SEC Form U-3A3-1

Dictionary Says

Definition of 'SEC Form U-3A3-1'


A 12-month statement required to be filed by a bank claiming exemption from any obligation, duty or liability as a holding company. This form was required to be filed pursuant to Rule 3 of the Public Utility Holding Company Act of 1935. The form has been rendered redundant since 2003, when the Act was repealed.

Investopedia Says

Investopedia explains 'SEC Form U-3A3-1'


A related SEC form was U-3A3-1 A, which referred to an amendment to a previously filed U-3A3-1. Another related form was U-3A-2, which was a statement filed by a holding company claiming exemptions from provisions of the Act pursuant to Rule 2 of the Act.

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