17 CFR Part 300 - RULES OF THE SECURITIES INVESTOR PROTECTION CORPORATION
Accounts of “Separate” Customers of SIPC Members (§§ 300.100 - 300.105)
Accounts Introduced by Other Brokers or Dealers (§§ 300.200 - 300.201)
Closeout or Completion of Open Contractual Commitments (§§ 300.300 - 300.400)
- § 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 Supplemental Report on SIPC Membership (§ 300.600)
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.