18 CFR 45.8 - Contents of application.

§ 45.8 Contents of application.
Each application shall state the following:
(a) Identification of applicant.
(1) Full name, business address and state of residence.
(2) Major business or professional activity.
(3) If former application or applications under section 305(b) of the Act have been made by the applicant, give date and docket number of the last application filed.
(b) List of positions within the purview of section 305(b) of the Act for which authorization is sought. (Indicate by asterisk positions which were the subjects of previous authorizations.)
Position Name ofcorporation Classification: (1) Public utility, (2) authorized by law to underwrite, (3) supplying electrical equipment
(c) Data as to positions with each public utility mentioned in paragraph (b) of this section. (The format should be adapted to the information submitted, in keeping with completeness and conciseness. In the case of public utilities of the same holding company system, brevity will generally be promoted by submitting the information for all of the utilities involved under each subsection progressively in the order of the subsections, utilizing tables when feasible.)
(1) Name of utility.
(2) Date elected or appointed, or anticipated date of election or appointment, to each position not previously authorized.
(3) Names of officers and directors; number of vacancies, if any, on Board of Directors.
(4) Description of applicant's duties: Approximate amount of time devoted thereto; and, if applicant seeks authorization as a director, the percentage of directors meetings held during the past 12 months that were attended by the applicant.
(5) All other professional, contractual, or business relationships of applicant with the public utility, either directly or through other corporations or firms.
(6) Extent of applicant's direct or indirect ownership, control of, or beneficial interest in the public utility or the securities thereof. If ownership or interest is held in a name other than that of applicant, state name and address of the holder.
(7) Extent of applicant's indebtedness to the public utility, how and when incurred, and consideration therefor.
(8) All money or property received by applicant from the public utility or any affiliate (i) during the past 12 months, and expected during the ensuing 12 months, or (ii) during the public utility's most recently ended fiscal year, and expected during the public utility's current fiscal year, or (iii) during the past and current calendar years, whether for services, reimbursement for expenses, or otherwise. Specify in detail the amount thereof and the basis therefor. If applicant's compensation for services to the public utility is not paid directly by the public utility, give name of the corporation that does pay same, the amount allocated or allocable to the public utility or any affiliate, and the basis or reason for such allocation.
(9) Whether during the past 5 years the public utility or any affiliate thereof or any security holders of either have commenced any suit against the officers or directors thereof for alleged waste, mismanagement or violation of duty, to which suit applicant was a party defendant. If so, give date of commencement of suit, court in which commenced, and present status.
(d) Data as to positions with each bank, trust company, banking association or firm, mentioned in paragraph (b) of this section, that is authorized by law to underwrite or participate in the marketing of securities of a public utility. (The applicant shall use a separate sheet for each corporation.)
(1) Name of corporation and address of principal place of business.
(2) Positions which applicant holds or seeks authorization to hold therein and when and by whom elected or appointed to each position.
(3) Description of applicant's duties in each position and the approximate amount of time devoted thereto, and, if applicant seeks authorization as director, the percentage of directors meetings held during the past 12 months that were attended by the applicant.
(4) Extent of applicant's direct or indirect ownership, or control of, or beneficial interest in, the company or in the securities thereof, including common stock, preferred stock, bonds, or other securities. If such ownership or interest is held in a name other than that of applicant, state name and address of such holder.
(5) All money or property received by applicant from the company (i) during the past 12 months, and expected during the ensuing 12 months, or (ii) during the company's most recently ended fiscal year, and expected during the company's current fiscal year, or (iii) during the past and current calendar years, whether for services, reimbursement for expenses, or otherwise. Specify in detail the amount thereof and the basis therefor.
(6) Names and titles of directors, officers, or partners.
(7) Whether the corporation is now engaged in underwriting or participating in the marketing of the securities of a public utility; if so, to what extent.
(8) Whether the corporation, during applicant's connection therewith, has underwritten or participated in the marketing of the security issue of any public utility with which applicant was also connected; if so, the details with respect to every such transaction that occurred during the past 36 months.
(9) (If the answer to paragraph (d)(7) of this section is in the negative.) Give excerpts from the charter, declaration of trust, or articles of partnership that authorize the underwriting or participating in the marketing of securities of a public utility.
