The Form POS AMC Files Dataset is a closed historical corpus of every EDGAR submission of Form POS AMC, the post-effective amendment to a previously filed Form U-1 Application/Declaration under the Public Utility Holding Company Act of 1935 (PUHCA 1935). One record represents a single POS AMC accession filed by a registered public utility holding company seeking to modify, extend, or refine an authorization the SEC had already granted under PUHCA Sections 6, 7, 9, 10, 12, or 13. Coverage runs from January 1994, when EDGAR began accepting these filings electronically, through February 2006, when Title XII of the Energy Policy Act of 2005 repealed PUHCA 1935 and discontinued the form. Each record bundles a structured metadata.json descriptor with the original SGML-wrapped document parts (TXT and HTML) of the filing, packaged as accession-keyed folders inside monthly ZIP containers.
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The dataset captures the full population of Form POS AMC filings made on EDGAR across the entire lifecycle of the form. Form POS AMC is the post-effective amendment counterpart to Form U-1 Application/Declaration, the application/declaration that registered public utility holding companies were required to file under PUHCA when seeking SEC authorization for activities such as issuance and sale of securities, intra-system financings, acquisitions of utility or non-utility assets, retention of non-utility subsidiaries, guarantees, service-company arrangements, and other transactions regulated by Sections 6, 7, 9, 10, 11, 12, and 13 of the Act. After the Commission issued an order on the original U-1, filers used POS AMC to amend that application/declaration post-effectively — typically to extend an authorization period, increase an authorized financing ceiling, add transactions to the authorized program, refresh the Rule 53/54 analysis covering exempt wholesale generators (EWGs) and foreign utility companies (FUCOs), or update financial exhibits.
The form was used continuously from January 1994 through February 2006 and was discontinued because Title XII of the Energy Policy Act of 2005 repealed PUHCA effective February 8, 2006 and replaced it with PUHCA 2005 administered by FERC, eliminating the SEC's role and therefore the need for U-1 amendments. The dataset is distributed as ZIP containers organized by year and month; each accession folder inside the containers carries one metadata.json plus the textual document parts of the original EDGAR submission. The file types found in the dataset are TXT, JSON, and HTML; image attachments such as scanned signature pages or graphic exhibits delivered as GIF, JPG, or PDF are excluded.
One record in the Form POS AMC Files Dataset is a single EDGAR submission of Form POS AMC. Each record is identified by its EDGAR accession number and is materialized on disk as one accession-keyed folder named with the 18-digit, no-dash accession (for example 000095012906001083, corresponding to the dashed form 0000950129-06-001083). Accession folders are grouped under monthly folders (YYYY-MM/) inside yearly ZIP containers. Each folder contains exactly one metadata.json plus every textual document carried in the original EDGAR submission; image attachments are excluded.
A record therefore has two cleanly separated layers:
metadata.json) describing the submission, the filer(s), and the document inventory.metadata.json componentmetadata.json is the structured descriptor of the filing. The intentional fields are:
formType — fixed at "POS AMC".accessionNo — canonical dashed EDGAR accession (e.g., 0000950129-06-001083).id — opaque internal hash identifying the record.filedAt — ISO-8601 timestamp with timezone offset for EDGAR acceptance.description — human-readable form description, typically "Form POS AMC - Pre-effective amendments for application or declaration".linkToFilingDetails, linkToTxt, linkToHtml, linkToXbrl — direct URLs back to EDGAR's primary filing document, complete-submission text file, filing-index page, and XBRL package. linkToXbrl is empty across the dataset because POS AMC was never an XBRL-tagged form.documentFormatFiles[] — per-document inventory. Each element carries sequence (numeric ordering within the submission, occasionally blank for ancillary parts), size (bytes as a string), documentUrl (EDGAR URL), description, and type (the document type tag, matching the <TYPE> value inside the SGML wrapper). The first entry is the primary POS AMC document; the trailing entry is conventionally the consolidated .txt complete-submission file.entities[] — array of parties to the filing. For POS AMC each element consistently includes:
companyName with a parenthetical role suffix such as "(Filer)",cik (CIK, 10-digit zero-padded),act — fixed at "35", the structural marker that the filing is made under the Public Utility Holding Company Act of 1935,fileNo — SEC file number formatted 070-NNNNN. The 070- prefix is the file-number series the Commission assigned to filings under PUHCA Section 35, so every POS AMC accession carries at least one 070- file number tying the amendment back to the parent U-1 docket,irsNo, sic (SIC code with description, frequently "4911 Electric Services", "4931 Electric & Other Services Combined", "4923 Natural Gas Distribution", or related utility codes), filmNo, type,tickers — array of equity tickers when the filer is publicly traded.dataFiles[] — present in the schema but always empty for this form type, since POS AMC carried no structured XBRL or financial data files.Every document file in the accession folder is delivered exactly as EDGAR stored it: as an SGML-wrapped artifact, regardless of whether the surrounding extension is .txt, .htm, or .html. Each document begins with <DOCUMENT> and ends with </DOCUMENT>, with a header block of the form:
1
<DOCUMENT>
2
<TYPE>POS AMC
3
<SEQUENCE>1
4
<FILENAME>h32786posamc.txt
5
<DESCRIPTION>CENTERPOINT ENERGY, INC.
