General Rules and Regulations and Forms Under the Public Utility Holding Company Act of 1935 ...U.S. Government Printing Office, 1937 |
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... HOLDING COMPANY ACT OF 1935 ( Cite as 17 CFR 250.- ) CONTENTS I. REGISTRATION AND GENERAL EXEMPTIONS Rule 1 ... registered holding companies transform- ing to investment companies ( revoked ) .. II . FORMS , PROCEDURE AND ACCOUNTS Page 1 ...
... HOLDING COMPANY ACT OF 1935 ( Cite as 17 CFR 250.- ) CONTENTS I. REGISTRATION AND GENERAL EXEMPTIONS Rule 1 ... registered holding companies transform- ing to investment companies ( revoked ) .. II . FORMS , PROCEDURE AND ACCOUNTS Page 1 ...
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... REGISTERED HOLDING COMPANIES AND THEIR SUBSIDIARIES 70. Exemptions from section 17 ( c ) of the Act- 71. Statements ... COMPANY ACT OF 1935 With respect to first mortgage bonds .. With respect to preferred stock ... 3233343 36 40 Rules ...
... REGISTERED HOLDING COMPANIES AND THEIR SUBSIDIARIES 70. Exemptions from section 17 ( c ) of the Act- 71. Statements ... COMPANY ACT OF 1935 With respect to first mortgage bonds .. With respect to preferred stock ... 3233343 36 40 Rules ...
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... Registration ( a ) Notification of registration . - Notifica- tions of registration pursuant to section 5 ( a ) of the Act shall be filed on form U5A . ( b ) Registration statement . - Every regis- tered holding company and person ...
... Registration ( a ) Notification of registration . - Notifica- tions of registration pursuant to section 5 ( a ) of the Act shall be filed on form U5A . ( b ) Registration statement . - Every regis- tered holding company and person ...
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... holding companies from the registration requirements of the Act , is within the exemption afforded by any such rule , or if it appears that any question exists as to whether the exemption of any such com- pany may be detrimental to the ...
... holding companies from the registration requirements of the Act , is within the exemption afforded by any such rule , or if it appears that any question exists as to whether the exemption of any such com- pany may be detrimental to the ...
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... company of a registered hold- ing company , which subsidiary is subject to the jurisdiction of the Interstate Commerce Commis- sion but is not an electric or gas utility company or a holding company , shall be exempt from all the ...
... company of a registered hold- ing company , which subsidiary is subject to the jurisdiction of the Interstate Commerce Commis- sion but is not an electric or gas utility company or a holding company , shall be exempt from all the ...
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Términos y frases comunes
Act with respect affiliate application or declaration approval associate company thereof Atchafalaya River become effective capital commercial banking Commis Commission company or subsidiary Corporation curities declaration or application dividends document earned surplus electric or gas exempt from section filed financial connection HCAR holders Holding Company Act indebtedness Indenture Trustee Initially adpt investment banker issuance or sale issuer July 14 July 26 junior stock ment mutual service company notice of proposal Obligor otherwise paragraph performing services person preferred stock property additions Public Utility Holding public-utility company public-utility or holding pursuant to section registered holding company reorganization Rule 94 rules and regulations sale of securities section 13 section 9 sell services or construction sion solicitation specified suant subpara subparagraph subsidiary company thereof subsidiary service companies subsidiary thereof system of accounts thereto thereunder tion unsecured debt utility assets Utility Holding Company
Pasajes populares
Página 19 - It shall be unlawful for any person to solicit or to permit the use of his or its name to solicit, by use of the mails or any means or instrumentality of interstate commerce, or otherwise, any proxy, power of attorney, consent, or authorization...
Página 34 - Commission the disclosure of such information would be in the public interest or the interest of investors or consumers, the information contained in any statement, application, declaration, report, or other document filed with the Commission shall be available to the public...
Página 17 - ... necessary or appropriate in the public interest or for the protection of investors or consumers to assure the maintenance of competitive conditions, the receipt of adequate consideration or the reasonableness of any fees or commissions to be paid with respect to sales of securities subject to section 12 (d) of the act.
Página 21 - ... all fees, expenses, and remuneration, to whomsoever paid, in connection with any reorganization, dissolution, liquidation, bankruptcy, or receivership of a registered holding company or subsidiary company thereof, in any such proceeding, shall be subject to approval by the Commission.
Página 3 - ... by such company it is not necessary in the public interest or for the protection of investors or consumers that such company be considered a gas utility company...
Página 15 - ... except pursuant to a declaration notifying the Commission of the proposed transaction, which has become effective In accordance with the procedure specified in § 250.23, and pursuant to the order of the Commission with respect to such declaration under the applicable provisions of the Act.
Página 34 - Commission in the course of any examination or investigation shall, unless made a matter of public record, be deemed confidential. Officers and employees are hereby prohibited from making such confidential information or documents...
Página 33 - In relation to any corporation or other organization issuing stock or similar securities, any person who, directly or indirectly, owns, controls, or holds with power to vote, 10 percent or more of the outstanding voting securities thereof.
Página 16 - Transactions approved by a reorganization court. Any such subsidiary company which is the subject of a proceeding for reorganization In any court of the United States in which proceeding the Commission has filed a notice of appearance pursuant to section 208 of Chapter X of the Bankruptcy Act, as amended (52 Stat.