint to revoke 

an order confirming a plan may be filed only within the time allowed by § 1144, § 1230, or § 1330. In some circumstances, Rule 8008 

governs post-judgment motion practice after an appeal has been 

docketed and is pending. 

(As amended Apr. 30, 1991, eff. Aug. 1, 1991; Apr. 23, 2008, eff. Dec. 

1, 2008; Apr. 25, 2014, eff. Dec. 1, 2014.) 

Rule 9025. Security: Proceedings Against Security Providers 

Whenever the Code or these rules require or permit a party to 

give security, and security is given with one or more security providers, each provider submits to the jurisdiction of the court, and 
131 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 9027 

liability may be determined in an adversary proceeding governed 

by the rules in Part VII. 

(As amended Apr. 26, 2018, eff. Dec. 1, 2018.) 

Rule 9026. Exceptions Unnecessary 

Rule 46 F.R.Civ.P. applies in cases under the Code. 

Rule 9027. Removal 

(a) NOTICE OF REMOVAL. 

(1) Where Filed; Form and Content. A notice of removal shall 

be filed with the clerk for the district and division within 

which is located the state or federal court where the civil action is pending. The notice shall be signed pursuant to Rule 

9011 and contain a short and plain statement of the facts 

which entitle the party filing the notice to remove, contain a 

statement that upon removal of the claim or cause of action, 

the party filing the notice does or does not consent to entry 

of final orders or judgment by the bankruptcy court, and be 

accompanied by a copy of all process and pleadings. 

(2) Time for Filing; Civil Action Initiated Before Commencement 

of the Case Under the Code. If the claim or cause of action in 

a civil action is pending when a case under the Code is commenced, a notice of removal may be filed only within the longest of (A) 90 days after the order for relief in the case under 

the Code, (B) 30 days after entry of an order terminating a 

stay, if the claim or cause of action in a civil action has been 

stayed under § 362 of the Code, or (C) 30 days after a trustee 

qualifies in a chapter 11 reorganization case but not later than 

180 days after the order for relief. 

(3) Time for filing; civil action initiated after commencement of 

the case under the Code. If a claim or cause of action is asserted 

in another court after the commencement of a case under the 

Code, a notice of removal may be filed with the clerk only 

within the shorter of (A) 30 days after receipt, through service 

or otherwise, of a copy of the initial pleading setting forth the 

claim or cause of action sought to be removed, or (B) 30 days 

after receipt of the summons if the initial pleading has been 

filed with the court but not served with the summons. 

(b) NOTICE. Promptly after filing the notice of removal, the 

party filing the notice shall serve a copy of it on all parties to the 

removed claim or cause of action. 

(c) FILING IN NON-BANKRUPTCY COURT. Promptly after filing the 

notice of removal, the party filing the notice shall file a copy of 

it with the clerk of the court from which the claim or cause of action is removed. Removal of the claim or cause of action is effected on such filing of a copy of the notice of removal. The parties shall proceed no further in that court unless and until the 

claim or cause of action is remanded. 

(d) REMAND. A motion for remand of the removed claim or cause 

of action shall be governed by Rule 9014 and served on the parties 

to the removed claim or cause of action. 

(e) PROCEDURE AFTER REMOVAL. 

(1) After removal of a claim or cause of action to a district 

court the district court or, if the case under the Code has been 
Rule 9027 FEDERAL RULES OF BANKRUPTCY PROCEDURE 132 

referred to a bankruptcy judge of the district, the bankruptcy 

judge, may issue all necessary orders and process to bring before it all proper parties whether served by process issued by 

the court from which the claim or cause of action was removed or otherwise. 

(2) The district court or, if the case under the Code has been 

referred to a bankruptcy judge of the district, the bankruptcy 

judge, may require the party filing the notice of removal to 

file with the clerk copies of all records and proceedings relating to the claim or cause of action in the court from which the 

claim or cause of action was removed. 

(3) Any party who has filed a pleading in connection with the 

removed claim or cause of action, other than the party filing 

the notice of removal, shall file a statement that the party 

does or does not consent to entry of final orders or judgment 

by the bankruptcy court. A statement required by this paragraph shall be signed pursuant to Rule 9011 and shall be filed 

not later than 14 days after the filing of the notice of removal. 

