17 CFR Part 300 - RULES OF THE SECURITIES INVESTOR PROTECTION CORPORATION
- Accounts of “Separate” Customers of SIPC Members
- Accounts Introduced by Other Brokers or Dealers
Closeout or Completion of Open Contractual Commitments
Authority:Source:Sections 300.300 through 300.307 appear at 44 FR 21211, Apr. 9, 1979, unless otherwise noted.
- § 300.300 — Definitions.
- § 300.301 — Contracts to be closed out or completed.
- § 300.302 — Mechanics of closeout or completion.
- § 300.303 — Report to trustee.
- § 300.304 — Retained rights of brokers or dealers.
- § 300.305 — Excluded contracts.
- § 300.306 — Completion or closeout pursuant to SIPC direction.
- § 300.307 — Completion with cash or securities of customer.
- § 300.400 — Satisfaction of customer claims for standardized options.
Rules Relating to Satisfaction of a “Claim for Cash” or a “Claim for Securities”
Source:Sections 300.500 through 300.503 appear at 53 FR 10369, Mar. 31, 1988, unless otherwise noted.
44 FR 5077, Jan. 25, 1979, unless otherwise noted.
The numbers to the right of the decimal points correspond with the respective rule numbers of the rules of the Securities Investor Protection Corporation (hereinafter referred to as “SIPC”).
Pursuant to section 3(e)(2)(D) of the Securities Investor Protection Act of 1970 (hereinafter referred to as “the Act”), the Securities and Exchange Commission (hereinafter referred to as “the Commission”) shall approve a proposed rule change submitted by the Securities Investor Protection Corporation if it finds that such proposed rule change is in the public interest and is consistent with the purposes of the Act, and any proposed rule change so approved shall be given force and effect as if promulgated by the Commission. The rules of this part 300 have been so approved.
Title 17 published on 2014-04-01
no entries appear in the Federal Register after this date.