6
<TEXT>
7
<PAGE>
8
... document body ...
9
</TEXT>
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</DOCUMENT>
The header tags carry:
<TYPE> — the document classification (POS AMC for the primary filing document; exhibit codes such as EX-99, EX-A, EX-B, EX-F-1 for attached exhibits).<SEQUENCE> — the ordinal position within the submission, mirrored in documentFormatFiles[*].sequence.<FILENAME> — the on-disk filename, identical to the trailing path segment of documentUrl.<DESCRIPTION> — a short human label.The <TEXT> block carries the body, with <PAGE> markers separating original printed pages and, in tabular sections, SGML <TABLE>, <S>, and <C> constructs preserving fixed-width column layout.
The body of the primary POS AMC document follows the long-standing layout of Form U-1. The cover heading reads FORM U-1/A followed by POST-EFFECTIVE AMENDMENT NO. N TO APPLICATION/DECLARATION UNDER THE PUBLIC UTILITY HOLDING COMPANY ACT OF 1935. The principal sections, in order, are:
070-NNNNN typically appear here, matching entities[].fileNo.Exhibits listed in ITEM 6 may be physically embedded inside the same SGML document, included as separate sequenced documents in the submission (each with its own <DOCUMENT> wrapper and <TYPE>EX-… tag), or incorporated by reference to a prior filing.
From the late 1990s onward, the bulk of substantive legal analysis in ITEM 3 is the Rule 53/54 sub-section. Rule 53 (adopted in 1992 implementing Section 32 of PUHCA on EWG investments) and Rule 54 (adopted in 1997, allowing the Commission to disregard Rule 53-compliant EWG/FUCO investments when reviewing other transactions) generated a near-template structure: each Rule 53(a) condition is addressed in turn (the 50-percent capitalization-to-retained-earnings ratio, employee transfers between domestic public-utility companies and EWGs/FUCOs, state-commission notification obligations, no insolvency or bankruptcy proceedings), followed by an explicit invocation of Rule 54 to support the requested authorization. In many late-period filings this analysis is the longest single block in the document.
For each accession the dataset carries the metadata.json structured descriptor; the primary POS AMC document with its full Form U-1/A narrative and any embedded tables; and every separately filed exhibit document that was part of the original EDGAR submission and was textual or HTML in nature. Where filers included financial schedules or data-bearing exhibits as text or HTML, those are included; text-rendered tables are preserved with their original SGML <TABLE> formatting and <PAGE> markers.
Image files referenced in the original EDGAR submission (for example scanned executed agreements, signature pages, or graphic exhibits delivered as GIF, JPG, or PDF) are not shipped. The consolidated complete-submission .txt file (the EDGAR concatenation listed last in documentFormatFiles[] and pointed to by linkToTxt) is referenced by URL but is not delivered as a separate on-disk file; only the individual document parts are present locally. No XBRL data files exist for this form type, so dataFiles[] and linkToXbrl are structurally empty.
The Form U-1 / POS AMC content template was structurally stable across the entire period the form was used, but several substantive shifts in required content are visible across the record population:
The numbered ITEM structure (1 through 7), the cover page, and the signature block were unchanged across the period; what evolved was the content depth of ITEM 1 and ITEM 3, not the form's skeleton.
