Part 259 - FORMS PRESCRIBED UNDER THE PUBLIC UTILITY HOLDING COMPANY ACT OF 1935  


§ 259.0-1 Availability of forms.
Subpart A — Forms for Registration and Annual Supplements
§ 259.5a Form U5A, for notification of registration filed under section 5(a) of the Act.
§ 259.5b Form U5B, for registration statement filed under section 5(b) of the Act.
§ 259.5s Form U5S, for annual reports filed under section 5(c) of the Act.
Subpart B — Forms for Applications and Declarations
§ 259.101 Form U–1, application or declaration under the Public Utility Holding Company Act of 1935.
§ 259.113 Form U–13–1, for applications for approval of mutual service companies pursuant to Rule 88 (§250.88 of this chapter).
Subpart C — Forms for Statements and Reports
§ 259.206 Form U–6B–2, for notification of security issues exempt under section 6(b) of the Act.
§ 259.207 Form U–57, for notification of foreign utility company status pursuant to Rule 57(a) (§250.57 of this chapter).
§ 259.208 Form U–9C–3, for notification of acquisition of securities exempt from section 9(a) pursuant to rule 58 (§250.58 of this chapter).
§ 259.213 Form U–13E–1, for report by affiliate companies and independent service companies pursuant to Rule 95 (§250.95 of this chapter).
§ 259.221 Form U–R–1, for solicitations pursuant to Rule 62 (§250.62 of this chapter), in connection with reorganizations.
§ 259.212a Form U–12(I)–A, for statement of activity within scope of section 12(i) of the Act pursuant to Rule 71(a) (§250.71(a) of this chapter).
§ 259.212b Form U–12(I)–B, for advance statement of activity within scope of section 12(i) of the Act pursuant to Rule 71(b) (§250.71(b) of this chapter).
Subpart D — Forms for Periodic Accounting Reports
§ 259.313 Form U–13–60, for annual reports pursuant to Rule 94 (§250.94 of this chapter) by mutual and subsidiary service companies required by section 13 of the Act.
Subpart E — Forms for Statements and Reports From Nonregistered (Exempt) Companies
§ 259.402 Form U–3A–2, for annual reports pursuant to Rule 2 (§250.2 of this chapter) for exempt holding companies which are intrastate or predominantly operating companies.
§ 259.403 Form U–3A3–1, for annual reports pursuant to Rule 3 (§250.3 of this chapter) for banks which are exempt holding companies.
§ 259.404 Certificate to be filed pursuant to §250.7(d) of this chapter.
§ 259.405 Form U–33–S, for annual reports pursuant to Rule 57(b) (§250.57 of this chapter).
Subpart F — Forms for Amendments [Reserved]
Subpart G — Forms for Electronic Filing
§ 259.601 [Reserved]
§ 259.602 Form ID, uniform application for access codes to file on EDGAR.
§ 259.603 Form SE, form for submission of paper format exhibits by electronic filers.
§ 259.604 Form TH — Notification of reliance on temporary hardship exemption.

Authority

15 U.S.C. 79e, 79f, 79g, 79j, 79 l, 79m, 79n, 79q, 79t.

Source

33 FR 19001, Dec. 20, 1968, unless otherwise noted.