(10) (If the answer to paragraph (d)(7) of this section is in the negative.) Give general requirements of and appropriate reference to, the laws of the State of organization and of States in which corporation is doing business or has qualified to do business, with which it must comply in order to engage in the business of underwriting or participating in the marketing of the securities of a public utility.
(11) What steps, if any, have been taken to comply with laws mentioned in paragraph (d)(10) of this section.
(12) In lieu of paragraphs (d)(9), (10), and (11) of this section, an opinion by counsel to the same effect and including the information in respect thereto may be filed with the application.
(13) Whether the corporation has registered with the Securities and Exchange Commission; if so, when and under what section of what act.
(e) Data as to positions with each company, mentioned in paragraph (b) of this section, supplying electrical equipment to a public utility in which applicant holds a position. (Applicant shall use a separate sheet for each company.)
(1) Name of company and address of principal place of business.
(2) Positions which applicant holds or seeks authorization to hold therein and when and by whom elected or appointed to each position.
(3) Description of applicant's duties in each position and approximate amounts of time devoted thereto, and, if applicant seeks authorization as director, the percentage of directors meetings held during the past 12 months that were attended by the applicant.
(4) Names and titles of directors or partners.
(5) Name of each public utility, with which applicant holds or seeks authorization to hold a position, to which the company supplies electrical equipment; the frequency of such transactions; the approximate annual dollar volume of such business; and the type of equipment supplied.
(6) Nature of relationship between the company supplying electrical equipment and the public utility:
(i) Whether company manufactures such electrical equipment or is a dealer therein.
(ii) Whether company supplies electrical equipment to the public utility pursuant to construction, service, agency, or other contract with the public utility or an affiliate thereof, and, if so, furnish brief summary of the terms of such contract.
(7) Extent of applicant's direct or indirect ownership, or control of, or beneficial interest in, the company or in the securities thereof, including common stock, preferred stock, bonds, or other securities. If such ownership or interest is held in a name other than that of applicant, state name and address of such holder.
(8) All money or property received by applicant from the company (i) during the past 12 months, and expected during the ensuing 12 months, or (ii) during the company's most recently ended fiscal year, and expected during the company's current fiscal year, or (iii) during the past and current calendar years, whether for services, reimbursement for expenses, or otherwise. Specify in detail the amount thereof and the basis therefor.
(f) Data as to positions with public utility holding companies. (Do not include here data as to corporations listed in paragraph (b) of this section which are also holding companies. A holding company as herein used means any corporation which directly or indirectly owns, controls, or holds with power to vote, 10 per centum or more, of the outstanding voting securities of a public utility.)
(1) Name of holding company and address of principal place of business.
(2) Positions which applicant holds therein, when and by whom elected or appointed to each position.
(3) Extent of applicant's direct or indirect ownership, or control of, or beneficial interest in, the holding company or in the securities thereof, including common stock, preferred stock, bonds, or other securities. If such ownership or interest is held in a name other than that of applicant, state name and address of such holder.
(4) All money or property received by applicant from the holding company (i) during the past 12 months, and expected during the ensuing 12 months, or (ii) during the holding company's most recently ended fiscal year, and expected during the holding company's current fiscal year, or (iii) during the past and current calendar years, whether for services, reimbursement for expenses, or otherwise. Specify in detail the amount thereof and the basis therefor.
(g) Positions with all other corporations. (Do not include here data that have been filed within the past 12 months in FERC-561, pursuant to part 46 of this chapter, or data as to any corporations listed in paragraph (b) or (f) of this section.)
(1) All other corporations and positions therein, including briefly the information required in parallel columns as below:
Name ofcorporation Address: Kindof business Position held therein
(2) Any corporate, contractual, financial, or business relationships between any of the corporations listed in paragraph (g)(1) of this section and any of the public utilities listed in paragraph (b) of this section.
(h) Data as to the public utility holding company system. The names of the public utility holding company systems of which each public utility listed in paragraph (b) of this section is a part, with a chart showing the corporate relationships existing between and among the corporations within the holding company systems.
[Order 246, 27 FR 4912, May 25, 1962, as amended by Order 427, 36 FR 5598, Mar. 25, 1971; Order 374, 49 FR 20479-20480, May 15, 1984; Order 435, 50 FR 40358, Oct. 3, 1985; Order 737, 75 FR 43404, July 26, 2010]
Cross Reference:
For rules and regulations of the Securities and Exchange Commission, see 17 CFR, chap. II.

