SEC Form U-9C-3

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.

BREAKING DOWN '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 It was required under Rule 58 of the Public Utility Holding Company Act of 1935, which was repealed on August 8, 2005 with the passing of the Energy Policy Act of 2005.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 Since the act was repealed, this form is now obsolete.

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