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17 C.F.R. § 301.300a   Form 300–A, for summary of buy-ins or sell-outs of all open contractual commitments.

Title 17 - Commodity and Securities Exchanges

Title 17: Commodity and Securities Exchanges
PART 301—FORMS, SECURITIES INVESTOR PROTECTION CORPORATION
Forms for Closeout or Completion of Open Contractual Commitments

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§ 301.300a   Form 300–A, for summary of buy-ins or sell-outs of all open contractual commitments.

This form shall be filed as required by §300.303 of this chapter with the trustee in a proceeding under section 5 of the Act by a broker-dealer who executed transactions out of which arose open contractual commitments, as defined by §300.300(c) of this chapter, with the debtor in the proceeding. The form shall be used to summarize the buy-ins and sell-outs of those open contractual commitments and shall be accompanied by the forms described in §§301.300b and 301.300c.

Editorial Note:  For Federal Register citations affecting Form 300–A, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and on GPO Access.

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