Title 18 published on 2013-04-01

no entries appear in the Federal Register after this date.

This is a list of United States Code sections, Statutes at Large, Public Laws, and Presidential Documents, which provide rulemaking authority for this CFR Part.

This list is taken from the Parallel Table of Authorities and Rules provided by GPO [Government Printing Office].

It is not guaranteed to be accurate or up-to-date, though we do refresh the database weekly. More limitations on accuracy are described at the GPO site.


United States Code
U.S. Code: Title 16 - CONSERVATION

§ 791a - Short title

§ 792 - Federal Power Commission; creation; number; appointment; term; qualifications; vacancies; quorum; chairman; salary; place of holding sessions

§ 793 - Appointment of officers and employees of Commission; duties, and salaries; detail of officers and employees from other departments; expenditures authorized

§ 793a - Repealed.

§ 794, 795 - Omitted

§ 796 - Definitions

§ 797 - General powers of Commission

§ 797a - Congressional authorization for permits, licenses, leases, or authorizations for dams, conduits, reservoirs, etc., within national parks or monuments

§ 797b - Duty to keep Congress fully and currently informed

§ 797c - Dams in National Park System units

§ 797d - Third party contracting by FERC

§ 798 - Purpose and scope of preliminary permits; transfer and cancellation

§ 799 - License; duration, conditions, revocation, alteration, or surrender

§ 800 - Issuance of preliminary permits or licenses

§ 801 - Transfer of license; obligations of transferee

§ 802 - Information to accompany application for license; landowner notification

§ 803 - Conditions of license generally

§ 804 - Project works affecting navigable waters; requirements insertable in license

§ 805 - Participation by Government in costs of locks, etc.

§ 806 - Time limit for construction of project works; extension of time; termination or revocation of licenses for delay

§ 807 - Right of Government to take over project works

§ 808 - New licenses and renewals

§ 809 - Temporary use by Government of project works for national safety; compensation for use

§ 810 - Disposition of charges arising from licenses

§ 811 - Operation of navigation facilities; rules and regulations; penalties

§ 812 - Public-service licensee; regulations by State or by commission as to service, rates, charges, etc.

§ 813 - Power entering into interstate commerce; regulation of rates, charges, etc.

§ 814 - Exercise by licensee of power of eminent domain

§ 815 - Contract to furnish power extending beyond period of license; obligations of new licensee

§ 816 - Preservation of rights vested prior to June 10, 1920

§ 817 - Projects not affecting navigable waters; necessity for Federal license, permit or right-of-way; unauthorized activities

§ 818 - Public lands included in project; reservation of lands from entry

§ 819 - Repealed. Aug. 26, 1935, ch. 687, title II,

§ 820 - Proceedings for revocation of license or to prevent violations of license

§ 821 - State laws and water rights unaffected

§ 822 - Reservation of right to alter or repeal chapter

§ 823 - Repeal of inconsistent laws

§ 823a - Conduit hydroelectric facilities

§ 823b - Enforcement

§ 823c - Alaska State jurisdiction over small hydroelectric projects

§ 823d - Alternative conditions and prescriptions

§ 824 - Declaration of policy; application of subchapter

§ 824a - Interconnection and coordination of facilities; emergencies; transmission to foreign countries

16 U.S. Code § 794, 795 - Omitted

16 U.S. Code § 794, 795 - Omitted

16 U.S. Code § 794, 795 - Omitted

16 U.S. Code § 794, 795 - Omitted

§ 824b - Disposition of property; consolidations; purchase of securities

§ 824c - Issuance of securities; assumption of liabilities

§ 824d - Rates and charges; schedules; suspension of new rates; automatic adjustment clauses

§ 824e - Power of Commission to fix rates and charges; determination of cost of production or transmission

§ 824f - Ordering furnishing of adequate service

§ 824g - Ascertainment of cost of property and depreciation

§ 824h - References to State boards by Commission

§ 824i - Interconnection authority

§ 824j - Wheeling authority

16 U.S. Code § 794, 795 - Omitted

§ 824k - Orders requiring interconnection or wheeling

16 U.S. Code § -

§ 824m - Sales by exempt wholesale generators

§ 824n - Repealed.

16 U.S. Code § -

§ 824p - Siting of interstate electric transmission facilities

§ 824q - Native load service obligation

§ 824r - Protection of transmission contracts in the Pacific Northwest

§ 824s - Transmission infrastructure investment

§ 824t - Electricity market transparency rules

§ 824u - Prohibition on filing false information

§ 824v - Prohibition of energy market manipulation

§ 824w - Joint boards on economic dispatch

§ 825 - Accounts and records

§ 825a - Rates of depreciation; notice to State authorities before fixing

§ 825b - Requirements applicable to agencies of United States

§ 825c - Periodic and special reports; obstructing filing reports or keeping accounts, etc.

