PART 300—RULES OF THE SECURITIES INVESTOR PROTECTION CORPORATION
Note:
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”).
Explanatory Note:
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.
Subject Groups
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Accounts Introduced by Other Brokers or Dealers
Accounts Introduced by Other Brokers or Dealers Sections 300.200–300.201 -
Accounts of “Separate” Customers of SIPC Members
Accounts of “Separate” Customers of SIPC Members Sections 300.100–300.105 -
Closeout or Completion of Open Contractual Commitments
Closeout or Completion of Open Contractual Commitments Sections 300.300–300.400 -
Rules Relating to Satisfaction of a “Claim for Cash” or a “Claim for Securities”
Rules Relating to Satisfaction of a “Claim for Cash” or a “Claim for Securities” Sections 300.500–300.503 -
Rules Relating to Supplemental Report on SIPC Membership
Rules Relating to Supplemental Report on SIPC Membership Section 300.600