17 Cfr 259

Securities and Exchange Commission

Pt. 259

SCHEDULE OF RECORDS RETENTION PERIODS—Continued
Description of records

Retention period

26. Budgets and other forecasts (prepared for internal administrative or
operating purposes) of estimated future income, receipts and expenditures in connection with financing, construction and operations and acquisitions or disposals of properties or investments by the company and
its associated companies, including revisions of such estimates and
memoranda showing reasons for revisions; also records showing comparison of actual income and receipts and expenditures with estimates.
27. Other Miscellaneous Records:
(a) Copies of advertisements by the company on behalf of itself or
any associate company in newspapers, magazines and other publications including records thereof. (Excluding advertising of product,
appliances, employment opportunities, services, territory, routine
notices and invitations for bids for securities, all of which may be
destroyed at option.)
(b) Indices of forms used by the company ............................................

6 years.

6 years after date of publication.

Destroy at option when superseded.

(Approved by the Office of Management and Budget under control number 3235–0306)
[49 FR 27310, July 3, 1984]

PART 259—FORMS PRESCRIBED
UNDER THE PUBLIC UTILITY HOLDING COMPANY ACT OF 1935
Sec.
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.

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.

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.

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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§ 259.0–1

17 CFR Ch. II (4–1–11 Edition)

Subpart F—Forms for Amendments
[Reserved]
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.
AUTHORITY: 15 U.S.C. 79e, 79f, 79g, 79j, 79l,
79m, 79n, 79q, 79t.
SOURCE: 33 FR 19001, Dec. 20, 1968, unless
otherwise noted.

§ 259.0–1

Availability of forms.

(a) This part identifies and describes
the forms prescribed for use under the
Public Utility Holding Company Act of
1935.
(b) Any person may obtain a copy of
any form prescribed for use in this part
by written request to the Securities
and Exchange Commission, 450 Fifth
Street, NW., Washington, DC 20549. Any
person may inspect the forms at this
address and at the Commission’s regional and district offices. (See § 200.11
of this chapter for the addresses of SEC
regional and district offices)
[46 FR 17757, Mar. 20, 1981, as amended at 47
FR 26820, June 22, 1982; 59 FR 5946, Feb. 9,
1994]

Subpart A—Forms for Registration
and Annual Supplements
§ 259.5a Form U5A, for notification of
registration filed under section 5(a)
of the Act.

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This form shall be filed pursuant to
Rule 1(a) (§ 250.1(a) of this chapter) for
the notification required under section
5(a) of the Public Utility Holding Company Act of 1935 by every public utility
holding company required to register
under the Act.
EDITORIAL NOTE: For FEDERAL REGISTER citations affecting Form U5A, see the List of
CFR Sections Affected, which appears in the
Finding Aids section of the printed volume
and at at www.fdsys.gov.

§ 259.5b Form U5B, for registration
statement filed under section 5(b)
of the Act.
This form shall be filed pursuant to
Rule 1(b) (§ 250.1(b) of this chapter) for
the registration statement required to
be filed under section 5(b) of the Act by
every public utility holding company
required to register under the Act.
EDITORIAL NOTE: For FEDERAL REGISTER citations affecting Form U5B, see the List of
CFR Sections Affected, which appears in the
Finding Aids section of the printed volume
and at at www.fdsys.gov.

§ 259.5s Form U5S, for annual reports
filed under section 5(c) of the Act.
This form shall be filed pursuant to
Rule 1(c) (§ 250.1(c) of this chapter) for
the annual report required to be filed
under section 14 of the Act by every
registered public utility holding company.
EDITORIAL NOTE: For FEDERAL REGISTER citations affecting Form U5S, see the List of
CFR Sections Affected, which appears in the
Finding Aids section of the printed volume
and at at www.fdsys.gov.

Subpart B—Forms for Applications
and Declarations
§ 259.101 Form U–1, application or declaration under the Public Utility
Holding Company Act of 1935.
This form shall be used pursuant to
Rule 20(c) (§ 250.20(c) of this chapter) by
any person filing an application or declaration or amendment thereto pursuant to sections 6(b), 7, 9(c)(3), 10, 12(b),
(c), (d), or (f) of the Public Utility
Holding Company Act of 1935 or any
rules and regulations under such sections, where no other form is authorized or prescribed.
EDITORIAL NOTE: For FEDERAL REGISTER citations affecting Form U–1, see the List of
CFR Sections Affected, which appears in the
Finding Aids section of the printed volume
and at at www.fdsys.gov.