Format evolution within the dataset is modest but real:
<DOCUMENT>/<TEXT> wrapper, with <PAGE> markers and SGML <TABLE>/<S>/<C> tags carrying fixed-width tabular content. Filenames carry .txt extensions..htm/.html), still wrapped in the same <DOCUMENT> SGML envelope but with HTML markup inside the <TEXT> body. Mixed accessions where the primary document is HTML and ancillary parts remain plain text are common in the 2005–2006 vintage.The folder layout, the SGML document wrapper, and the metadata.json schema are uniform across all years.
documentFormatFiles[*].documentUrl resolves to the same file shipped on disk; the on-disk filename matches the trailing URL segment, and documentFormatFiles[*].sequence matches the <SEQUENCE> tag in the corresponding SGML wrapper, allowing a reliable join between structured metadata and document body.070-NNNNN value in entities[].fileNo is the durable identifier linking a POS AMC amendment back to its parent U-1 application/declaration docket; multiple amendments to the same underlying authorization share a file number, while the accession number changes with each filing.act = "35" as a regime marker. Every entity row carries act set to "35", signalling the PUHCA regime and distinguishing these filings unambiguously from filings made under the Securities Act of 1933 (33) or the Securities Exchange Act of 1934 (34).entities[] then contains multiple rows, each with its own CIK and 070-NNNNN file number, all carrying act = "35".documentFormatFiles[] and the <DOCUMENT> boundaries within each file rather than assuming a one-to-one file-to-exhibit mapping.<PAGE> as a page-break delimiter and respect <TABLE>/<S>/<C> constructs in pre-HTML filings; collapsing whitespace will destroy column alignment in financial schedules and in the ITEM 6 exhibit index.entities[].Form POS AMC was filed by registered public utility holding companies under Section 5 of PUHCA 1935. A company fell into this class when it owned, directly or indirectly, 10% or more of the voting securities of an electric or gas utility and did not qualify for an exemption under Section 3.
The filer of record was always the registered top-tier (or upper-tier registered) holding company itself, identified in the EDGAR header. Operating utility subsidiaries, non-utility subsidiaries, exempt wholesale generators (EWGs), and FUCOs were not POS AMC filers, even when they were the economic beneficiaries of the underlying authorization.
The registered universe was small, typically a few dozen parents at any one time during the 1994 to 2006 EDGAR window. Names historically associated with the registered class include American Electric Power, Entergy, Southern Company, Cinergy, NSTAR, KeySpan, GPU, New England Electric System, Allegheny Energy, Northeast Utilities, National Grid (post-NEES), Energy East, Exelon, Ameren, E.ON / LG&E Energy, Pepco Holdings, Progress Energy, Conectiv, Unitil, and Scottish Power / PacifiCorp. This list is illustrative of the population that could file POS AMC; it is not a representation that every such parent appears in this dataset, and individual presence depended on whether the company was registered (rather than exempt) during the relevant period.
POS AMC is event-driven, not periodic. There is no fixed quarterly or annual cadence and no statutory clock. A POS AMC was always an amendment to a previously effective Form U-1 Application-Declaration; it was triggered when a registered holding company sought to modify, extend, supplement, or refine an authorization the SEC had already granted.
The substantive PUHCA authorities most often invoked on the underlying U-1, and therefore implicated by the amendment, were:
Typical amendment triggers included raising a dollar ceiling on a financing authorization, extending an authorization period for a money pool or commercial paper program, modifying retention terms for a non-utility subsidiary, restructuring an intra-system arrangement, adjusting an EWG/FUCO investment under Rule 53/54, or reflecting a merger, name change, or successor entity within a previously approved order.
A POS AMC could not become effective on the filer's own schedule. The Division of Investment Management's Office of Public Utility Regulation processed the amendment, the Commission published notice under Rule 23, and a supplemental order had to issue before the modification took legal effect. The practical "deadline" was the transaction itself: a registered system could not exceed its existing authority until the supplemental order was in hand, which produced clusters of POS AMC filings around year-end financing programs, announced acquisitions, and expirations of multi-year omnibus authorizations.
The Energy Policy Act of 2005 (EPAct 2005) repealed PUHCA 1935 effective February 8, 2006, replacing it with a narrower regime commonly called PUHCA 2005. Substantive successor authority over holding companies' books, records, and certain affiliate transactions transferred from the SEC to the Federal Energy Regulatory Commission (FERC). With repeal, the Form U-1 Application-Declaration regime was wound down and POS AMC was discontinued. The dataset's temporal window therefore closes in early 2006; no new POS AMC records have been generated since.
