17 C.F.R. Subpart E—Forms for Statements and Reports From Nonregistered (Exempt) Companies


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

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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.

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 Federal Register citations affecting Form U–3A–2, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and on GPO Access.

§ 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.

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 Federal Register citations affecting Form U–3A3–1, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and on GPO Access.

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

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

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