17 C.F.R. Subpart E—Forms for Statements and Reports From Nonregistered (Exempt) Companies
Title 17 - Commodity and Securities Exchanges
This form shall be filed as the annual report under Rule 2 (§250.2 of this chapter) by every public utility holding company claiming exemption under section 3 of the Act as an intrastate or predominantly operating company. Editorial Note: For This form shall be filed pursuant to paragraph (c) of Rule 3 (§250.3(c) of this chapter) by any bank claiming exemption from any obligation, duty or liability as a holding company under the Act. Editorial Note: For 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 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
Title 17: Commodity and Securities Exchanges
PART 259—FORMS PRESCRIBED UNDER THE PUBLIC UTILITY HOLDING COMPANY ACT OF 1935
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).