Form POS AMC sits inside the now-defunct PUHCA 1935 filing family. Its closest neighbors are other PUHCA forms and one Securities Act filing with a confusingly similar name. The comparisons below isolate the boundaries that matter when deciding whether another dataset can substitute for, complement, or be confused with POS AMC.
U-1 is the parent filing that POS AMC amends. A registered holding company filed U-1 to seek SEC authorization for a transaction under PUHCA Sections 6, 7, 9, 10, or 12 — typically financings, acquisitions, retention of non-utility subsidiaries, or intra-system reorganizations. POS AMC modifies a U-1 only after the SEC has declared it effective. U-1 establishes the original request and order; POS AMC carries the post-effective revisions and re-authorizations. U-1 is broader and earlier in the lifecycle; POS AMC is the narrower downstream amendment stream. A complete transaction history requires both.
These modify the U-1 while the SEC is still considering it and never carry the "POS" designation. They shape what the SEC will approve; POS AMC modifies what it has already approved. Same form family, opposite regulatory posture.
Different statute, different filers, similar label. POS AM is filed under the Securities Act of 1933 to amend an effective registration statement (Form S-1, Form S-3, S-11, F-1). Its filer universe is any issuer with an effective registration, not a registered holding company. POS AMC is bounded to the 1994 to February 2006 PUHCA window; POS AM is still active. A query for "post-effective amendments" without statute filtering will conflate the two.
Same filer universe as POS AMC, opposite cadence. Form U5S is a periodic, calendar-driven, system-wide consolidated report covering subsidiaries, intercompany services, and financial structure. POS AMC is event-driven and amendment-bound to specific authorizations. Highly complementary: U5S provides the system inventory and standing financials; POS AMC provides the regulatory trail for individual transactions.
Annual and PUHCA-derived, but the filer universe inverts. U-3A-2 was filed by holding companies claiming a Section 3(a) exemption — companies that did not file U-1 and therefore did not file POS AMC. Entity-level overlap is essentially limited to companies that switched between exempt and registered status.
Subject-specific PUHCA filings: U-13-1 covered mutual service company applications under Section 13; U-12-IB covered certain political contribution and influence reporting; U-9C-3 covered investment-company-style matters within holding company systems. Same statute and partly overlapping filers, but each addresses a narrower topic. POS AMC is the general amendment vehicle for U-1 orders; these are stand-alone subject filings with their own amendment paths.
Downstream of POS AMC in the lifecycle. After the SEC issued an order on a U-1 (sometimes itself amended via POS AMC), the holding company filed certificates under Rule 24 or Form 35-CERT confirming that the authorized transactions occurred, proceeds were applied as represented, or order conditions were met. POS AMC modifies the authorization; 35-CERT and Rule 24 certificates report on its execution. Confusing the two misreads the sequence.
The Energy Policy Act of 2005 repealed PUHCA 1935 effective February 8, 2006, and transferred residual authority to FERC under the narrower PUHCA 2005. POS AMC was discontinued. Post-2006 utility-holding-company filings live in FERC's eLibrary (including FERC Form No. 60), not EDGAR. POS AMC has a hard chronological terminus that no other SEC dataset extends.
Worth flagging for what POS AMC quietly displaces. Under PUHCA Section 6, a registered holding company's securities issuances were authorized by SEC order on a U-1 (and amended via POS AMC), bypassing conventional Securities Act registration. Many 1994 to 2006 financings by registered holding companies therefore appear only as U-1 and POS AMC authorizations, not as S-1 or S-3 filings. Form 8-Ks may reference but do not substitute for the underlying PUHCA authorization. Tracking utility-holding-company capital raising in this window through 1933 Act registrations alone systematically undercounts the activity.
POS AMC is defined by the intersection of three narrow conditions: PUHCA 1935 (not Securities Act or Exchange Act), post-effective (not pre-effective or initial), and an amendment to an Application-Declaration (not a registration statement, annual report, or compliance certificate). The filer population is restricted to registered public utility holding companies, the time window runs from January 1994 (EDGAR coverage) to February 2006 (PUHCA repeal), and the function is transaction-specific re-authorization rather than periodic disclosure. No other SEC dataset reproduces this combination, and the post-2006 successor regime sits at a different agency.
This is a closed historical corpus covering amendments to Form U-1 Application-Declarations filed by registered public utility holding companies under PUHCA 1935. Users are concentrated in retrospective research, legacy-authorization diligence, and corpus construction rather than live monitoring.
