SEC Form U-13-1

Filed Under » , ,
Dictionary Says

Definition of 'SEC Form U-13-1'

An application that doubles as both a request for approval by the Securities and Exchange Commission (SEC) for any mutual service company, or a declaration of organization and business conduct of a subsidiary service company. The SEC Form U-13-1 requires the company's name, address, contact information and form of organization as well as a listing of any non-utility related business activities. A description of the company's capitalization and security holdings is also required.
Investopedia Says

Investopedia explains 'SEC Form U-13-1'

Both versions of the form are required by rule 88 of the Public Utility Holding Company Act of 1935. This form is now obsolete.

Related Forms:

Form U-12(1)-A
Form U-12(1)-B

Articles Of Interest

  1.

    SEC Filings: Forms You Need To Know

    The forms companies are required to file provide a clear view of their histories and progress.

  2. Policing The Securities Market: An Overview Of The SEC

    Find out how this regulatory body protects the rights of investors.

  3. Where can I find a company's annual report and its SEC filings?

    Thanks to the Internet, finding financial reports is easier than ever. Nowadays, every reputable company has an investor relations section on its website that is a wealth of information. Walt ...

  4. What parties are involved in the creation of an American depositary receipt?

    An American depositary receipt (ADR) is a legal certificate issued by a recognized U.S. bank that represents a specific number of shares of a foreign corporation traded on a U.S. stock exchange. ...

  5. How To Get A Job At The SEC

    Want to make a good living taking on those renegade trading rascals on Wall Street? Here are some tips to help you get in the door at the SEC.

  6. Should You Add A Securities License To Your Qualifications?

    Clients love planners who sell securities, but a securities license takes a lot of work. Learn if the stress and study are worth it.

  7. How To Report A Tax Cheat

    If you report a tax evader to the IRS, you could be eligible for a reward.

  8. GAAP And The IFRS Standards Convergence Efforts In 3 Substantial Areas

    Understand the specific steps that have been taken in hopes of converging the GAAP and the IFRS accounting standards, despite the philosophically and culturally based methodological differences ...

  9. How Much Will Your Taxes Rise Based On Your Salary?

    Find out how high your taxes will rise this year.

  10. Department Of Justice Sues Standard & Poor's Over Mortgage Crisis - Is Moody's Next?

    The U.S. Department of Justice sued Standard & Poor's and is seeking more than $5 billion in damages.
comments powered by Disqus
Marketplace
Hot Definitions

  1. Yield Elbow

    The point on the yield curve indicating the year in which the economy's highest interest rates occur. The yield elbow is the peak of the yield curve, signifying where the highest interest rates occurred.

  2. Xenocurrency

    A currency that trades in markets outside of its domestic borders.

  3. Wanton Disregard

    A standard of severe negligence. Wanton disregard is a very serious accusation that indicates that a person behaved extremely recklessly.

  4. Ultra ETF

    A class of exchange-traded funds (ETF) that employs leverage in an effort to achieve double the return of a set benchmark.

  5. Toehold Purchase

    A purchase of less than 5% of a target company's outstanding stockmade by an acquiring company. A toehold purchase of just under 5%, while not a significant stake in a firm, allows the shareholders a "toe-holds" grip on the company and its decision making.

  6. Samurai Bond

    A yen-denominated bond issued in Tokyo by a non-Japanese company and subject to Japanese regulations.
Trading Center
http://sp.fastclick.net/ad/tr/10858-64082-15546-0?mpt=93ef0d945f1a6452cfd8f7373ee6b7c9