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 Form ET, transmittal form for electronic format documents on magnetic tape or diskette to be filed on the EDGAR system.

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 fil

ers.

259.604 Form TH-Notification of reliance on temporary hardship exemption. AUTHORITY: 15 U.S.C. 79e, 79f, 79g, 79j, 791, 79m, 79n, 79q, 79t.

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

$259.0-1 Availability of forms.

(a) This part identifies and describes the forms prescribed for use under the Public Utility Holding Company Act of 1935.

(b) Any person may obtain a copy of any form prescribed for use in this part by written request to the Securities and Exchange Commission, 450 Fifth Street, NW., Washington, DC 20549. Any person may inspect the forms at this address and at the Commission's regional and district offices. (See §200.11 of this chapter for the addresses of SEC regional and district offices)

[46 FR 17757, Mar. 20, 1981, as amended at 47 FR 26820, June 22, 1982; 59 FR 5946, Feb. 9, 1994]

Subpart A-Forms for Registration and Annual Supplements

§ 259.5a Form U5A, for notification of registration filed under section 5(a) of the Act.

This form shall be filed pursuant to Rule 1(a) (§ 250.1(a) of this chapter) for the notification required under section 5(a) of the Public Utility Holding Company Act of 1935 by every public utility holding company required to register under the Act.

EDITORIAL NOTE: For FEDERAL REGISTER Citations affecting Form U5A, see the List of CFR Sections Affected in the Finding Aids section of this volume.

§ 259.5b Form U5B, for registration statement filed under section 5(b) of the Act.

This form shall be filed pursuant to Rule 1(b) (§ 250.1(b) of this chapter) for the registration statement required to be filed under section 5(b) of the Act by every public utility holding company required to register under the Act.

EDITORIAL NOTE: For FEDERAL REGISTER Citations affecting Form U5B, see the List of CFR Sections Affected in the Finding Aids section of this volume.

§ 259.58 Form U5S, for annual reports filed under section 5(c) of the Act. This form shall be filed pursuant to Rule 1(c) (§ 250.1(c) of this chapter) for the annual report required to be filed under section 14 of the Act by every registered public utility holding company.

EDITORIAL NOTE: For FEDERAL REGISTER citations affecting Form U5S, see the List of CFR Sections Affected in the Finding Aids section of this volume.

Subpart B-Forms for Applications and Declarations

§ 259.101 Form U-1, application or declaration under the Public Utility Holding Company Act of 1935.

This form shall be used pursuant to Rule 20(c) (§ 250.20(c) of this chapter) by any person filing an application or declaration or amendment thereto pursuant to sections 6(b), 7, 9(c)(3), 10, 12(b), (c), (d), or (f) of the Public Utility Holding Company Act of 1935 or any rules and regulations under such sec

tions, where no other form is authorized or prescribed.

EDITORIAL NOTE: For FEDERAL REGISTER Citations affecting Form U-1, see the List of CFR Sections Affected in the Finding Aids section of this volume.

$259.113 Form U-13-1, for applications for approval of mutual service companies pursuant to Rule 88 (§ 250.88 of this chapter).

This form shall be filed pursuant to Rule 88 (§ 250.88 of this chapter) for approval of a company as a mutual service company, by the company or person proposing to organize it under section 13 of the Act.

EDITORIAL NOTE: For FEDERAL REGISTER Citations affecting Form U-13-1, see the List of CFR Sections Affected in the Finding Aids section of this volume.

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.

This form shall be filed pursuant to section 6(b) of the Act as the certificate of notification of the issue, sale, renewal, or guaranty of securities exempted from the application of section 6(a) of the Act.

EDITORIAL NOTE: For FEDERAL REGISTER Citations affecting Form U-6B-2, see the List of CFR Sections Affected in the Finding Aids section of this volume.

§ 259.207 Form U-57, for notification of foreign utility company status pursuant to Rule 57(a) (§ 250.57 of this chapter).

This form shall be filed pursuant to section 33(a)(3)(B) of the Act by a company claiming foreign utility company status.

EDITORIAL NOTE: For FEDERAL REGISTER Citations affecting Form U-57, see the List of CFR Sections Affected in the Finding Aids section of this volume.

§ 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).

This form shall be filed pursuant to Rule 71(a) (§ 250.71(a) of this chapter) by any person who engages in any activity within the scope of section 12(i) of the Act.

EDITORIAL NOTE: For FEDERAL REGISTER citations affecting Form U-12(I)-A, see the List of CFR Sections Affected in the Finding Aids section of this volume.

§ 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).

This form may be filed as an advance statement pursuant to Rule 71(b) (§ 250.71(b) of this chapter) by certain persons designated therein covering anticipated activity within the scope of section 12(i) of the Act.

