SEC FORM U5A
SEC Form U5A is also referred to as the ‘notification of registration’. This means that SEC Form U5A is a filing to be accomplished by every public utility holding company registered under the Public Utility Holding Company Act (PUHCA) of 1935 under the Securities and Exchange Commission. The data gathered under SEC Form U5A include company names held, organization form, and the bussiness type of each company. SEC Form U5A was used by SEC to monitor operations, finances, and holdings of registered public utility systems. SEC Form U5A is now obsolete.
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Notification by a broker advising his or her client that an incorrect exchange deal was conducted and that the activity is being pointed out. For e ...
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UFMI
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