ML19022A292
| ML19022A292 | |
| Person / Time | |
|---|---|
| Issue date: | 01/31/2019 |
| From: | Eric Michel NRC/OGC |
| To: | |
| References | |
| Download: ML19022A292 (7) | |
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Updated January 2019 NRC PROHIBITED SECURITIES LIST NRC employees who are covered by the Prohibited Securities rule (including the employees spouse and minor children) may not own securities issued by an entity on this list, in any amount (5 CFR § 5801.102(a)).
Employees are reminded that the definition of securities for purposes of this restriction broadly encompasses all interests in debt or equity instruments, including (but not limited to) all types of common and preferred stock, bonds, debentures, and derivative security interests such as put and call options (see 5 CFR § 5801.102(c)(2)).
Employees are also reminded that ownership of securities issued by entities other than those on this list, while not outright prohibited, can still create conflicts of interest if the employee participates personally and substantially in an NRC matter that will directly and predictably affect his or her financial interests (18 U.S.C. § 208; 5 CFR § 2635.402). Always contact an Ethics counselor if you have questions regarding financial conflicts of interest.
Securities issued by any units of state or local governments on this list are only prohibited if the primary purpose of the security (e.g. bonds) is to finance the construction or operation of a nuclear reactor or low-level waste facility (5 CFR 5801.102(b)(2)). Bonds or other financial instruments issued for other purposes are not prohibited.
- 1. Nuclear Power Reactor Licensees (including parent corporations)
Alabama Power Company Allegheny Electric Cooperative, Inc.
Ameren Corporation American Electric Power Company, Inc.
Arizona Public Service Company Avangrid, Inc.
Calvert Cliffs Nuclear Power Plant, LLC Central Iowa Power Cooperative City of Austin, TX City of Dalton, GA City of Riverside Utilities Department Comanche Peak Power Company, LLC Connecticut Yankee Atomic Power Company Cooperative Energy Corn Belt Power Cooperative CPS Energy Dairyland Power Cooperative Dominion Energy, Inc.
Dominion Energy Nuclear Connecticut, Inc.
Dominion Energy Kewaunee Dominion Nuclear North Anna, LLC DTE Electric Company DTE Energy Company Duke Energy Carolinas, LLC Duke Energy Corporation Duke Energy Florida, LLC Duke Energy Progress LLC
Edison International El Paso Electric Company Emera Maine Energy Northwest EnergySolutions, LLC Entergy Arkansas, LLC Entergy Corporation Entergy Louisiana, LLC Energy Mississippi, LLC Entergy Nuclear Generation Company Entergy Nuclear Indian Point 2, LLC Entergy Nuclear Indian Point 3, LLC Entergy Nuclear Operations, Inc.
Entergy Nuclear Palisades, LLC Entergy Operations, Inc.
Evergy, Inc.
Eversource Energy Exelon Corporation Exelon FitzPatrick LLC Exelon Generation Company, LLC FirstEnergy Corporation FirstEnergy Nuclear Generation, LLC FirstEnergy Nuclear Operating Company Florida Municipal Power Agency Florida Power & Light Company Georgia Power Company Great Plains Energy Green Mountain Power Corporation Hudson Light & Power Department, MA Indiana Michigan Power Company Kansas City Power & Light Company Kansas Gas and Electric Company Kansas Electric Power Cooperative LaCrosse Solutions, LLC Long Island Power Authority Los Angeles Department of Water & Power Luminant Generation Company, LLC Maine Yankee Atomic Power Company Massachusetts Municipal Wholesale Electric Company MEAG Power SPVM, LLC MEAG Power SPVJ, LLC MEAP Power, SPVP, LLC MidAmerican Energy Company Municipal Electric Authority of Georgia Nebraska Public Power District NextEra Energy Duane Arnold, LLC NextEra Energy Point Beach, LLC NextEra Energy Seabrook, LLC NextEra Energy, Inc.
Nine Mile Point Nuclear Station, LLC North Carolina Electric Membership Corporation
North Carolina Municipal Power Agency Northern States Power Company (NSP-Minnesota)
NorthStar Group Services, Inc.
NorthStar Vermont Yankee, LLC NRG Energy, Incorporated NRG South Texas LP Nuclear Innovation North America, LLC (also known as NINA)
Oglethorpe Power Corporation Old Dominion Electric Cooperative Omaha Public Power District Ohio Edison Company Orlando Utilities Commission, FL Pacific Gas & Electric Company PG&E Corporation Piedmont Municipal Power Agency Pinnacle West Capital Corporation Progress Energy Carolinas, Inc.
Public Service Company of New Mexico (also known as PNM)
Public Service Enterprise Group, Inc. (also known as PSEG)
PSEG Power, LLC PSEG Nuclear, LLC R.E. Ginna Nuclear Power Plant, LLC Riverstone Holdings, LLC Rockwell Holdco, Incorporated Salt River Project Agricultural Improvement & Power District San Diego Gas & Electric Company SCANA Corporation Sempra Energy Corporation South Carolina Electric & Gas Company South Carolina Public Service Authority (Santee Cooper)
Southern California Edison Company Southern California Public Power Authority Southern Company Southern Nuclear Operating Company STP Nuclear Operating Company (STPNOC)
Susquehanna Nuclear, LLC System Energy Resources, Inc.
