SEC Form U-13-1

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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

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