Group Descriptions
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INVESTORS
PUHCA
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| Type: | 35-APP |
|---|---|
| Description: | Statement concerning proposed transaction for which no form of application is prescribed filed pursuant to Rule 20(e). |
| Filing Deadline: | |
| Relevant Legislation: | Public Utility Holding Company Act of 1935 |
| Type: | 35-APP/A |
| Description: | Statement concerning proposed transaction for which no form of application is prescribed filed pursuant to Rule 20(e), amendment. |
| Filing Deadline: | |
| Relevant Legislation: | Public Utility Holding Company Act of 1935. |
| Type: | 35-CERT |
| Description: | Certificate regarding terms and conditions pursuant to Rule 24 of the Public Utility Holding Company Act: Certifies compliance with terms and conditions pursuant to Rule 24. |
| Filing Deadline: | |
| Relevant Legislation: | Public Utility Holding Company Act of 1935 Rule 24 |
| Type: | 35-CERT/A |
| Description: | Amendment to certificate regarding terms and conditions pursuant to Rule 24 of the Public Utility Holding Company Act: Certifies compliance with the terms and conditions pursuant to Rule 24. |
| Filing Deadline: | |
| Relevant Legislation: | Public Utility Holding Company Act of 1935 |
| Type: | 45B-3 |
| Description: | Transitional statement concerning extensions of credit filed pursuant to Rule 45(b)(3). |
| Filing Deadline: | |
| Relevant Legislation: | Public Utility Holding Company Act of 1935. |
| Type: | 45B-3/A |
| Description: | Transitional statement concerning extensions of credit filed pursuant to Rule 45(b)(3), amendment. |
| Filing Deadline: | |
| Relevant Legislation: | Public Utility Holding Company Act of 1935 |
| Type: | U-12-IA |
| Description: | Three-year statement by person employed or retained by a registered public utility holding company or subsidiary. |
| Filing Deadline: | |
| Relevant Legislation: | Public Utility Holding Company Act of 1935 |
| Type: | U-12-IA/A |
| Description: | Statement by person employed or retained by a registered holding company or a subsidiary thereof, amendment |
| Filing Deadline: | |
| Relevant Legislation: | Public Utility Holding Company Act of 1935 |
| Type: | U-12-IB |
| Description: | Three-year statement by a person employed or retained by a registered public utility holding company or subsidiary. |
| Filing Deadline: | |
| Relevant Legislation: | Public Utility Holding Company Act of 1935 |
| Type: | U-12-IB/A |
| Description: | Three-year statement by person regularly employed or retained by a registered holding company or a subsidiary thereof, amendment. |
| Filing Deadline: | |
| Relevant Legislation: | Public Utility Holding Company Act of 1935 |
| Type: | U-13-1 |
| Description: | Application for approval of mutual service company, initial filing. |
| Filing Deadline: | |
| Relevant Legislation: | Public Utility Holding Company Act of 1935 |
| Type: | U-13-1/A |
| Description: | Application for approval of mutual service company, amendment |
| Filing Deadline: | |
| Relevant Legislation: | Public Utility Holding Company Act of 1935 |
| Type: | U-13-60 |
| Description: | Annual report for mutual and subsidiary service companies. |
| Filing Deadline: | |
| Relevant Legislation: | Public Utility Holding Company Act of 1935 Rule 94 |
| Type: | U-13-60/A |
| Description: | Amendment to annual report for mutual and subsidiary service companies. |
| Filing Deadline: | |
| Relevant Legislation: | Public Utility Holding Company Act of 1935 Rule 94 |
| Type: | U-13E-1 |
| Description: | Report by affiliate service companies |
| Filing Deadline: | |
| Relevant Legislation: | Pursuant to Regulation (S) 250.95 |
| Type: | U-13E-1/A |
| Description: | Amended report by affiliate service companies |
| Filing Deadline: | |
| Relevant Legislation: | Pursuant to Regulation (S) 250.95 |
| Type: | U-13E-I |
| Description: | Report by affiliate service companies or independent service companies, initial filing |
| Filing Deadline: | |
| Relevant Legislation: | Public Utility Holding Company Act of 1935 |
| Type: | U-13E-I/A |
| Description: | Report by affiliate service companies or independent service companies, amendment |
| Filing Deadline: | |
| Relevant Legislation: | Public Utility Holding Company Act of 1935 |
| Type: | U-33-S |
| Description: | Annual Report for registered public utility holding companies. |
| Filing Deadline: | |
| Relevant Legislation: | Public Utility Holding Company Act of 1935 |