Any party who files a statement pursuant to this paragraph 

shall mail a copy to every other party to the removed claim 

or cause of action. 

(f) PROCESS AFTER REMOVAL. If one or more of the defendants 

has not been served with process, the service has not been perfected prior to removal, or the process served proves to be defective, such process or service may be completed or new process issued pursuant to Part VII of these rules. This subdivision shall 

not deprive any defendant on whom process is served after removal of the defendant’s right to move to remand the case. 

(g) APPLICABILITY OF PART VII. The rules of Part VII apply to a 

claim or cause of action removed to a district court from a federal 

or state court and govern procedure after removal. Repleading is 

not necessary unless the court so orders. In a removed action in 

which the defendant has not answered, the defendant shall answer 

or present the other defenses or objections available under the 

rules of Part VII within 21 days following the receipt through 

service or otherwise of a copy of the initial pleading setting forth 

the claim for relief on which the action or proceeding is based, or 

within 21 days following the service of summons on such initial 

pleading, or within seven days following the filing of the notice of 

removal, whichever period is longest. 

(h) RECORD SUPPLIED. When a party is entitled to copies of the 

records and proceedings in any civil action or proceeding in a federal or a state court, to be used in the removed civil action or proceeding, and the clerk of the federal or state court, on demand accompanied by payment or tender of the lawful fees, fails to deliver 

certified copies, the court may, on affidavit reciting the facts, direct such record to be supplied by affidavit or otherwise. Thereupon the proceedings, trial and judgment may be had in the court, 

and all process awarded, as if certified copies had been filed. 

(i) ATTACHMENT OR SEQUESTRATION; SECURITIES. When a claim or 

cause of action is removed to a district court, any attachment or 

sequestration of property in the court from which the claim or 

cause of action was removed shall hold the property to answer the 

final judgment or decree in the same manner as the property 

would have been held to answer final judgment or decree had it 
133 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 9031 

been rendered by the court from which the claim or cause of action was removed. All bonds, undertakings, or security given by 

either party to the claim or cause of action prior to its removal 

shall remain valid and effectual notwithstanding such removal. 

All injunctions issued, orders entered and other proceedings had 

prior to removal shall remain in full force and effect until dissolved or modified by the court. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Apr. 29, 2002, eff. Dec. 1, 2002; Mar. 26, 2009, eff. Dec. 1, 2009; 

Apr. 28, 2016, eff. Dec. 1, 2016.) 

Rule 9028. Disability of a Judge 

Rule 63 F.R.Civ.P. applies in cases under the Code. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987.) 

Rule 9029. Local Bankruptcy Rules; Procedure When There is No 

Controlling Law 

(a) LOCAL BANKRUPTCY RULES. 

(1) Each district court acting by a majority of its district 

judges may make and amend rules governing practice and procedure in all cases and proceedings within the district court’s 

bankruptcy jurisdiction which are consistent with—but not 

duplicative of—Acts of Congress and these rules and which do 

not prohibit or limit the use of the Official Forms. Rule 83 

F.R.Civ.P. governs the procedure for making local rules. A district court may authorize the bankruptcy judges of the district, subject to any limitation or condition it may prescribe 

and the requirements of 83 F.R.Civ.P., to make and amend 

rules of practice and procedure which are consistent with—but 

not duplicative of—Acts of Congress and these rules and which 

do not prohibit or limit the use of the Official Forms. Local 

rules shall conform to any uniform numbering system prescribed by the Judicial Conference of the United States. 

(2) A local rule imposing a requirement of form shall not be 

enforced in a manner that causes a party to lose rights because of a nonwillful failure to comply with the requirement. 

(b) PROCEDURE WHEN THERE IS NO CONTROLLING LAW. A judge 

may regulate practice in any manner consistent with federal law, 

these rules, Official Forms, and local rules of the district. No 

sanction or other disadvantage may be imposed for noncompliance 

with any requirement not in federal law, federal rules, Official 

Forms, or the local rules of the district unless the alleged violator 

has been furnished in the particular case with actual notice of the 

requirement. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Apr. 27, 1995, eff. Dec. 1, 1995.) 

Rule 9030. Jurisdiction and Venue Unaffected 

These rules shall not be construed to extend or limit the jurisdiction of the courts or the venue of any matters therein. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987.) 