Energy regulatory counsel and former Division of Investment Management practitioners reconstruct how the SEC administered PUHCA in its final decade. They work the Item 1 transaction description, Item 3 statutory provisions (Sections 6(a), 7, 9(a), 10, 12, 13), and Rule 53/54 recitals on exempt wholesale generators and foreign utility companies. Tracing successive amendments under a shared 070-NNNNN file number shows how staff treated incremental financing authority, dividend flexibility, and non-utility retention conditions. Output is treatise updates and client memoranda on legacy authorizations.
Industry analysts and corporate historians map intra-system entity relationships, financing limits, and non-utility expansion across registered systems. The entities[] array, file-number lineage, exhibit lists referencing service and tax-allocation agreements, and the description text drive timelines of capital structure and subsidiary portfolios.
Law and economics faculty use the dataset as a structured population of regulatory events. Filing dates, filer identifiers, statutory citations, and Item 1/Item 3 text feed empirical panels on staff responsiveness, money-pool ceilings, and prevalence of Rule 53/54 representations. Supports peer-reviewed work on vertical integration, intra-system financing, and welfare effects of the 1935 Act's repeal.
Lawyers and policy staff applying FERC's books-and-records and centralized-service-company authority under PUHCA 2005 anchor current practice in prior SEC precedent. They focus on approved-financing description text, at-cost service-company conditions, cross-subsidization treatment, and inter-affiliate exhibit references. Output is comments in FERC rulemakings and client guidance bridging pre-2006 SEC practice to current FERC oversight.
Experts in stranded-cost recovery, retail-rate disputes, merger reviews, and shareholder litigation use the dataset to establish what financings, acquisitions, and retentions the SEC had actually approved at specific historical dates. Signature blocks (officers and counsel of record), exhibit lists, and the exact scope of Item 1 authorization anchor admissible expert reports and rebuttals on authority, ratemaking, and holding-company conduct.
In-house corporate development and regulatory groups at utility holding companies that absorbed registered systems run diligence on legacy authorizations with residual significance, particularly where modern subsidiaries trace financing or corporate existence to PUHCA-era approvals. Key fields: entities[] identifiers, the exhibit inventory across original U-1 and amendments, and standing limits on capitalization, indebtedness, or non-utility investment. Output is transaction diligence memos and chain-of-authority documentation for credit and rating presentations.
Researchers characterize permitted financing architectures: commercial paper programs, money pools, intercompany loans, parent guarantees, and pollution-control bond conduits. Item 1 dollar caps, term limits, and use-of-proceeds language plus financing exhibits support work on how regulated holding-company financing differed from unregulated corporate finance and how those structures unwound after 2005.
Specialist research librarians and SEC historians treat the corpus as a clean machine-readable record of a distinctive non-disclosure mandate. They care about completeness across the 1994-2006 window, accurate file-number indexing, and TXT/JSON/HTML variants for reformatting into archival catalogs and finding aids.
ML teams building regulatory and energy-sector domain corpora use POS AMC text as a stylistically distinct SEC slice. Repetitive statutory citations, recurring Rule 53/54 representations, formulaic prayers for relief, and well-formed signature blocks suit fine-tuning extraction models targeting holding-company entities, statutory references, dollar caps, and exhibit lists. Supports legal-citation extraction training sets, RAG over historical PUHCA authority, and entity resolution linking pre-2006 filers to modern successors.
In-house compliance staff at utilities still operating subsidiaries or financing structures rooted in PUHCA-era authorizations map the historical perimeter of permitted activity. They work the authorized-transaction description, staff conditions and reservations, and service/tax-allocation exhibits to support authority-mapping, responses to FERC and state-commission inquiries on legacy structures, and recordkeeping that ties current arrangements back to pre-repeal SEC orders.
The dataset serves a narrow, well-defined readership organized around historical and legacy-authorization work. File-number lineage, Item 3 statutory citations, Rule 53/54 representations, exhibit lists, entities[], and signature blocks are the load-bearing fields across nearly every use. The form is closed, but its records remain a primary source on the structure and financing of registered utility holding companies that still anchor much of the present-day power sector.
Because the dataset is closed, the strongest use cases are retrospective: legacy-authorization diligence, PUHCA-era research, expert-witness reconstruction, and corpus-building work that benefits from a stylistically uniform regulatory text slice.