§ 259.113 Form U–13–1, for applications
for approval of mutual service companies pursuant to Rule 88 (§ 250.88
of this chapter).
This form shall be filed pursuant to
Rule 88 (§ 250.88 of this chapter) for approval of a company as a mutual service company, by the company or person

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Securities and Exchange Commission

§ 259.221

proposing to organize it under section
13 of the Act.
EDITORIAL NOTE: For FEDERAL REGISTER citations affecting Form U–13–1, see the List of
CFR Sections Affected, which appears in the
Finding Aids section of the printed volume
and at at www.fdsys.gov.

Subpart C—Forms for Statements
and Reports

EDITORIAL NOTE: For FEDERAL REGISTER citations affecting Form U–12(I)–A, see the
List of CFR Sections Affected, which appears
in the Finding Aids section of the printed
volume and at at www.fdsys.gov.

§ 259.206 Form U–6B–2, for notification
of security issues exempt under section 6(b) of the Act.

§ 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).

This form shall be filed pursuant to
section 6(b) of the Act as the certificate of notification of the issue, sale,
renewal, or guaranty of securities exempted from the application of section
6(a) of the Act.

This form may be filed as an advance
statement pursuant to Rule 71(b)
(§ 250.71(b) of this chapter) by certain
persons designated therein covering anticipated activity within the scope of
section 12(i) of the Act.

EDITORIAL NOTE: For FEDERAL REGISTER citations affecting Form U–6B–2, see the List
of CFR Sections Affected, which appears in
the Finding Aids section of the printed volume and at at www.fdsys.gov.

EDITORIAL NOTE: For FEDERAL REGISTER citations affecting Form U–12(I)–B, see the
List of CFR Sections Affected, which appears
in the Finding Aids section of the printed
volume and at at www.fdsys.gov.

§ 259.207 Form U–57, for notification of
foreign utility company status pursuant to Rule 57(a) (§ 250.57 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).

This form shall be filed pursuant to
section 33(a)(3)(B) of the Act by a company claiming foreign utility company
status.
EDITORIAL NOTE: For FEDERAL REGISTER citations affecting Form U–57, see the List of
CFR Sections Affected, which appears in the
Finding Aids section of the printed volume
and at at www.fdsys.gov.

§ 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).
This form shall be filed pursuant to
§ 250.58(c) as the certificate of notification of an acquisition of securities exempted from the application of section
9(a) of the Act (15 U.S.C. 79a et seq.)
pursuant to § 250.58.
[62 FR 7917, Feb. 20, 1997]

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any person who engages in any activity
within the scope of section 12(i) of the
Act.

§ 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).
This form shall be filed pursuant to
Rule 71(a) (§ 250.71(a) of this chapter) by

This form shall be filed pursuant to
Rule 95 (§ 250.95 of this chapter) by an
affiliate of a registered public utility
holding company or subsidiary company thereof in connection with the
performance of any service, construction or sale of goods to an affiliate.
EDITORIAL NOTE: For FEDERAL REGISTER citations affecting Form U–13E–1, see the List
of CFR Sections Affected, which appears in
the Finding Aids section of the printed volume and at at www.fdsys.gov.

§ 259.221 Form U–R–1, for solicitations
pursuant to Rule 62 (§ 250.62 of this
chapter), in connection with reorganizations.
This form shall be filed for the declaration pursuant to Rule 62 (§ 250.62 of
this chapter) for solicitations in connection with any reorganization subject to the rule.
EDITORIAL NOTE: For FEDERAL REGISTER citations affecting Form U–R–1, see the List of
CFR Sections Affected, which appears in the
Finding Aids section of the printed volume
and at at www.fdsys.gov.

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§ 259.313

17 CFR Ch. II (4–1–11 Edition)
the Finding Aids section of the printed volume and at at www.fdsys.gov.

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.
This form shall be filed pursuant to
Rule 94 (§ 250.94 of this chapter) by
every mutual service company and
every subsidiary service company required thereunder to file annual reports under section 13 of the Act. (See
uniform system of accounts for mutual
and subsidiary service companies, Part
256 of this chapter.)
EDITORIAL NOTE: For FEDERAL REGISTER citations affecting Form U–13–60, see the List
of CFR Sections Affected, which appears in
the Finding Aids section of the printed volume and at at www.fdsys.gov.

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.

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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 at at www.fdsys.gov.

§ 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 at at www.fdsys.gov.

§ 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 at at www.fdsys.gov.

Subpart F—Forms for Amendments
[Reserved]
Subpart G—Forms for Electronic
Filing

§ 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.