EDITORIAL NOTE: For FEDERAL REGISTER citations affecting Form U-12(I)-B, see the List of CFR Sections Affected in the Finding Aids section of this volume.

§ 259.213 Form U-13E-1, for report by affiliate companies and independent service companies pursuant to Rule 95 (§ 250.95 of this chapter). This form shall be filed pursuant to Rule 95 ($250.95 of this chapter) by an affiliate of a registered public utility holding company or subsidiary company thereof in connection with the performance of any service, construction or sale of goods to an affiliate.

EDITORIAL NOTE: For FEDERAL REGISTER citations affecting Form U-13E-1, see the List of CFR Sections Affected in the Finding Aids section of this volume.

§ 259.221 Form U-R-1, for solicitations pursuant to Rule 62 (§ 250.62 of this chapter), in connection with reorganizations.

This form shall be filed for the declaration pursuant to Rule 62 (§ 250.62 of this chapter) for solicitations in connection with any reorganization subject to the rule.

EDITORIAL NOTE: For FEDERAL REGISTER Citations affecting Form U-R-1, see the List of CFR Sections Affected in the Finding Aids section of this volume.

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.

This form shall be filed pursuant to Rule 94 (§250.94 of this chapter) by every mutual service company and every subsidiary service company required thereunder to file annual reports under section 13 of the Act. (See uniform system of accounts for mutual and subsidiary service companies, Part 256 of this chapter.)

EDITORIAL NOTE: For FEDERAL REGISTER citations affecting Form U-13-60, see the List of CFR Sections Affected in the Finding Aids section of this volume.

EDITORIAL NOTE: For FEDERAL REGISTER citations affecting Form U-3A3-1, see the List of CFR Sections Affected in the Finding Aids section of this volume.

§ 259.404 Certificate to be filed pursuant to § 250.7(d) of this chapter.

This form must be filed with the Commission by any lessor or beneficial owner of a utility facility which has been leased by it to an operating public utility company, within 30 days after execution of the lease, if any beneficial owner of such facility seeks exclusion from the status of an electric or gas utility company under the Act pursuant to §250.7(d) of this chapter.

[38 FR 16999, June 28, 1973]

EDITORIAL NOTE: For FEDERAL REGISTER Citations affecting Form U-7D, see the List of CFR Sections Affected in the Finding Aids section of this volume.

§ 259.405 Form U-33-S, for annual reports pursuant to Rule 57(b) (§ 250.57 of this chapter).

This form shall be filed by a public utility company that is an associate of one or more foreign utility companies, unless such public-utility company is an associate of a registered holding company, or of a holding company exempt from registration under §250.2 of this chapter.

EDITORIAL NOTE: For FEDERAL REGISTER Citations affecting Form U-33-S, see the List of CFR Sections Affected in the Finding Aids section of this volume.

Subpart F-Forms for Amendments (Reserved)

Subpart G-Forms for Electronic Filing

§ 259.601 Form ET, transmittal form for electronic format documents on magnetic tape or diskette to be filed on the EDGAR system.

This form shall accompany electronic filings submitted on magnetic tape or diskette under the EDGAR system.

[57 FR 18219, Apr. 29, 1992]

EDITORIAL NOTE: For FEDERAL REGISTER Citations affecting Form ET, see the List of CFR Sections Affected in the Finding Aids section of this volume.

§ 259.602 Form ID, uniform application for access codes to file on EDGAR.

(a) Form ID is to be used by registrants, third party filers, or their agents for the purpose of requesting assignment of access codes to permit filing on EDGAR, as follows:

(1) Central Index Key (CIK)-uniquely identifies each filer, filing agent, and training agent.

(2) CIK Confirmation Code (CCC)— used in the header of a filing in conjunction with the CIK of the filer to ensure that the filing has been authorized by the filer.

(3) Password (PW)—allows a filer, filing agent or training agent to log on to the EDGAR system, submit filings, and change its CCC.

(4) Password Modification Authorization Code (PMAC)—allows a filer, filing agent or training agent to change its Password.

(b) Form ID also may be used for the purpose of requesting a reassignment of their CCC, PW and PMAC.

[57 FR 18219, Apr. 29, 1992]

EDITORIAL NOTE: For FEDERAL REGISTER Citations affecting Form ID, see the List of CFR Sections Affected in the Finding Aids section of this volume.

§ 259.603 Form SE, form for submission of paper format exhibits by electronic filers.

This form shall be used by an electronic filer for the submission of any paper format document relating to an otherwise electronic filing, as provided in rule 311 of Regulation S-T (§232.311 of this chapter).