Group all accessions in the dataset by the entities[].fileNo value (070-NNNNN) to assemble the full sequence of post-effective amendments to a given U-1 application. Reading the Item 1 narratives in chronological order reconstructs how an authorized financing ceiling, money-pool participant list, or non-utility retention scope was extended, increased, or narrowed across successive amendments. The output is a docket-level timeline used for legal memoranda, treatise footnotes, or chain-of-authority exhibits in M&A diligence.
Extract the Item 3 sub-section that walks Rule 53(a) conditions and the Rule 54 invocation across the late-1990s-to-2006 vintage of the dataset. Because the section is templated, the resulting corpus supports panel studies of the 50 percent capitalization-to-retained-earnings ratio, employee-transfer representations, and state-commission notification disclosures across registered systems. Useful for regulatory-economics papers and law-review articles on how Rule 53/54 actually operated in practice rather than in text.
For target utilities whose subsidiaries or financing structures trace back to a registered holding company, pull every POS AMC accession sharing the target's CIK or 070-NNNNN file numbers. Read Item 1 dollar caps, term limits, and the Item 6 exhibit list (service agreements, tax-allocation agreements, intercompany loan forms) to identify standing constraints that survived PUHCA repeal. Output is a diligence memo flagging legacy commitments embedded in current credit, ratemaking, or affiliate-transaction structures.
In disputes referencing pre-2006 holding-company conduct, use the dataset to establish exactly which transactions the SEC had authorized as of a given date. Cite the Item 1 description, the Item 3 statutory basis, the Item 4 state-approval status, and the signature-block officer of record from a specific accession to anchor expert testimony on what authority existed, when, and on what conditions. Provides a primary-source citation rather than secondary-source paraphrase.
Use the SGML-wrapped TXT and HTML documents as a closed, well-bounded training slice for legal/energy domain models. The repetitive cover page, Item 1 to Item 7 skeleton, Rule 42/43/44/45/53/54 citations, Item 6 exhibit indices, and signature blocks support fine-tuning entity-extraction, statutory-citation, and dollar-cap extraction models, and supply RAG sources for tools that answer questions about PUHCA 1935 practice.
Filter to records whose Item 1 narrative addresses retention of non-utility subsidiaries (often amendments to mid-1990s retention orders), then extract the named subsidiaries, lines of business, and any conditions imposed. Joining entities[] rows with the retention scope produces a system-by-system inventory of which registered holding companies were permitted to keep which non-utility businesses, and on what terms, immediately before PUHCA repeal.
For FERC books-and-records, centralized-service-company, and cross-subsidization questions, retrieve the POS AMC accessions that established the SEC predecessor authority. Cite the at-cost service-company conditions, inter-affiliate exhibit references, and approved-financing language to ground comments in FERC rulemakings or client advisories that explain how a current arrangement evolved from a pre-2006 SEC order.
Isolate the August 2005 to February 2006 cohort of POS AMC accessions filed after Energy Policy Act enactment and before the PUHCA repeal date. The Item 1 narratives in this terminal window concentrate transitional matters and short-horizon authorization extensions, and support research on how registered systems and SEC staff handled the final months of a sunsetting regime.
The Form POS AMC Files Dataset is available through three access modes: a JSON index API for metadata and container listings, a single archive download for the entire dataset, and per-container downloads referenced from the index. Because the dataset is closed (no new POS AMC filings after February 2006) and modest in size, downloading the full archive in one request is practical for most workflows.
Dataset Index JSON API: https://api.sec-api.io/datasets/form-pos-amc-files.json
This endpoint returns dataset-level metadata (name, description, last updated timestamp, earliest sample date, total records, total size, form types covered, container format, and file types) along with the full list of container files. Each container entry includes its key, size, records, updatedAt timestamp, and a direct downloadUrl. Use this index to discover which containers exist and to monitor which containers were updated in the most recent refresh run, so you can selectively re-download only changed containers. This endpoint does not require an API key.
