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.


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which is also known as "notification of registration", was required under Section 5, Rule 1(a) of the PUHCA, which was repealed on August 8, 2005 with the passing of the Energy Policy Act of 2005.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 Because the act was repealed, this form is now obsolete.

RELATED TERMS
  1. SEC Form 35-APP

    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 45B-3

    A form filed with the SEC regarding the extension of credit previously ...
  4. SEC Form S-4

    A filing with the Securities and Exchange Commission (SEC) by ...
  5. SEC Form S-8

    A filing with the Securities and Exchange Commission (SEC) that ...
  6. SEC Form 10SB12B

    A filing with the Securities and Exchange Commission (SEC), also ...
Related Articles
  1. Investing Basics

    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. 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. Investing Basics

    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.
  4. Term

    Advantages of Public Vs. Private Companies

    A privately held company is owned by its founder, management or a group of private investors.
  5. Mutual Funds & ETFs

    The Top 5 Utility ETFs for 2016 (XLU, IDU)

    Discover the top utility company ETFs, and learn more about how you can get exposure to water, electricity and natural gas utility companies.
  6. Personal Finance

    How The SEC Regulates Social Media

    The SEC continues to develop requirements and regulations to reflect the new information age.
  7. Options & Futures

    On This Day In Finance: May 27 - The Securities Act of 1933

    Congress enacted the Securities Act of 1933 as part of the response to the 1929 stock market crash. It was the first step to ensuring the rights and safeties of investors in the United States.
  8. Stock Analysis

    Under The Radar Utility Stocks

    Utilities have produced superior returns this year, and there's still value to be had in a few under-the-radar utility stocks.
  9. Mutual Funds & ETFs

    5 Popular Utilities ETFs in 2016 (XLU, NEE)

    Discover how the five most popular utilities ETFs for 2016 can add growth and income to your portfolio. Four of these utilities ETFs outperformed the S&P 500.
  10. Mutual Funds & ETFs

    How To Start a Hedge Fund In the United States

    A general overview of how to start a hedge fund firm in the United States, including complying with state and federal regulations.
RELATED FAQS
  1. What are unregistered securities or stocks?

    Before securities, like stocks, bonds and notes, can be offered for sale to the public, they first must be registered with ... Read Answer >>
  2. 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 >>
  3. 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 >>
  4. How does the privatization of a publicly traded company work?

    Find out how a publicly traded company can privatize and remove itself from listed stock exchanges and out from under the ... 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. What is the average annual return in the utilities sector?

    Explore facts about the popular utilities sector and discover what the average annual return for the sector has been over ... Read Answer >>
Hot Definitions
  1. Goldilocks Economy

    An economy that is not so hot that it causes inflation, and not so cold that it causes a recession. This term is used to ...
  2. White Squire

    Very similar to a "white knight", but instead of purchasing a majority interest, the squire purchases a lesser interest in ...
  3. MACD Technical Indicator

    Moving Average Convergence Divergence (or MACD) is a trend-following momentum indicator that shows the relationship between ...
  4. Over-The-Counter - OTC

    Over-The-Counter (or OTC) is a security traded in some context other than on a formal exchange such as the NYSE, TSX, AMEX, ...
  5. Quarter - Q1, Q2, Q3, Q4

    A three-month period on a financial calendar that acts as a basis for the reporting of earnings and the paying of dividends.
  6. Weighted Average Cost Of Capital - WACC

    Weighted average cost of capital (WACC) is a calculation of a firm's cost of capital in which each category of capital is ...
Trading Center