Taunton Municipal Lighting Plant, MA Tennessee Valley Authority Toledo Edison Company Union Electric Company (doing business as Ameren Missouri)
Virginia Electric & Power Company Vistra Energy Corporation Vistra Operations Company, LLC Westar Energy Wolf Creek Nuclear Operating Corporation Xcel Energy, Incorporated Yankee Atomic Electric Company Zion Solutions, LLC
- 2. Manufacturers/Vendors of Power or Test Reactors AECL Technologies, Inc.
AREVA ASEA Brown Boveri BWXT Nuclear Operations Group BNFL, Ltd.
British Nuclear Group Framatome General Atomics General Electric Company GE-Hitachi Nuclear Energy (also known as GEH)
Hitachi Ltd.
IHI Corporation Korea Electric Power Corporation (also known as KEPCO)
Korea Hydro & Nuclear Power Company McDermott International, Incorporated Mitsubishi Heavy Industries, Ltd.
NuScale Power Toshiba Corporation Washington Group International, Incorporated Westinghouse Electric Company WECTEC
- 3. Architectural Engineering Companies BWXT Nuclear Energy, Inc.
Bechtel Black & Veatch Brown Boveri Burns & Roe C.F. Braun Chicago Bridge & Iron Company Duke Engineering & Services Dravo Corporation Ensearch Fluor Gilbert Associates/Commonwealth Companies Parsons Corporation Sargeant & Lundy Southern Services Company
- 4. Fuel Cycle-Related Applicants, Certificate of Compliance Holders, and Licensees Alaron Corporation American Nuclear Corporation Applied Health Physics, Incorporated Areva AREVA Enrichment Services, LLC AUC Holdings AUC LLC Azarga Uranium Corporation BWXT Nuclear Operations Group Inc.
BWXT Technologies Inc.
Brookfield Asset Management Brookfield WEC Holdings, Inc.
Cameco Centrus Energy Corporation (Formerly USEC Incorporated)
Crow Butte Resources, Incorporated Diversified Scientific Solutions, Incorporated Edlow International Company Energy Capital Partners II, LLC EnergySolutions Environmental Properties Management, LLC Fansteel, Incorporated (FMRI, Incorporated)
Foster Wheeler Framatome Inc.
General Electric GE-Hitachi Global Laser Enrichment, LLC General Nuclear Systems, Incorporated Global Nuclear Fuel - Americas, LLC Holtec International Homestake Mining Company Honeywell International, Incorporated Hydro Resources, Incorporated Interim Storage Partners LLC International Isotopes, Incorporated Kennecott Uranium Corporation Laramide Resources Ltd Lightbridge Corporation Lost Creek, ISR, LLC MKS Instruments, Inc.
Nordion (Canada) Inc.
NAC International Nuclear Fuel Services, Inc.
NuFuels, Inc.
Northwest Medical Isotopes NorthStar Orano Pathfinder Mines Corporation Power Resources, Incorporated Powertech (USA), Incorporated Radiac Research Corporation Rare Element Resources RIO Algom Corporation Rockwell Holdco, Incorporated Scientific Ecology Group, Incorporated Shieldalloy Metallurgical Corporation Shine Medical Technologies Strata Energy, Incorporated The Shaw Group TN Americas LLC Umetco Minerals Corporation UNC Mining and Milling
Ur-Energy Uranerz Energy Corporation Uranium Energy Corporation Uranium One Americas, Incorporated Uranium One USA Uranium Resources Urenco U. S. Ecology, Inc.
Valhi, Incorporated Waste Control Specialists, LLC Western Nuclear, Incorporated
- 5. Energy or Utility Sector Investment Funds*
American Century Utilities Inv.
Fidelity Advisor Utilities Fidelity MSCI Utilities Index ETF Fidelity Select Utilities Portfolio Fidelity Telecom and Utilities First Trust Utilities AlphaDEX Fund First Trust Utilities Select Portfolio Franklin Utilities Gabelli Utility Fund Gabelli Utility Trust Global X Uranium ETF Guggenheim Utilities Portfolio Series Guggenheim S&P 500 Equal Weight Utilities ETF Hennessy Gas Utility Fund ICON Utilities John Hancock Multifactor Utilities ETF iShares Edge MSCI Multifactor Utilities ETF iShares US Utilities ETF iShares Global Utilities iShares Global Nuclear Energy Index Fund MFS Utilities PowerShares DWA Utilities Momentum ETF ProFunds Utilities UltraSector ProShares Ultra Utilities Prudential Jennison Utility Putnam Global Utilities Reaves Utilities ETF Rydex Utilities SNet Nuclear Energy Index SSgA Utilities Index Fund Utilities Select Sector SPDR VanEck Vectors Uranium+Nuclear Energy ETF Vanguard Utilities ETF Vanguard Utilities Index Wells Fargo Utility & Telecom
- This list is compiled based on a recent Office of the General Counsel review of energy and utility mutual fund reports and prospectuses which show that at least 25% of the assets of each fund are entities in the first four categories of this list (5 CFR 5801.102.(b)(8)).
If you believe an entity or fund is missing or has been incorrectly placed on this list please contact Ethics.Resource@nrc.gov.