Title 17

PART 300

Part 300 - Rules Of The Securities Investor Protection Corporation

PART 300 - RULES OF THE SECURITIES INVESTOR PROTECTION CORPORATION Authority:15 U.S.C. 78ccc. Source:44 FR 5077, Jan. 25, 1979, unless otherwise noted. 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.

17:4.0.1.1.33.0.148SUBJGRP 148
   Accounts of “Separate” Customers of SIPC Members
17:4.0.1.1.33.0.148.1SECTION 300.100
   300.100 General.
17:4.0.1.1.33.0.148.2SECTION 300.101
   300.101 Individual accounts.
17:4.0.1.1.33.0.148.3SECTION 300.102
   300.102 Accounts held by executors, administrators, guardians, etc.
17:4.0.1.1.33.0.148.4SECTION 300.103
   300.103 Accounts held by a corporation, partnership or unincorporated association.
17:4.0.1.1.33.0.148.5SECTION 300.104
   300.104 Trust accounts.
17:4.0.1.1.33.0.148.6SECTION 300.105
   300.105 Joint accounts.
17:4.0.1.1.33.0.149SUBJGRP 149
   Accounts Introduced by Other Brokers or Dealers
17:4.0.1.1.33.0.149.7SECTION 300.200
   300.200 General.
17:4.0.1.1.33.0.149.8SECTION 300.201
   300.201 Accounts introduced by same or different broker or dealer.
17:4.0.1.1.33.0.150SUBJGRP 150
   Closeout or Completion of Open Contractual Commitments
17:4.0.1.1.33.0.150.9SECTION 300.300
   300.300 Definitions.
17:4.0.1.1.33.0.150.10SECTION 300.301
   300.301 Contracts to be closed out or completed.
17:4.0.1.1.33.0.150.11SECTION 300.302
   300.302 Mechanics of closeout or completion.
17:4.0.1.1.33.0.150.12SECTION 300.303
   300.303 Report to trustee.
17:4.0.1.1.33.0.150.13SECTION 300.304
   300.304 Retained rights of brokers or dealers.
17:4.0.1.1.33.0.150.14SECTION 300.305
   300.305 Excluded contracts.
17:4.0.1.1.33.0.150.15SECTION 300.306
   300.306 Completion or closeout pursuant to SIPC direction.
17:4.0.1.1.33.0.150.16SECTION 300.307
   300.307 Completion with cash or securities of customer.
17:4.0.1.1.33.0.150.17SECTION 300.400
   300.400 Satisfaction of customer claims for standardized options.
17:4.0.1.1.33.0.151SUBJGRP 151
   Rules Relating to Satisfaction of a “Claim for Cash” or a “Claim for Securities”
17:4.0.1.1.33.0.151.18SECTION 300.500
   300.500 General.
17:4.0.1.1.33.0.151.19SECTION 300.501
   300.501 Claim for cash.
17:4.0.1.1.33.0.151.20SECTION 300.502
   300.502 Claim for securities.
17:4.0.1.1.33.0.151.21SECTION 300.503
   300.503 Voidable securities transactions.
17:4.0.1.1.33.0.152SUBJGRP 152
   Rules Relating to Supplemental Report on SIPC Membership
17:4.0.1.1.33.0.152.22SECTION 300.600
   300.600 Rules relating to supplemental report on SIPC membership.