SEC Form U5A

Definition of 'SEC Form U5A'


A now-obsolete filing with the Securities and Exchange Commission (SEC) that had to be filed by all public utility holding companies who were required to register under the Public Utility Holding Company Act (PUHCA) of 1935. SEC Form U5A contained the names of all companies held by the registrant and the organizational structure (corporation, LLC, etc.), state of organization and type of business for each company held. The SEC used this information to monitor the holdings, financing and operations of the registered public utility system.

Investopedia explains 'SEC Form U5A'




Form U5A, which is also known as "notification of registration", was required under Section 5, Rule 1(a) of the PUHCA, which was repealed on August 8, 2005 with the passing of the Energy Policy Act of 2005.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. Because the act was repealed, this form is now obsolete.


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