---

17 C.F.R. Subpart C—Forms for Statements and Reports

Title 17 - Commodity and Securities Exchanges

Title 17: Commodity and Securities Exchanges
PART 259—FORMS PRESCRIBED UNDER THE PUBLIC UTILITY HOLDING COMPANY ACT OF 1935

Browse Previous |  Browse Next

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, which appears in the Finding Aids section of the printed volume and on GPO Access.

§ 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, which appears in the Finding Aids section of the printed volume and on GPO Access.

§ 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).

This form shall be filed pursuant to §250.58(c) as the certificate of notification of an acquisition of securities exempted from the application of section 9(a) of the Act (15 U.S.C. 79a et seq.) pursuant to §250.58.

[62 FR 7917, Feb. 20, 1997]

§ 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, which appears in the Finding Aids section of the printed volume and on GPO Access.

§ 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, which appears in the Finding Aids section of the printed volume and on GPO Access.

§ 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, which appears in the Finding Aids section of the printed volume and on GPO Access.

§ 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, which appears in the Finding Aids section of the printed volume and on GPO Access.

Browse Previous |  Browse Next