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Code of Federal Regulations (Last Updated: May 6, 2024) |
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Title 17 - Commodity and Securities Exchanges |
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Chapter II - Securities and Exchange Commission |
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Part 300 - Rules of the Securities Investor Protection Corporation |
| 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. |
| Rules Relating to Supplemental Report on SIPC Membership |
| § 300.600 - Rules relating to supplemental report on SIPC membership. |
| Accounts Introduced by Other Brokers or Dealers |
| § 300.200 - General. |
| § 300.201 - Accounts introduced by same or different broker or dealer. |
| 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. |
| 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. |