[58 FR 15007, Mar. 18, 1993]

EDITORIAL NOTE: For FEDERAL REGISTER Citations affecting Form SE, see the List of CFR Sections Affected in the Finding Aids section of this volume.

§ 259.604 Form TH-Notification of reliance on temporary hardship exemption.

Form TH shall be filed by any electronic filer who submits to the Commission, pursuant to a temporary hardship exemption, a document in paper format that otherwise would be required to be submitted electronically,

RULES UNDER SECTION 303 260.3(4)-1 Definition of "commission from an underwriter or dealer not in excess of the usual and customary distributors' or sellers' commissions" in section 303(4), for certain transactions. 260.3(4)-2 Definition of "distribution" in section 303(4) for certain transactions. 260.3(4)-3 Definition of "participates" and "participation" as used in section 303(4), in relation to certain transactions.

RULES UNDER SECTION 304 260.4a-1 Exempted securities under section 304(a)(8).

260.4a-2 Exempted securities under section 304(d).

260.4a-3 Exempted securities under section 304(a)(9).

260.4c-1 Form for applications under section 304(c).

260.4c-2 General requirements as to form and content of applications. 260.4c-3 Number of copies; filing; signatures; binding.

260.4c-4 Applications under section 304(c)(1). 260.4c-5 Applications under section 304(c)(2). 260.4d-7 Application for exemption from one or more provisions of the Act. 260.4d-8 Content.

260.4d-9 Exemption for Canadian Trust Indentures from Specified Provisions of the Act.

RULES UNDER SECTION 305

260.5a-1 Forms for statements of eligibility and qualification. 260.5a-2 General requirements as to form and content of statements of eligibility and qualification.

260.5a-3 Number of copies; filing; signa

tures; binding. 260.5b-1 Application pursuant to section

305(b)(2) of the Trust Indenture Act for determining eligibility of a person designated as trustee for offerings on a delayed basis.

260.5b-2 General requirements as to form and content of applications.

260.5b-3 Number of copies-Filing-Signatures.

RULES UNDER SECTION 307

APPLICATIONS FOR QUALIFICATION OF
INDENTURES

260.7a-1 Form for application.

260.7a-2 Powers of agent for service named in application.

260.7a-3 Number of copies; filing; signatures; binding.

260.7a-4 Calculation of time.

260.7a-5 Filing of amendments; number of copies.

260.7a-6 Telegraphic delaying amendments. 260.7a-7 Effective date of amendment filed

under section 8(a) of the Securities Act with the consent of the Commission. 260.7a-8 Effective date of amendment filed

under section 8(a) of the Securities Act pursuant to order of Commission. 260.7a-9 Delaying amendments. 260.7a-10 Payment of fees.

GENERAL REQUIREMENTS AS TO FORM AND CONTENT OF APPLICATIONS, STATEMENTS AND REPORTS

GENERAL

260.7a-15 Scope of §§ 260.7a-15 to 260.7a-37.

FORMAL REQUIREMENTS

260.7a-16 Inclusion of items, differentiation between items and answers, omission of instructions.

260.7a-17 Quality, color and size of paper. 260.7a-18 Legibility.

260.7a-19 Margin for binding. 260.7a-20 Riders; inserts.

GENERAL REQUIREMENTS AS TO CONTENTS

260.7a-21 Clarity.

260.7a-22 Information unknown or not reasonably available.

260.7a-23 Statements required where item is inapplicable or where answer is "none."

260.7a-24 Words relating to periods of time in the past.

260.7a-25 Words relating to the future. 260.7a-26 Disclaimer of control.

260.7a-27 Title of securities.

INCORPORATION BY REFERENCE

260.7a-28 Incorporation of matter in application, statement or report, other than exhibits, as answer to item.

260.7a-29 Incorporation of exhibits as such. 260.7a-30 Identification of material incorporated; form of incorporation.

260.7a-31 Incorporation by reference of contested material.

260.7a-32 Incorporation by reference rendering document incomplete, unclear, or confusing.

EXHIBITS

260.7a-33 Additional exhibits.

260.7a-34 Omission of substantially identical documents.

AMENDMENTS

260.7a-35 Formal requirements as to amendments.

260.7a-36 Signatures to amendments.

INSPECTION AND PUBLICATION OF APPLICATIONS, STATEMENTS AND REPORTS 260.7a-37 Inspection of applications, statements and reports.

RULES UNDER SECTION 310

260.10a-1 Application for determining eligibility of a foreign person to act as sole trustee pursuant to section 310(a)(1) of the Act.

260.10a-2 General requirements as to form and content of applications.

260.10a-3 Number of copies-Filing-Signatures.

260.10a-4 Consent of trustee to service of