Title 17

PART 301 Part 301 - Forms, Securities Investor Protection Corporation

PART 301 - FORMS, SECURITIES INVESTOR PROTECTION CORPORATION 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.

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.

17:4.0.1.1.34.0.153	SUBJGRP 153	Forms for Closeout or Completion of Open Contractual Commitments
17:4.0.1.1.34.0.153.1	SECTION 301.0-1	301.0-1 Availability of forms.
17:4.0.1.1.34.0.153.2	SECTION 301.300a	301.300a Form 300-A, for summary of buy-ins or sell-outs of all open contractual commitments.
17:4.0.1.1.34.0.153.3	SECTION 301.300b	301.300b Form 300-B, for report of all fails to deliver.
17:4.0.1.1.34.0.153.4	SECTION 301.300c	301.300c Form 300-C, for report of all fails to receive.