SEC Form U5B

DEFINITION of 'SEC Form U5B'

A now-obsolete filing with the Securities and Exchange Commission (SEC) that was required to be filed by public utility holding companies. The form contained information on the general character of the business done by the registrant and its subsidiaries, which included: interstate transactions, securities outstanding, funded debt, capital stock, contingent liabilities, investments in system securities, investments in other companies, indebtedness of system companies and more. The SEC used this information to monitor the holdings, financings and operations of the registered public utility system.


BREAKING DOWN 'SEC Form U5B'

Form U5B, which is also known as "joint registration statement", was required under Section 5 of the Public Utility Holding Company Act of 1935, which was repealed on August 8, 2005 with the passing of the Energy Policy Act of 2005.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. Because the act was repealed, this form is now obsolete.



RELATED TERMS
  1. SEC Form U-12-IA

    A filing with the Securities and Exchange Commission (SEC) that ...
  2. SEC Form U-5S

    A filing with the Securities and Exchange Commission (SEC) that ...
  3. SEC Form 35-CERT

    A now-obsolete filing with the Securities and Exchange Commission ...
  4. SEC Form U5A

    A now-obsolete filing with the Securities and Exchange Commission ...
  5. SEC Form 35-APP

    A now-obsolete filing with the Securities and Exchange Commission ...
  6. SEC Form 10

    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. Professionals

    Introduction

    The Securities Act of 1933 was the first major piece of securities industry regulation that was brought about largely as a result of the stock market crash of 1929. Other major laws were also ...
  3. Professionals

    Investment Company Registration, Regulations and Rules

    FINRA Series 6: Section 10 Investment Company Registration, Regulations and Rules. In this section: The Investment Company Act of 1940 and The Securities Act of 1933.
  4. Professionals

    Registration of Securities

    FINRA/NASAA Series 66 - Registration of Securities. In this section exemptions to state registration of securities under the Uniform Securities Act (USA) and notice filing.
  5. 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 ...
  6. Professionals

    Introduction

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

    Securities Regulation

    FINRA/NASAA Series 65 - Securities Regulation. In this section securities registartion exemptions and registering a security.
  8. Professionals

    State Authority over Federal Covered Securities

    FINRA/NASAA Series 65 - State Authority over Federal Covered Securities. In this section exchage-listed securuties, investment company shares and initial pyblic offering.
  9. Professionals

    The Securities Act of 1933

    FINRA Series 6 Exam Study Guide - The Securities Act of 1933. This section discusses the securities act of 1933 including definitions and penalties under the act.
  10. 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.
RELATED FAQS
  1. If an issuer wishes to register a security in the state ...

    The correct answer is a. Registration by coordination is permitted when the issuer has filed a registration application with ... Read Answer >>
  2. How do I know if I am buying unregistered securities or stocks?

    All securities, including stocks, bonds and notes, must be registered with the Securities and Exchange Commission (SEC) before ... Read Answer >>
  3. How is a penny stock created?

    Understand how penny stocks are issued and regulated, and learn how these sometimes rewarding but always risky investments ... Read Answer >>
  4. 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 >>
  5. What is a utility stock?

    Investing in difficult economic conditions requires knowledge of different stock classes. Utility stocks are one vehicle ... Read Answer >>
  6. 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 >>
Hot Definitions
  1. Cost Of Debt

    The effective rate that a company pays on its current debt. This can be measured in either before- or after-tax returns; ...
  2. Yield Curve

    A line that plots the interest rates, at a set point in time, of bonds having equal credit quality, but differing maturity ...
  3. Stop-Limit Order

    An order placed with a broker that combines the features of stop order with those of a limit order. A stop-limit order will ...
  4. Keynesian Economics

    An economic theory of total spending in the economy and its effects on output and inflation. Keynesian economics was developed ...
  5. Society for Worldwide Interbank Financial Telecommunications ...

    A member-owned cooperative that provides safe and secure financial transactions for its members. Established in 1973, the ...
  6. Generally Accepted Accounting Principles - GAAP

    The common set of accounting principles, standards and procedures that companies use to compile their financial statements. ...
Trading Center