1
{
2
"datasetId": "1f13365b-9ae0-699b-9226-2e2f20bd1d4c",
3
"datasetDownloadUrl": "https://api.sec-api.io/datasets/form-pos-amc-files.zip",
4
"name": "Form POS AMC Files Dataset",
5
"updatedAt": "2026-03-21T02:51:19.000Z",
6
"earliestSampleDate": "1994-01-01",
7
"totalRecords": 2775,
8
"totalSize": 15950570,
9
"formTypes": ["POS AMC"],
10
"containerFormat": "ZIP",
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"fileTypes": ["TXT", "JSON", "HTML"],
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"containers": [
13
{
14
"downloadUrl": "https://api.sec-api.io/datasets/form-pos-amc-files/2006/2006-02.zip",
15
"key": "2006/2006-02.zip",
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"size": 412938,
17
"records": 14,
18
"updatedAt": "2026-03-21T02:51:19.000Z"
19
}
20
]
21
}
Download Entire Dataset: https://api.sec-api.io/datasets/form-pos-amc-files.zip?token=YOUR_API_KEY
Returns the complete dataset as a single ZIP archive containing all POS AMC filings from inception through February 2006. Because the dataset is closed and compact, a one-time full download is the simplest way to obtain the complete corpus. This endpoint requires an SEC API key.
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curl -o form-pos-amc-files.zip \
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"https://api.sec-api.io/datasets/form-pos-amc-files.zip?token=YOUR_API_KEY"
Download Single Container: https://api.sec-api.io/datasets/form-pos-amc-files/2006/2006-02.zip?token=YOUR_API_KEY
Downloads one individual container file (typically a per-month ZIP) using the key returned by the index API. Use this when you only need filings from a specific period rather than the full archive. This endpoint requires an SEC API key, supplied either as a ?token= query parameter or via an Authorization header.
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curl -H "Authorization: YOUR_API_KEY" \
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-o 2006-02.zip \
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"https://api.sec-api.io/datasets/form-pos-amc-files/2006/2006-02.zip"
The dataset covers Form POS AMC, the post-effective amendment to Form U-1 (Application/Declaration) filed under the Public Utility Holding Company Act of 1935. It is a single-form dataset; only POS AMC accessions appear, and every record carries formType set to "POS AMC" and entities[].act set to "35".
One record is a single EDGAR submission of Form POS AMC, identified by its accession number and materialized as one accession-keyed folder containing a metadata.json descriptor plus the SGML-wrapped document parts (TXT and HTML) of the original submission. Image attachments such as scanned signature pages are excluded.
Coverage runs from January 1994, when EDGAR began accepting POS AMC filings electronically, through February 2006. The dataset is closed because Title XII of the Energy Policy Act of 2005 repealed PUHCA 1935 effective February 8, 2006, discontinuing the Form U-1 / POS AMC regime and transferring residual holding-company authority from the SEC to FERC under PUHCA 2005.
POS AMC was filed by registered public utility holding companies under Section 5 of PUHCA 1935 — companies that owned, directly or indirectly, 10% or more of the voting securities of an electric or gas utility and did not qualify for a Section 3 exemption. The filer of record was the registered top-tier or upper-tier holding company itself; operating utility subsidiaries, EWGs, and FUCOs were not POS AMC filers even when they were the economic beneficiaries of the underlying authorization.
POS AMC and POS AM share a similar label but sit under different statutes. POS AM is a post-effective amendment to a Securities Act of 1933 registration statement (S-1, S-3, S-11, F-1) filed by any issuer with an effective registration, and it is still active. POS AMC is a post-effective amendment to a PUHCA Application/Declaration filed only by registered public utility holding companies, and it ended in February 2006. A query for "post-effective amendments" without statute filtering will conflate the two.
The dataset is distributed as ZIP containers organized by year and month (YYYY/YYYY-MM.zip). Each accession folder inside a container holds one metadata.json plus the original EDGAR document parts as TXT and HTML files wrapped in EDGAR's SGML <DOCUMENT> envelope. The dataFiles[] array and linkToXbrl are structurally empty because POS AMC was never an XBRL-tagged form.
Group accessions by the entities[].fileNo value, formatted as 070-NNNNN. The 070- prefix is the file-number series the Commission assigned to filings under PUHCA Section 35, and multiple amendments to the same underlying U-1 docket share that file number while each carrying its own accession number. Reading the Item 1 narratives across accessions sharing a 070-NNNNN reconstructs how an authorized financing ceiling, money-pool roster, or non-utility retention scope was extended, increased, or narrowed over time.
Three access modes are supported: a public JSON index at https://api.sec-api.io/datasets/form-pos-amc-files.json that lists every container; a single full-archive download at https://api.sec-api.io/datasets/form-pos-amc-files.zip?token=YOUR_API_KEY; and per-container monthly ZIP downloads such as https://api.sec-api.io/datasets/form-pos-amc-files/2006/2006-02.zip?token=YOUR_API_KEY. Because the dataset is closed and compact, most workflows use the one-shot full-archive download.