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Electronic Code of Federal Regulations

e-CFR data is current as of February 27, 2020

Title 17Chapter IIPart 300


TITLE 17—Commodity and Securities Exchanges

CHAPTER II—SECURITIES AND EXCHANGE COMMISSION (CONTINUED)

PART 300—RULES OF THE SECURITIES INVESTOR PROTECTION CORPORATION

rule

Accounts of “Separate” Customers of SIPC Members

§300.100
General.
§300.101
Individual accounts.
§300.102
Accounts held by executors, administrators, guardians, etc.
§300.103
Accounts held by a corporation, partnership or unincorporated association.
§300.104
Trust accounts.
§300.105
Joint accounts.

Accounts Introduced by Other Brokers or Dealers

§300.200
General.
§300.201
Accounts introduced by same or different broker or dealer.

Closeout or Completion of Open Contractual Commitments

§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”

§300.500
General.
§300.501
Claim for cash.
§300.502
Claim for securities.
§300.503
Voidable securities transactions.

Rules Relating to Supplemental Report on SIPC Membership

§300.600
Rules relating to supplemental report on SIPC membership.

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