17 C.F.R. PART 301—FORMS, SECURITIES INVESTOR PROTECTION CORPORATION
Title 17 - Commodity and Securities Exchanges
Authority: Sec. 3, 84 Stat. 1636 (15 U.S.C. 78ccc), as amended by sec. 3, Pub. L. 95–283, 92 Stat. 249.
Source: 44 FR 21213, Apr. 9, 1979, unless otherwise noted.
Note: Pursuant to section 3(e)(2)(D) of the Securities Investor Protection Act of 1970 (the “Act”), the Securities and Exchange Commission (“Commission”) shall approve a proposed rule change submitted by the Securities Investor Protection Corporation (“SIPC”) if the Commission finds the rule change is in the public interest and is consistent with the purposes of the Act. Any rule change so approved shall be given force and effect as if promulgated by the Commission. The forms described in this part have been so approved. The forms prescribed for use under the Securities Investor Protection Act of 1970, as amended, (the “Act”) and under part 300 of this chapter are identified and described in this part. Copies of these forms may be obtained upon request to, as appropriate, the Securities Investor Protection Corporation (“SIPC”) at 900 Seventeenth Street, NW., Washington, DC 20006, or the trustee appointed in a liquidation proceeding under section 5 of the Act. 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 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 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 receive, as defied by §300.300(a) 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
Title 17: Commodity and Securities Exchanges
PART 301—FORMS, SECURITIES INVESTOR PROTECTION CORPORATION
Section Contents
§ 301.0-1 Availability of forms.
Forms for Closeout or Completion of Open Contractual Commitments
§ 301.300a Form 300–A, for summary of buy-ins or sell-outs of all open contractual commitments.
§ 301.300b Form 300–B, for report of all fails to deliver.
§ 301.300c Form 300–C, for report of all fails to receive.
§ 301.0-1 Availability of forms.
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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.
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§ 301.300b Form 300–B, for report of all fails to deliver.
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§ 301.300c Form 300–C, for report of all fails to receive.
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