18 Cfr 46.6

§ 46.5

18 CFR Ch. I (4–1–04 Edition)

§ 46.5 Covered entities.
Entities to which the general rule in
§ 46.4(b) applies are the following:
(a) Any investment bank, bank holding company, foreign bank or subsidiary thereof doing business in the
United States, insurance company, or
any other organization primarily engaged in the business of providing financial services or credit, a mutual
savings bank, or a savings and loan association;
(b) Any entity which is authorized by
law to underwrite or participate in the
marketing of securities of a public utility;
(c) Any entity which produces or supplies electrical equipment or coal, natural gas, oil, nuclear fuel, or other fuel,
for the use of any public utility;
(d) Any entity specified in § 46.3;
(e) Any entity referred to in section
305(b) of the Federal Power Act; and
(f) Any entity which is controlled by
any entity referred to in this section.
§ 46.6 Contents of the written statement and procedures for filing.
Each person required to file a written
statement under the general rule in
§ 46.4 shall comply with the following
requirements:
(a) Each person shall provide the following information: full name and
business address; identification of the
public utilities and the covered entities
in which such person holds executive
positions described in § 46.4; and identification of the interlock described in
§ 46.4;
(b) If the interlock is between a public utility and an entity described in
§ 46.5(c), which produces or supplies
electrical equipment for use of such
public utility, such person shall provide the following information:
(1) The aggregate amount of revenues
received by such entity from producing
or supplying electrical equipment to
such public utility in the calendar year

specified in paragraph (d) of this section, rounded up to the nearest $100,000;
and
(2) The nature of the business relationship between such public utility
and such entity.
(c) If the person is authorized by the
Commission to hold the positions of officer or director in accordance with
part 45, such person shall identify the
authorization by docket number and
shall give the date of authorization.
(d)(1) Each person shall file an original and one copy of such written statement with the Office of Secretary of
the Commission on or before April 30 of
each year immediately following the
calendar year during any portion of
which such person held a position described in § 46.4. The original of such
statement shall be dated and signed by
such person. The copy shall bear the
date that appeared on the original; the
signature on the copy may be stamped
or typed on the copy.
(2) Instead of submitting changes to
the Commission on the pre-printed
Form No. 561 sent annually by the
Commission, a person may choose to
make changes to the pre-filled electronic version provided by the Commission. This electronic version, along
with the signed original and one copy
(as required by Paragraph (d)(c)) shall
also be filed with the Commission.
(3) Such statement shall be available
to the public during regular business
hours through the Commission’s Office
of Public Information and shall be
made publicly available through the
principal business offices of the public
utility and any entity to which it applies on or before April 30 of the year
the statement was filed with the Commission.
(Pub. L. 96–511, 94 Stat. 2812 (44 U.S.C. 3501 et
seq.))
[45 FR 23418, Apr. 7, 1980, as amended by
Order 601, 63 FR 72169, Dec. 31, 1998]

316

VerDate jul<14>2003

21:35 May 18, 2004

Jkt 203056

PO 00000

Frm 00316

Fmt 8010

Sfmt 8010

Y:\SGML\203056T.XXX

203056T