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.

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