§ 825d - Officials dealing in securities

§ 825e - Complaints

§ 825f - Investigations by Commission

§ 825g - Hearings; rules of procedure

§ 825h - Administrative powers of Commission; rules, regulations, and orders

§ 825i - Appointment of officers and employees; compensation

§ 825j - Investigations relating to electric energy; reports to Congress

§ 825k - Publication and sale of reports

16 U.S. Code § -

§ 825m - Enforcement provisions

§ 825n - Forfeiture for violations; recovery; applicability

16 U.S. Code § -

16 U.S. Code § 794, 795 - Omitted

§ 825p - Jurisdiction of offenses; enforcement of liabilities and duties

§ 825q - Repealed.

16 U.S. Code § 794, 795 - Omitted

§ 825r - Separability

§ 2601 - Findings

§ 2602 - Definitions

§ 2603 - Relationship to antitrust laws

§ 2611 - Purposes

§ 2612 - Coverage

§ 2613 - Federal contracts

§ 2621 - Consideration and determination respecting certain ratemaking standards

§ 2622 - Obligations to consider and determine

§ 2623 - Adoption of certain standards

§ 2624 - Lifeline rates

§ 2625 - Special rules for standards

§ 2626 - Reports respecting standards

§ 2627 - Relationship to State law

§ 2631 - Intervention in proceedings

§ 2632 - Consumer representation

§ 2633 - Judicial review and enforcement

§ 2634 - Prior and pending proceedings

§ 2641 - Voluntary guidelines

§ 2642 - Responsibilities of Secretary

§ 2643 - Gathering information on costs of service

§ 2644 - Relationship to other authority

§ 2645 - Utility regulatory institute

U.S. Code: Title 31 - MONEY AND FINANCE
U.S. Code: Title 42 - THE PUBLIC HEALTH AND WELFARE

§ 7101 - Definitions

§ 7111 - Congressional findings

§ 7112 - Congressional declaration of purpose

§ 7113 - Relationship with States

§ 7131 - Establishment

§ 7132 - Principal officers

§ 7133 - Assistant Secretaries; appointment and confirmation; identification of responsibilities

§ 7134 - Federal Energy Regulatory Commission; compensation of Chairman and members

§ 7135 - Energy Information Administration

§ 7135a - Delegation by Secretary of Energy of energy research, etc., functions to Administrator of Energy Information...Administration; prohibition against required delegation; utilization of capabilities by Secretary

§ 7136 - Economic Regulatory Administration; appointment of Administrator; compensation; qualifications; functions

§ 7137 - Functions of Comptroller General

§ 7138 - Repealed.

§ 7139 - Office of Science; establishment; appointment of Director; compensation; duties

§ 7140 - Leasing Liaison Committee; establishment; composition

§ 7141 - Office of Minority Economic Impact

§ 7142 - National Atomic Museum and National Atomic Testing Museum

§ 7142a - Designation of American Museum of Science and Energy

§ 7142b - Authority

§ 7142c - Museum volunteers

§ 7142d - Definitions

§ 7143 - Repealed.

§ 7144 - Establishment of policy for National Nuclear Security Administration

§ 7144a - Establishment of security, counterintelligence, and intelligence policies

§ 7144b - Office of Counterintelligence

§ 7144c - Office of Intelligence

§ 7144d - Office of Arctic Energy

§ 7144e - Office of Indian Energy Policy and Programs

§ 7151 - General transfers

§ 7151a - Jurisdiction over matters transferred from Energy Research and Development Administration

§ 7152 - Transfers from Department of the Interior

§ 7153 - Administration of leasing transfers

§ 7154 - Transfers from Department of Housing and Urban Development

§ 7155 - Repealed.

§ 7156 - Transfers from Department of the Navy

§ 7156a - Repealed.

§ 7157 - Transfers from Department of Commerce

§ 7158 - Naval reactor and military application programs

§ 7159 - Transfer to Department of Transportation

§ 7171 - Appointment and administration

§ 7172 - Jurisdiction of Commission

§ 7173 - Initiation of rulemaking procedures before Commission

§ 7174 - Referral of other rulemaking proceedings to Commission

§ 7175 - Right of Secretary to intervene in Commission proceedings

§ 7176 - Reorganization

§ 7177 - Access to information

§ 7178 - Federal Energy Regulatory Commission fees and annual charges

§ 7191 - Procedures for issuance of rules, regulations, or orders

§ 7192 - Judicial review

§ 7193 - Remedial orders

§ 7194 - Requests for adjustments

§ 7195 - Report to Congress; contents

§ 7211, 7212 - Repealed.

