SEC Form U-12-IA

Definition of 'SEC Form U-12-IA'


A filing with the Securities and Exchange Commission (SEC) that was was required under the Public Utility Holding Company Act of 1935. The form had to contain information on the registered holding company systems involved, information about the activities of the person filing the statement, direct or indirect compensation that person received for such activities, names of any persons with whom the compensation was being divided, and any expenses incurred during the performance of the stated activities. The SEC used this information to monitor the holdings, financings and operations of the registered public utility system.

Investopedia explains 'SEC Form U-12-IA'




SEC Form U-12-(I)A was required under Section 12(i) of the Public Utility Holding Company Act of 1935. Section 12(i) of the Public Utility Holding Company Act of 1935 made it illegal for any person employed or retained by any registered holding company (or any subsidiary company thereof) to present, advocate or oppose any matter affecting any registered holding company (or any subsidiary company thereof) before Congress, the SEC or the Federal Power Commission without filing the appropriate SEC form(s). The 1935 act was repealed on August 8, 2005 with the passing of the Energy Policy Act of 2005. The act regulated the holding companies of electric and natural gas utilities. Since the act was repealed, this form is now obsolete.


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