SEC Form U-13-1

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.


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