§ 259.601

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.

Form ID must be filed by registrants,
third party filers, or their agents, to
whom the Commission previously has
not assigned a Central Index Key (CIK)
code, to request the following access
codes to permit filing on EDGAR:
(a) Central Index Key (CIK)—uniquely identifies each filer, filing agent,
and training agent.

EDITORIAL NOTE: For FEDERAL REGISTER citations affecting Form U–3A3–1, see the List
of CFR Sections Affected, which appears in

[Reserved]

§ 259.602 Form ID, uniform application
for access codes to file on EDGAR.

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Securities and Exchange Commission

Pt. 260

(b) CIK Confirmation Code (CCC)—
used in the header of a filing in conjunction with the CIK of the filer to ensure that the filing has been authorized
by the filer.
(c) Password (PW)—allows a filer, filing agent or training agent to log on to
the EDGAR system, submit filings, and
change its CCC.
(d) Password Modification Authorization Code (PMAC)—allows a filer, filing
agent or training agent to change its
Password.

PART 260—GENERAL RULES AND
REGULATIONS, TRUST INDENTURE
ACT OF 1939
TERMS USED IN THE RULES AND REGULATIONS
Sec.
260.0–1 Application of definitions contained
in the act.
260.0–2 Definitions of terms used in the
rules and regulations.
260.0–3 Definition of ‘‘rules and regulations’’
as used in certain sections of the Act.
260.0–4 Sequential numbering of documents
filed with the Commission.

[69 FR 22710, Apr. 26, 2004]

OFFICE OF THE COMMISSION

EDITORIAL NOTE: For FEDERAL REGISTER citations affecting Form ID, see the List of
CFR Sections Affected, which appears in the
Finding Aids section of the printed volume
and at at www.fdsys.gov.

§ 259.603 Form SE, form for submission of paper format exhibits by
electronic filers.
This form shall be used by an electronic filer for the submission of any
paper format document relating to an
otherwise electronic filing, as provided
in rule 311 of Regulation S-T (§ 232.311
of this chapter).
[58 FR 15007, Mar. 18, 1993]
EDITORIAL NOTE: For FEDERAL REGISTER citations affecting Form SE, see the List of
CFR Sections Affected, which appears in the
Finding Aids section of the printed volume
and at at www.fdsys.gov.

§ 259.604 Form TH—Notification of reliance on temporary hardship exemption.
Form TH shall be filed by any electronic filer who submits to the Commission, pursuant to a temporary hardship exemption, a document in paper
format that otherwise would be required to be submitted electronically,
as prescribed by rule 201(a) of Regulation S-T (§ 232.201(a) of this chapter).

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[58 FR 15007, Mar. 18, 1993]
EDITORIAL NOTE: For FEDERAL REGISTER citations affecting Form TH, see the List of
CFR Sections Affected, which appears in the
Finding Aids section of the printed volume
and at at www.fdsys.gov.

260.0–5 Business hours of the Commission.
260.0–6 Nondisclosure of information obtained in the course of examinations and
investigations.
260.0–7 Small entities for purposes of the
Regulatory Flexibility Act.
260.0–11 Liability for certain statements by
issuers.
RULES UNDER SECTION 303
260.3(4)–1 Definition of ‘‘commission from
an underwriter or dealer not in excess of
the usual and customary distributors’ or
sellers’ commissions’’ in section 303(4),
for certain transactions.
260.3(4)–2 Definition of ‘‘distribution’’ in
section 303(4) for certain transactions.
260.3(4)–3 Definitions of ‘‘participates’’ and
‘‘participation’’ as used in section 303(4),
in relation to certain transactions.
RULES UNDER SECTION 304
260.4a–1 Exempted securities under section
304(a)(8).
260.4a–2 Exempted securities under section
304(d).
260.4a–3 Exempted securities under section
304(a)(9).
260.4c–1 Form for applications under section
304(c).
260.4c–2 General requirements as to form
and content of applications.
260.4c–3 Number of copies; filing; signatures; binding.
260.4c–4 Applications under section 304(c)(1).
260.4c–5 Applications under section 304(c)(2).
260.4d–7 Application for exemption from one
or more provisions of the Act.
260.4d–8 Content.
260.4d–9 Exemption for Canadian Trust Indentures from Specified Provisions of the
Act.
260.4d–10 Exemption for securities issued
pursuant to § 230.802 of this chapter.
260.4d–11T Temporary exemption for eligible credit default swaps offered and sold
in reliance on Securities Act of 1933 Rule
239T (§ 230.239T).

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