CN FUU Da 1865 PREFACE Heretofore the designation of the rules promulgated under the Public Utility Holding Company Act of 1935 had the letter "U" as a prefix to each of the rules. This has been discontinued. GENERAL RULES AND REGULATIONS UNDER THE PUBLIC UTILITY HOLDING COMPANY ACT OF 1935 (Cite as 17 CFR 250.-) I. REGISTRATION AND GENERAL EXEMPTIONS Rule 1. Registration... 2. Exemption of holding companies which are intrastate or predominantly operating companies 3. Exemption of certain banks.. 4. Exemption of certain brokers, dealers and underwriters. 5. Exemption of certain foreign holding companies___ 6. Termination of exemptions.--. 7. Companies deemed not to be electric or gas utility companies- - 8. Exemption of subsidiaries subject to jurisdiction of Interstate Commerce Commission 9. Exemption of small holding company systems (revoked). 10. Effect of certain exemption___. 11. Certain acquisitions by affiliates exempted from section 9 (a) (2)---- 12. Exemption of certain public-utility companies from the definition of subsidiary companies of holding companies. 13. Exemption of certain non-utility subsidiary companies and affiliates of registered holding companies transforming to investment companies (revoked).. II. FORMS, PROCEDURE AND ACCOUNTS Page 1 1 2 2 2 3 4 4 4 4 5 5 20. Prescribed forms and amendments. 21. Filing of documents___ 22. Applications and declarations. 23. Procedure applicable to certain applications and declarations__ 24. Terms and conditions applicable to declarations and orders granting applications. 26. Uniform system of accounts for certain holding and investment companies___ 29. Filing of reports to stockholders and State Commissions 41. Exemption of public-utility subsidiaries with respect to limited acquisition of utility assets. 42. Acquisition, retirement and redemption of securities by the issuer thereof __ 12 H2 12 43. Sales to affiliates..... 13 44. Sales of securities and assets. 13 45. Loans, extensions of credit, donations and capital contributions to associate companies46. Dividend declarations and payments on certain indebtedness___ 14 15 47. Exemption of public-utility subsidiaries as to certain securities issued to the Rural Electrification Administration 48. Certain exemptions in connection with appliance sales and loans to officers or employees.. 49. Certain exemptions granted to non-utility subsidiaries... 50. Requirement of public invitation of proposals for the purchase or underwriting of securities. 15 15 16 17 IV. SOLICITATIONS AND REORGANIZATIONS Rule 60. Meaning of word "authorization". 61. Solicitations other than in connection with a reorganization or transaction which is the subject of an application or declaration............. 62. Solicitations in connection with a reorganization or transaction which is the subject of an application or declaration--- 63. Approval of reorganization fees.... 64. Scope of applications for approval of reorganization plans.. 65. Expenditures in connection with solicitation of proxies____ V. OFFICERS, DIRECTORS AND REPRESENTATIVES OF REGISTERED HOLDING COMPANIES AND THEIR 80. Definitions of terms used in rules under section 13. 81. Exempted transactions.... 82. Temporary exemption from section 13.. 83. Exemption in the case of transactions with foreign associates____ 84. Prohibition of unauthorized transactions by registered holding companies. 85. Service, sales and construction by registered holding companies.-- 86. Prohibition of unauthorized transactions by subsidiaries. 87. Subsidiaries authorized to perform services or construction or to sell goods_--- 88. Approval of mutual service companies-organization and conduct of business of subsidiary service companies. 89. Termination of contracts.. 90. Transactions limited to cost... 91. Determination of cost.__. 92. Sales of goods produced by seller.. 93. Accounts and records of mutual and subsidiary service companies. 94. Annual reports by mutual and subsidiary service companies--- 95. Reports required from affiliate service companies and companies principally engaged in performing services.. VII. MISCELLANEOUS RULES 100. Orders granting or withdrawing exemptions. VIII. STATEMENTS OF POLICY REGARDING FIRST MORTGAGE BONDS AND PREFERRED STOCK SUBJECT TO |