17 C.F.R. PART 259--FORMS PRESCRIBED UNDER THE PUBLIC UTILITY HOLDING COMPANY ACT OF 1935


TITLE 17--Commodity and Securities Exchanges

CHAPTER II--SECURITIES AND EXCHANGE COMMISSION

PART 259--FORMS PRESCRIBED UNDER THE PUBLIC UTILITY HOLDING COMPANY ACT OF 1935

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259.0-1
Availability of forms.

Subpart A--FORMS FOR REGISTRATION AND ANNUAL SUPPLEMENTS

259.5a
Form U5A, for notification of registration filed under section 5(a) of the Act.
259.5b
Form U5B, for registration statement filed under section 5(b) of the Act.
259.5s
Form U5S, for annual reports filed under section 5(c) of the Act.
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Subpart B--FORMS FOR APPLICATIONS AND DECLARATIONS

259.101
Form U-1, application or declaration under the Public Utility Holding Company Act of 1935.
259.113
Form U-13-1, for applications for approval of mutual service companies pursuant to Rule 88 ( 250.88 of this chapter).
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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.
259.207
Form U-57, for notification of foreign utility company status pursuant to Rule 57(a) ( 250.57 of this chapter).
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).
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).
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).
259.213
Form U-13E-1, for report by affiliate companies and independent service companies pursuant to Rule 95 ( 250.95 of this chapter).
259.221
Form U-R-1, for solicitations pursuant to Rule 62 ( 250.62 of this chapter), in connection with reorganizations.
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Subpart D--FORMS FOR PERIODIC ACCOUNTING REPORTS

259.313
Form U-13-60, for annual reports pursuant to Rule 94 ( 250.94 of this chapter) by mutual and subsidiary service companies required by section 13 of the Act.
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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.
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).
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Subpart F--FORMS FOR AMENDMENTS--[RESERVED]

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Subpart G--FORMS FOR ELECTRONIC FILING

259.601
[Reserved]
259.602
Form ID, uniform application for access codes to file on EDGAR.
259.603
Form SE, form for submission of paper format exhibits by electronic filers.
259.604
Form TH--Notification of reliance on temporary hardship exemption.
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