§ 7213 to 7217 - Repealed.

§ 7218 - Repealed.

§ 7231 - Officers and employees

§ 7232 - Senior positions

§ 7233 - Experts and consultants

§ 7234 - Advisory committees

§ 7235 - Armed services personnel

§ 7236 - Transferred

§ 7237 - Priority placement, job placement, retraining, and counseling programs for United States Department of Energy employees affected by reduction in force

§ 7238 - Temporary appointments for scientific and technical experts in Department of Energy research and development programs

§ 7239 - Transferred

§ 7251 - General authority

§ 7252 - Delegation

§ 7253 - Reorganization

§ 7254 - Rules and regulations

§ 7255 - Subpoena

§ 7256 - Contracts, leases, etc., with public agencies and private organizations and persons

§ 7256a, 7256b - Transferred

§ 7257 - Acquisition, construction, etc., of laboratories, research and testing sites, etc.

§ 7257a to 7257c - Transferred

§ 7257d - Expanded research by Secretary of Energy

§ 7258 - Facilities construction

§ 7259 - Use of facilities

§ 7259a - Activities of Department of Energy facilities

§ 7260 - Field offices

§ 7261 - Acquisition of copyrights, patents, etc.

§ 7261a - Protection of sensitive technical information

§ 7261b - Technology transfer to small businesses

§ 7261c - Technology partnerships ombudsman

§ 7262 - Repealed.

§ 7263 - Capital fund

§ 7264 - Seal of Department

§ 7265 - Regional Energy Advisory Boards

§ 7266 - Designation of conservation officers

§ 7267 - Annual report

§ 7268 - Leasing report

§ 7269 - Transfer of funds

§ 7269a - Repealed.

§ 7269b - Transfer of unexpended appropriation balances

§ 7269c - Funding for Department of Energy activities not included in Fossil Energy account

§ 7270 - Authorization of appropriations

§ 7270a - Guards for Strategic Petroleum Reserve facilities

§ 7270b - Trespass on Strategic Petroleum Reserve facilities

§ 7270c - Annual assessment and report on vulnerability of facilities to terrorist attack

§ 7271 - Transferred

§ 7271a - Repealed.

§ 7271b - Repealed.

§ 7271c - Repealed.

§ 7271d to 7273a - Transferred

§ 7273b - Security investigations

§ 7273c - Transferred

§ 7274 - Environmental impact statements relating to defense facilities of Department of Energy

§ 7274a to 7274d - Transferred

§ 7274e - Scholarship and fellowship program for environmental restoration and waste management

§ 7274f - Transferred

§ 7274g - Environmental restoration and waste management five-year plan and budget reports

§ 7274h, 7274i - Transferred

§ 7274j - Repealed.

§ 7274k - Transferred

42 U.S. Code § -

42 U.S. Code § -

§ 7274p - Transferred

§ 7274q - Transferred

§ 7274r - Transferred

§ 7274s - Transferred

§ 7275 - Definitions

§ 7276 - Regulations to require integrated resource planning

§ 7276a - Technical assistance

§ 7276b - Integrated resource plans

§ 7276c - Miscellaneous provisions

§ 7276d - Property protection program for power marketing administrations

§ 7276e - Provision of rewards

§ 7276f - Western Area Power Administration; deposit and availability of discretionary offsetting collections

§ 7276g - Western Area Power Administration; deposit and availability of funds related to Falcon and Amistad Dams

§ 7277 - Report concerning review of United States coal imports

§ 7278 - Availability of appropriations for Department of Energy for transportation, uniforms, security, and price support and loan guarantee programs; transfer of funds; acceptance of contributions

§ 7279 - Identification in budget materials of amounts for certain Department of Energy pension obligations

§ 7279a - Future-years energy program annual submission and budgeting

§ 7291 - Transfer and allocations of appropriations and personnel

§ 7292 - Effect on personnel

§ 7293 - Agency terminations

§ 7294 - Incidental transfers

§ 7295 - Savings provisions

§ 7296 - Separability

§ 7297 - Cross references

§ 7298 - Presidential authority

§ 7299 - Transition

§ 7300 - Report to Congress; effect on personnel

§ 7301 - Environmental impact statements

§ 7321 - National Energy Policy Plan

§ 7322 - Congressional review

§ 7341 - Effective date

§ 7342 - Interim appointments

§ 7351 - Submission of comprehensive review

§ 7352 - Contents of review

Presidential Documents

Executive Order ... 12009