SEC Form U-9C-3

AAA

DEFINITION of 'SEC Form U-9C-3'

A filing with the Securities and Exchange Commission (SEC) that had to be filed quarterly after a registered holding company acquired shares of an energy-related company. SEC Form U-9C-3 had to contain a list of all gas or energy-related companies held, and the percentage of voting shares held in each, plus summaries of securities details, transactions, aggregate investments and financial statements. The SEC used this information to monitor all energy- and gas-related business activities of registered holding companies.

INVESTOPEDIA EXPLAINS 'SEC Form U-9C-3'

Form U-9C-3 is also known as "Quarterly Report Pursuant to Rule 58." It was required under Rule 58 of the Public Utility Holding Company Act of 1935, which was repealed on August 8, 2005 with the passing of the Energy Policy Act of 2005.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 Since the act was repealed, this form is now obsolete.

RELATED TERMS
  1. Holding Company

    A parent corporation that owns enough voting stock in another ...
  2. SEC Form U-5S

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

    A financial instrument that represents: an ownership position ...
  4. Securities And Exchange Commission ...

    A government commission created by Congress to regulate the securities ...
  5. Shares

    A unit of ownership interest in a corporation or financial asset. ...
  6. Cumis Counsel

    Legal counsel chosen by the insured when the insurer has a conflict ...
RELATED FAQS
  1. Where can I find a company's annual report and its SEC filings?

    Thanks to the Internet, finding financial reports is easier than ever. Nowadays, every reputable company has an investor ...
Related Articles
  1. Investing Basics

    SEC Filings: Forms You Need To Know

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

    Get A Job In Compliance

    If you're a stickler for rules, this could be a promising career path for you.
  3. Investing Basics

    Policing The Securities Market: An Overview Of The SEC

    Find out how this regulatory body protects the rights of investors.
  4. Personal Finance

    Who's Looking Out For Investors?

    If your account has been mishandled, FINRA and the SEC are among several organizations that can help.
  5. Economics

    The Impact Of Ending The US Embargo On Cuba

    Many argue that ending the US embargo on Cuba will not only make US consumers happy, but also help the US economy and bring more freedoms to Cuba.
  6. Economics

    Popular Places Where U.S. Citizens Need A Visa

    A U.S. passport will get you into many countries, but not everywhere. Here's how to visit five of the most popular destinations that require visas.
  7. Economics

    Are You the Victim of Unfair Labor Practices?

    If you are a union member, a union leader, or a manager at a company with an established union, you should understand unfair labor practices.
  8. Investing

    How The SEC Tracks Insider Trading

    We look at how the SEC tracks and tries to stop insider trading - a seemingly impossible task.
  9. Investing News

    What Affirmative Action Means for Regular Business

    What Affirmative Action means for your businesses today.
  10. Economics

    How To Pass The U.S. Citizenship Test

    The U.S. citizenship test includes a civics section some states may require high school grads to master. Here's what an immigrant must know to pass it.

You May Also Like

Hot Definitions
  1. Sunk Cost

    A cost that has already been incurred and thus cannot be recovered. A sunk cost differs from other, future costs that a business ...
  2. Technical Skills

    1. The knowledge and abilities needed to accomplish mathematical, engineering, scientific or computer-related duties, as ...
  3. Prepaid Expense

    A type of asset that arises on a balance sheet as a result of business making payments for goods and services to be received ...
  4. Gordon Growth Model

    A model for determining the intrinsic value of a stock, based on a future series of dividends that grow at a constant rate. ...
  5. Cost Accounting

    A type of accounting process that aims to capture a company's costs of production by assessing the input costs of each step ...
  6. Law Of Supply

    A microeconomic law stating that, all other factors being equal, as the price of a good or service increases, the quantity ...
Trading Center