Rule 9031. Masters Not Authorized 

Rule 53 F.R.Civ.P. does not apply in cases under the Code. 
Rule 9032 FEDERAL RULES OF BANKRUPTCY PROCEDURE 134 

Rule 9032. Effect of Amendment of Federal Rules of Civil Procedure 

The Federal Rules of Civil Procedure which are incorporated by 

reference and made applicable by these rules shall be the Federal 

Rules of Civil Procedure in effect on the effective date of these 

rules and as thereafter amended, unless otherwise provided by 

such amendment or by these rules. 

(As amended Apr. 30, 1991, eff. Aug. 1, 1991.) 

Rule 9033. Proposed Findings of Fact and Conclusions of Law 

(a) SERVICE. In a proceeding in which the bankruptcy court has 

issued proposed findings of fact and conclusions of law, the clerk 

shall serve forthwith copies on all parties by mail and note the 

date of mailing on the docket. 

(b) OBJECTIONS: TIME FOR FILING. Within 14 days after being 

served with a copy of the proposed findings of fact and conclusions 

of law a party may serve and file with the clerk written objections 

which identify the specific proposed findings or conclusions objected to and state the grounds for such objection. A party may 

respond to another party’s objections within 14 days after being 

served with a copy thereof. A party objecting to the bankruptcy 

judge’s proposed findings or conclusions shall arrange promptly 

for the transcription of the record, or such portions of it as all 

parties may agree upon or the bankruptcy judge deems sufficient, 

unless the district judge otherwise directs. 

(c) EXTENSION OF TIME. The bankruptcy judge may for cause extend the time for filing objections by any party for a period not 

to exceed 21 days from the expiration of the time otherwise prescribed by this rule. A request to extend the time for filing objections must be made before the time for filing objections has expired, except that a request made no more than 21 days after the 

expiration of the time for filing objections may be granted upon 

a showing of excusable neglect. 

(d) STANDARD OF REVIEW. The district judge shall make a de 

novo review upon the record or, after additional evidence, of any 

portion of the bankruptcy judge’s findings of fact or conclusions 

of law to which specific written objection has been made in accordance with this rule. The district judge may accept, reject, or 

modify the proposed findings of fact or conclusions of law, receive 

further evidence, or recommit the matter to the bankruptcy judge 

with instructions. 

(Added Mar. 30, 1987, eff. Aug. 1, 1987; amended Mar. 26, 2009, eff. 

Dec. 1, 2009; Apr. 28, 2016, eff. Dec. 1, 2016.) 

Rule 9034. Transmittal of Pleadings, Motion Papers, Objections, 

and Other Papers to the United States Trustee 

Unless the United States trustee requests otherwise or the case 

is a chapter 9 municipality case, any entity that files a pleading, 

motion, objection, or similar paper relating to any of the following matters shall transmit a copy thereof to the United States 

trustee within the time required by these rules for service of the 

paper: 

(a) a proposed use, sale, or lease of property of the estate 

other than in the ordinary course of business; 
135 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 9036 

(b) the approval of a compromise or settlement of a controversy; 

(c) the dismissal or conversion of a case to another chapter; 

(d) the employment of professional persons; 

(e) an application for compensation or reimbursement of expenses; 

(f) a motion for, or approval of an agreement relating to, the 

use of cash collateral or authority to obtain credit; 

(g) the appointment of a trustee or examiner in a chapter 11 

reorganization case; 

(h) the approval of a disclosure statement; 

(i) the confirmation of a plan; 

(j) an objection to, or waiver or revocation of, the debtor’s 

discharge; 

(k) any other matter in which the United States trustee requests copies of filed papers or the court orders copies transmitted to the United States trustee. 

(Added Apr. 30, 1991, eff. Aug. 1, 1991.) 

Rule 9035. Applicability of Rules in Judicial Districts in Alabama 

and North Carolina 

In any case under the Code that is filed in or transferred to a 

district in the State of Alabama or the State of North Carolina 

and in which a United States trustee is not authorized to act, 

these rules apply to the extent that they are not inconsistent with 

any federal statute effective in the case. 

(Added Apr. 30, 1991, eff. Aug. 1, 1991; amended Apr. 11, 1997, eff. 

Dec. 1, 1997.) 

Rule 9036. Notice and Service by Electronic Transmission 

(a) IN GENERAL. This rule applies whenever these rules require 

or permit sending a notice or serving a paper by mail or other 

means. 

