17 CFR 300.100 - General.

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There is 1 rule appearing in the Federal Register for 17 CFR 300. View below or at eCFR (GPOAccess)
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§ 300.100 General.
(a) For the purpose of sections 9(a)(2) and 16(12) of the Securities Investor Protection Act (hereinafter referred to as “the Act”), these rules will be applied in determining what accounts held by a person with a member of SIPC (hereinafter called a “member”) are to be deemed accounts held in a capacity other than his individual capacity.
(b) Accounts held by a customer in different capacities, as specified by these rules, shall be deemed to be accounts of “separate” customers.
(c) A “person” as used in these rules includes, but is not limited to, an individual, a corporation, a partnership, an association, a joint stock company, a trust, an unincorporated organization, or a government or political subdivision thereof.
(d) The burden shall be upon the customer to establish each capacity in which he claims to hold accounts separate from his individual capacity.

Title 17 published on 2013-04-01

The following are only the Rules published in the Federal Register after the published date of Title 17.

For a complete list of all Rules, Proposed Rules, and Notices view the Rulemaking tab.

  • 2014-01-16; vol. 79 # 11 - Thursday, January 16, 2014
    1. 79 FR 2779 - Rules of the Securities Investor Protection Corporation
      GPO FDSys XML | Text
      SECURITIES AND EXCHANGE COMMISSION
      Final rule.
      Effective Date: February 18, 2014.
      17 CFR Part 300

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United States Code
Statutes at Large

Title 17 published on 2013-04-01

The following are ALL rules, proposed rules, and notices (chronologically) published in the Federal Register relating to 17 CFR 300 after this date.

  • 2014-01-16; vol. 79 # 11 - Thursday, January 16, 2014
    1. 79 FR 2779 - Rules of the Securities Investor Protection Corporation
      GPO FDSys XML | Text
      SECURITIES AND EXCHANGE COMMISSION
      Final rule.
      Effective Date: February 18, 2014.
      17 CFR Part 300