SEC Form U-6B-2

DEFINITION of 'SEC Form U-6B-2'

A certificate of notification that must be filed by all public utility holding companies that are issuing or guaranteeing securities. The SEC Form U-6B-2 describes any securities that are issued that are exempt from rule 6(a) of the Public Utility Holding Company Act of 1935. All pertinent information regarding the securities must be supplied, including the number, price, date of issuance and maturity, and rate of interest.

BREAKING DOWN 'SEC Form U-6B-2'

This form is required under rule 6(a) of the Public Utility Holding Company Act of 1935. The securities described on form U-6B-2 can be exempt from rule 6(a) because of provisions in rule 6(b) or other provisions outside of rules U-1 and U-48.

Related Forms:
U-R-1
U-1
U-48

RELATED TERMS
  1. SEC Form 35-CERT

    A now-obsolete filing with the Securities and Exchange Commission ...
  2. SEC Form U-12-IA

    A filing with the Securities and Exchange Commission (SEC) that ...
  3. SEC Form 10

    A filing with the Securities and Exchange Commission (SEC), also ...
  4. SEC Form T-4

    An application for exemption from certain sections of the Trust ...
  5. Rule 147

    A rule that can be used by a company to raise funds without actually ...
  6. SEC Form U-3A3-1

    A 12-month statement required to be filed by a bank claiming ...
Related Articles
  1. Investing

    How A Company Files With The SEC

    Filing with the SEC is not as complicated as you might thing -- just be meticulous about following the steps.
  2. Investing

    Popular Resources for Equity Research and Analysis: Chapter 2: The SEC Website

    Second to the company investor relations sites is the direct SEC website at www.sec.gov. Investors can learn quite a bit about the securities industry from the SEC. The forms page, which details ...
  3. Markets

    Trust In Utilities

    Even in times of economic turmoil, utilities can be a good investment.
  4. Investing

    Policing The Securities Market: An Overview Of The SEC

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

    SEC Filings: Forms You Need To Know

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

    What is a Public Company?

    A public company has sold stock to the public through an initial public offering (IPO) and that stock is currently traded on a public stock exchange.
  7. ETFs & Mutual Funds

    The Top 5 Utility Mutual Funds for 2016

    Understand how utilities equities play a role in asset allocation, and discover the best utilities mutual funds to consider for 2016.
  8. Financial Advisor

    The SEC Fiduciary Rule Explained

    The SEC plans to propose its own set of fiduciary rules next year. These are some of the potential implications for advisors.
  9. Markets

    Understanding the SEC

    The SEC's triple mandate of investor protection, maintenance of orderly markets and facilitation of capital formation makes it a vital player in capital markets.
  10. Trading

    Using Public SEC Filings To Analyze Companies

    Reports from the Securities and Exchange Commission provide investors with an edge in determining the investment value of companies. Learn what to look for in these financial reports.
RELATED FAQS
  1. What kind of investors buy utility stocks?

    Take a look at why income investors like utilities, why value investors might like utilities and why growth investors tend ... Read Answer >>
  2. How is trading volume regulated by the Securities and Exchange Commission (SEC)?

    Learn about how the SEC uses the trading volume formula as one requirement for an exemption to the ban on the resale of restricted ... Read Answer >>
  3. What are the top investing strategies for investing in the utility sector?

    Employ the right strategies when investing in the utility sector, and you can see consistent returns with less risk than ... Read Answer >>
  4. What is a utility stock?

    Investing in difficult economic conditions requires knowledge of different stock classes. Utility stocks are one vehicle ... Read Answer >>
  5. What are the main factors that drive share prices in the utilities sector?

    Learn why the share prices of companies in the utility sector have sensitivity to interest rates and to changes in the amount ... Read Answer >>
  6. How many different types of utility stocks are there?

    Learn more about utility stocks and about some of the differences between different kinds of utility companies, including ... Read Answer >>
Hot Definitions
  1. Duration

    A measure of the sensitivity of the price (the value of principal) of a fixed-income investment to a change in interest rates. ...
  2. Dove

    An economic policy advisor who promotes monetary policies that involve the maintenance of low interest rates, believing that ...
  3. Cyclical Stock

    An equity security whose price is affected by ups and downs in the overall economy. Cyclical stocks typically relate to companies ...
  4. Front Running

    The unethical practice of a broker trading an equity based on information from the analyst department before his or her clients ...
  5. After-Hours Trading - AHT

    Trading after regular trading hours on the major exchanges. The increasing popularity of electronic communication networks ...
  6. Omnibus Account

    An account between two futures merchants (brokers). It involves the transaction of individual accounts which are combined ...
Trading Center