(b) NOTICES FROM AND SERVICE BY THE COURT. 

(1) Registered Users. The clerk may send notice to or serve a 

registered user by filing the notice or paper with the court’s 

electronic-filing system. 

(2) All Recipients. For any recipient, the clerk may send notice or serve a paper by electronic means that the recipient 

consented to in writing, including by designating an electronic 

address for receipt of notices. But these exceptions apply: 

(A) if the recipient has registered an electronic address 

with the Administrative Office of the United States 

Courts’ bankruptcy-noticing program, the clerk shall send 

the notice to or serve the paper at that address; and 

(B) if an entity has been designated by the Director of 

the Administrative Office of the United States Courts as a 

high-volume paper-notice recipient, the clerk may send 

the notice to or serve the paper electronically at an address designated by the Director, unless the entity has designated an address under § 342(e) or (f) of the Code. 

(c) NOTICES FROM AND SERVICE BY AN ENTITY. An entity may 

send notice or serve a paper in the same manner that the clerk 

does under (b), excluding (b)(2)(A) and (B). 
Rule 9037 FEDERAL RULES OF BANKRUPTCY PROCEDURE 136 

(d) COMPLETING NOTICE OR SERVICE. Electronic notice or service 

is complete upon filing or sending but is not effective if the filer 

or sender receives notice that it did not reach the person to be 

served. It is the recipient’s responsibility to keep its electronic 

address current with the clerk. 

(e) INAPPLICABILITY. This rule does not apply to any paper required to be served in accordance with Rule 7004. 

(Added Apr. 22, 1993, eff. Aug. 1, 1993; amended Apr. 25, 2005, eff. 

Dec. 1, 2005; Apr. 25, 2019, eff. Dec. 1, 2019; Apr. 14, 2021, eff. Dec. 

1, 2021.) 

Rule 9037. Privacy Protection For Filings Made with the Court 

(a) REDACTED FILINGS. Unless the court orders otherwise, in an 

electronic or paper filing made with the court that contains an individual’s social-security number, taxpayer-identification number, or birth date, the name of an individual, other than the debtor, known to be and identified as a minor, or a financial-account 

number, a party or nonparty making the filing may include only: 

(1) the last four digits of the social-security number and taxpayer-identification number; 

(2) the year of the individual’s birth; 

(3) the minor’s initials; and 

(4) the last four digits of the financial-account number. 

(b) EXEMPTIONS FROM THE REDACTION REQUIREMENT. The redaction requirement does not apply to the following: 

(1) a financial-account number that identifies the property 

allegedly subject to forfeiture in a forfeiture proceeding; 

(2) the record of an administrative or agency proceeding unless filed with a proof of claim; 

(3) the official record of a state-court proceeding; 

(4) the record of a court or tribunal, if that record was not 

subject to the redaction requirement when originally filed; 

(5) a filing covered by subdivision (c) of this rule; and 

(6) a filing that is subject to § 110 of the Code. 

(c) FILINGS MADE UNDER SEAL. The court may order that a filing 

be made under seal without redaction. The court may later unseal 

the filing or order the entity that made the filing to file a redacted version for the public record. 

(d) PROTECTIVE ORDERS. For cause, the court may by order in a 

case under the Code: 

(1) require redaction of additional information; or 

(2) limit or prohibit a nonparty’s remote electronic access to 

a document filed with the court. 

(e) OPTION FOR ADDITIONAL UNREDACTED FILING UNDER SEAL. An 

entity making a redacted filing may also file an unredacted copy 

under seal. The court must retain the unredacted copy as part of 

the record. 

(f) OPTION FOR FILING A REFERENCE LIST. A filing that contains 

redacted information may be filed together with a reference list 

that identifies each item of redacted information and specifies an 

appropriate identifier that uniquely corresponds to each item listed. The list must be filed under seal and may be amended as of 

right. Any reference in the case to a listed identifier will be construed to refer to the corresponding item of information. 
137 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 9038 

(g) WAIVER OF PROTECTION OF IDENTIFIERS. An entity waives the 

protection of subdivision (a) as to the entity’s own information by 

filing it without redaction and not under seal. 

(h) MOTION TO REDACT A PREVIOUSLY FILED DOCUMENT. 