| Type: | U-33-S/A |
| Description: | Annual report Concerning Foreign Utility Companies pursuant to Section 33(e) of the Act, amendment |
| Filing Deadline: | |
| Relevant Legislation: | Public Utility Holding Company Act of 1935 |
| Type: | U-3A-2 |
| Description: | Initial Statement by a Public Utility Holding Company: Filed to claim exemption from the provisions of the Public Utility Holding Company Act pursuant to Rule 2. |
| Filing Deadline: | Must be filed by March 1 of each year for the previous calendar year. |
| Relevant Legislation: | Public Utility Holding Company Act of 1935 |
| Type: | U-3A-2/A |
| Description: | Amendement to Statement by Public Utility Holding Company: Filed as new information is added to a previously filed U-3A-2. |
| Filing Deadline: | |
| Relevant Legislation: | Public Utility Holding Company Act of 1935 |
| Type: | U-3A3-1 |
| Description: | Twelve-month statement by bank claiming exemption from provisions of the act pursuant to Rule 3, initial statement. |
| Filing Deadline: | |
| Relevant Legislation: | Public Utility Holding Company Act of 1935 |
| Type: | U-3A3-1/A |
| Description: | Twelve-month statement by bank claiming exemption from provisions of the act pursuant to Rule 3, amendment. |
| Filing Deadline: | |
| Relevant Legislation: | Public Utility Holding Company Act of 1935 |
| Type: | U-57 |
| Description: | Notification of Foreign Utility Company Status. |
| Filing Deadline: | |
| Relevant Legislation: | Public Utility Holding Company Act of 1935 Section 33(a)(2) |
| Type: | U-57/A |
| Description: | Amendment to notification of foreign utility company status. |
| Filing Deadline: | |
| Relevant Legislation: | Public Utility Holding Company Act of 1935 Section 33(a)(2) |
| Type: | U-6B-2 |
| Description: | Certificate or notification of security issue, renewal or guaranty filed pursuant to Rule 20(d) of the Public Utility Holding Company Act. |
| Filing Deadline: | |
| Relevant Legislation: | Public Utility Holding Company Act of 1935 |
| Type: | U-6B-2/A |
| Description: | Amendment to certificate or notification of security issue, renewal or guaranty filed pursuant to Rule 20(d) of the Public Utility Holding Company Act. |
| Filing Deadline: | |
| Relevant Legislation: | Public Utility Holding Company Act of 1935 Rule 20(d) |
| Type: | U-7D |
| Description: | Certificate concerning lease of a utility facility. |
| Filing Deadline: | |
| Relevant Legislation: | Public Utility Holding Company Act of 1935 |
| Type: | U-7D/A |
| Description: | Certificate concerning lease of a utility facility, amendment. |
| Filing Deadline: | |
| Relevant Legislation: | Public Utility Holding Company Act of 1935 |
| Type: | U-9C-3 |
| Description: | Quarterly report concerning energy and gas-related companies pursuant to Rule 58 of the Public Utility Holding Company Act. |
| Filing Deadline: | |
| Relevant Legislation: | Public Utility Holding Company Act of 1935 |
| Type: | U-9C-3/A |
| Description: | Amendment to quarterly report concerning energy and gas-related companies pursuant to Rule 58 of the Public Utility Holding Company Act. |
| Filing Deadline: | |
| Relevant Legislation: | Public Utility Holding Company Act of 1935 Rule 58 |
| Type: | U-R-1 |
| Description: | Declaration as to solicitations filed pursuant to Rule 62, initial filing |
| Filing Deadline: | |
| Relevant Legislation: | Public Utility Holding Company Act of 1935 |
| Type: | U-R-1/A |
| Description: | Declaration as to solicitations filed pursuant to Rule 62, amendment |
| Filing Deadline: | |
| Relevant Legislation: | Public Utility Holding Company Act of 1935 |
| Type: | U5A |
| Description: | Notification of registration filed under section 5(a) of the Public Utility Holding Company Act. |
| Filing Deadline: | |
| Relevant Legislation: | Public Utility Holding Company Act of 1935 |
| Type: | U5A/A |
| Description: | Amendment to notification of registration filed under section 5(a) of the Public Utility Holding Company Act. |
| Filing Deadline: | |
| Relevant Legislation: | Public Utility Holding Company Act of 1935 |
| Type: | U5S |
| Description: | Annual Report for registered public utility holding companies. |
| Filing Deadline: | |
| Relevant Legislation: | Public Utility Holding Company Act of 1935 |
| Type: | U5S/A |
| Description: | Annual Report for registered public utility holding companies, amendment. |
| Filing Deadline: | |
| Relevant Legislation: | Public Utility Holding Company Act of 1935 |