SEC Form U-5S

Definition of 'SEC Form U-5S'


A filing with the Securities and Exchange Commission (SEC) that had to be filed annually by every registered holding company. The form had to contain information on the parent holding company and all statutory subsidiaries, number of common shares owned, percentage of voting power and book value of shares, as well as summaries of acquisitions, sales, officers and directors, contributions, contracts, and financial statements. The SEC used this information to monitor the holdings, financings and operations of the registered public utility system.

Investopedia explains 'SEC Form U-5S'


Form U-5S, which is also known as an "annual report," was required under section five, rule one of the Public Utility Holding Company Act of 1935, which was repealed on August 8, 2005, with the passing of the Energy Policy Act of 2005.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 Since the act was repealed, this form is now obsolete.


Filed Under: ,

comments powered by Disqus
Hot Definitions
  1. Cash and Carry Transaction

    A type of transaction in the futures market in which the cash or spot price of a commodity is below the futures contract price. Cash and carry transactions are considered arbitrage transactions.
  2. Amplitude

    The difference in price from the midpoint of a trough to the midpoint of a peak of a security. Amplitude is positive when calculating a bullish retracement (when calculating from trough to peak) and negative when calculating a bearish retracement (when calculating from peak to trough).
  3. Ascending Triangle

    A bullish chart pattern used in technical analysis that is easily recognizable by the distinct shape created by two trendlines. In an ascending triangle, one trendline is drawn horizontally at a level that has historically prevented the price from heading higher, while the second trendline connects a series of increasing troughs.
  4. National Best Bid and Offer - NBBO

    A term applying to the SEC requirement that brokers must guarantee customers the best available ask price when they buy securities and the best available bid price when they sell securities.
  5. Maintenance Margin

    The minimum amount of equity that must be maintained in a margin account. In the context of the NYSE and FINRA, after an investor has bought securities on margin, the minimum required level of margin is 25% of the total market value of the securities in the margin account.
  6. Leased Bank Guarantee

    A bank guarantee that is leased to a third party for a specific fee. The issuing bank will conduct due diligence on the creditworthiness of the customer looking to secure a bank guarantee, then lease a guarantee to that customer for a set amount of money and over a set period of time, typically less than two years.
Trading Center