(1) Content of the Motion; Service. Unless the court orders 

otherwise, if an entity seeks to redact from a previously filed 

document information that is protected under subdivision (a), 

the entity must: 

(A) file a motion to redact identifying the proposed 

redactions; 

(B) attach to the motion the proposed redacted document; 

(C) include in the motion the docket or proof-of-claim 

number of the previously filed document; and 

(D) serve the motion and attachment on the debtor, 

debtor’s attorney, trustee (if any), United States trustee, 

filer of the unredacted document, and any individual 

whose personal identifying information is to be redacted. 

(2) Restricting Public Access to the Unredacted Document; Docketing the Redacted Document. The court must promptly restrict 

public access to the motion and the unredacted document 

pending its ruling on the motion. If the court grants it, the 

court must docket the redacted document. The restrictions on 

public access to the motion and unredacted document remain 

in effect until a further court order. If the court denies it, the 

restrictions must be lifted, unless the court orders otherwise. 

(Added Apr. 30, 2007, eff. Dec. 1, 2007; amended Apr. 25, 2019, eff. 

Dec. 1, 2019.) 

Rule 9038. Bankruptcy Rules Emergency 

(a) CONDITIONS FOR AN EMERGENCY. The Judicial Conference of 

the United States may declare a Bankruptcy Rules emergency if 

it determines that extraordinary circumstances relating to public 

health or safety, or affecting physical or electronic access to a 

bankruptcy court, substantially impair the court’s ability to perform its functions in compliance with these rules. 

(b) DECLARING AN EMERGENCY. 

(1) Content. The declaration must: 

(A) designate the bankruptcy court or courts affected; 

(B) state any restrictions on the authority granted in (c); 

and 

(C) be limited to a stated period of no more than 90 days. 

(2) Early Termination. The Judicial Conference may terminate a declaration for one or more bankruptcy courts before 

the termination date. 

(3) Additional Declarations. The Judicial Conference may 

issue additional declarations under this rule. 

(c) TOLLING AND EXTENDING TIME LIMITS. 

(1) In an Entire District or Division. When an emergency is in 

effect for a bankruptcy court, the chief bankruptcy judge may, 

for all cases and proceedings in the district or in a division: 

(A) order the extension or tolling of a Bankruptcy Rule, 

local rule, or order that requires or allows a court, a clerk, 

a party in interest, or the United States trustee, by a specified deadline, to commence a proceeding, file or send a 
Rule 9038 FEDERAL RULES OF BANKRUPTCY PROCEDURE 138 

document, hold or conclude a hearing, or take any other 

action, despite any other Bankruptcy Rule, local rule, or 

order; or 

(B) order that, when a Bankruptcy Rule, local rule, or 

order requires that an action be taken ‘‘promptly,’’ ‘‘forthwith,’’ ‘‘immediately,’’ or ‘‘without delay,’’ it be taken as 

soon as is practicable or by a date set by the court in a 

specific case or proceeding. 

(2) In a Specific Case or Proceeding. When an emergency is in 

effect for a bankruptcy court, a presiding judge may take the 

action described in (1) in a specific case or proceeding. 

(3) When an Extension or Tolling Ends. A period extended or 

tolled under (1) or (2) terminates on the later of: 

(A) the last day of the time period as extended or tolled 

or 30 days after the emergency declaration terminates, 

whichever is earlier; or 

(B) the last day of the time period originally required, 

imposed, or allowed by the relevant Bankruptcy Rule, 

local rule, or order that was extended or tolled. 

(4) Further Extensions or Shortenings. A presiding judge may 

lengthen or shorten an extension or tolling in a specific case 

or proceeding. The judge may do so only for good cause after 

notice and a hearing and only on the judge’s own motion or on 

motion of a party in interest or the United States trustee. 

(5) Exception. A time period imposed by statute may not be 

extended or tolled. 

(Added Apr. 24, 2023, eff. Dec. 1, 2023.) 

[PART X—UNITED STATES TRUSTEES] (Abrogated Apr. 30, 

1991, eff. Aug. 1, 1991) 
139 FEDERAL RULES OF BANKRUPTCY PROCEDURE APPENDIX 
APPENDIX FEDERAL RULES OF BANKRUPTCY PROCEDURE 140 

(As added Apr. 26, 2018, eff. Dec. 1, 2018.) 

Æ