CONTENTS U-1. References to rules and regulations and to the Act, or to por- U-2. Filing of papers-Formal specifications and authorizations U-2A3-1. Applications for orders under section 2 (a) (3).... U-2A3-2. Companies declared not to be electric utility companies...... U-2A4-1. Applications for orders under section 2 (a) (4)... U-2A4-2. Companies declared not to be gas utility companies. U-3A5-1. Exemption of certain extra-territorial holding companies. RULES UNDER SECTION 3 OF THE ACT-Continued Rule Page U-3D-9. Exemption of certain securities issued in connection with install- ment sales of electric and gas equipment---- 312 U-3D-10. Issue of note for purchase price of equipment.......... U-3D-11. Issue and sale of evidences of indebtedness to consumers for advances by them to be used solely for construction of elec- U-3D-12. Exemption of certain small holding company systems--- U-3D-13. Exemption of public utility subsidiaries from section 9 (a) (1) U-9A2-1. Exemption of certain banks from section 9 (a) (2)...---- U-9A2-2. Exemption of certain brokers, dealers, and underwriters from U-9C-1. Prohibition of unauthorized acquisitions of securities... U-9C-2. Definitions of terms used in rules under section 9 (c)............. U-9C-3. Certain acquisitions of securities exempted..... U-9C-4. Applications for approval of investment programs for current U-11F-1. Applications for approval of reorganization plans----- U-11F-2. Commission approval of fees in connection with reorganiza- U-12C-1. Acquisitions of securities by the issuer-Retirements and redemptions___. 1202 U-12(I)-1. Statements under section 12 (i)_. 1218 U-13-20. Prohibition of unauthorized transactions by subsidiaries------ U-13-21. Subsidiaries authorized to perform services or construction or U-13-60. Annual reports by mutual and subsidiary service companies.. 1309 1310 directors of non-operating companies---. U-17C-3. Definitions of terms used in section 17 (c) of the Act and rules GENERAL RULES AND REGULATIONS UNDER THE PUBLIC UTILITY HOLDING COMPANY ACT OF 1935 RULES OF GENERAL APPLICATION Rule U-1. References to Rules and Regulations and to the Act, or to Portions Thereof. (a) As used in the rules and regulations prescribed by the Commission pursuant to the Public Utility Holding Company Act of 1935, unless the context otherwise requires— (1) The term "Commission" means the Securities and Exchange Commission. (2) The term "Act" means the Public Utility Holding Company Act of 1935. (3) The term "section" refers to a section of the Public Utility Holding Company Act of 1935. (4) The terms "rule” and “regulation" refer to the rules and regulations prescribed by the Commission pursuant to the Act. (b) Unless otherwise specifically stated, the terms used in the rules and regulations shall have the meaning defined in the Act. (c) A rule or regulation which defines a term without express reference to the Act or to the rules and regulations, or to a portion thereof, defines such term for all purposes as used both in the Act and in the rules and regulations, unless the context otherwise requires. Rule U-2. Filing of Papers-Formal Specifications and Author izations Respecting Applications-Verification of Applications-Waiver of Strict Compliance With This Rule. (a) Filing of papers.-All papers required to be filed with the Commission shall, unless otherwise provided by the rules and regulations, be delivered through the mails or otherwise to the Securities and Exchange Commission, Washington, D. C. Except as otherwise provided by the rules and regulations, such papers shall be deemed to have been filed with the Securities and Exchange Commission on the date when they are actually received by it. (b) Formal specifications respecting applications.-Every application for an order under any provision of the Act, for which a form with instructions is not specifically prescribed, and every amendment to such application shall be filed in triplicate. One copy shall be signed by the applicant but the other two copies may have facsimile |