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17 C.F.R. § 301.300b   Form 300–B, for report of all fails to deliver.

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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§ 301.300b   Form 300–B, for report of all fails to deliver.

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 report all the fails to deliver, as defined by §300.300(b) of this chapter, that were open on the filing date, as well as any subsequent closeouts. This form shall accompany the form described in §300.300a.

Editorial Note:  For Federal Register citations affecting Form 300–B, 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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