Source: https://www.law.cornell.edu/cfr/text/17/300.303
Timestamp: 2017-05-01 00:48:10
Document Index: 482595195

Matched Legal Cases: ['art 300', '§ 300', '§ 301', 'art 300', 'art 300', 'art 300']

17 CFR 300.303 - Report to trustee. | US Law | LII / Legal Information Institute
CFR › Title 17 › Chapter II › Part 300 › Section 300.303 17 CFR 300.303 - Report to trustee.
§ 300.303 Report to trustee.
Promptly upon the expiration of 30 calendar days after the filing date, or if by the expiration of such 30-day period notice pursuant to section 8(a) of the Act of the commencement of proceedings has not been published, then as soon as practicable after publication of such notice, a broker or dealer who had executed transactions in securities out of which arose open contractual commitments with the debtor shall furnish to the trustee such information with respect to the buy-in, sell-out or other status of open contractual commitments as called for by Forms 300-A, B and C ( §§ 301.300a-301.300c of this chapter) including appropriate supporting documentation and schedules.
Title 17 published on 14-Apr-2017 03:30The following are ALL rules, proposed rules, and notices (chronologically) published in the Federal Register relating to 17 CFR Part 300 after this date.2016-03-17; vol. 81 # 52 - Thursday, March 17, 201681 FR 14372 - Securities Investor Protection Corporation
2015-11-04; vol. 80 # 213 - Wednesday, November 4, 201580 FR 68286 - Securities Investor Protection Corporation
2014-01-16; vol. 79 # 11 - Thursday, January 16, 201479 FR 2779 - Rules of the Securities Investor Protection Corporation
typeregulations.gov FR Doc.2014-00556 RIN File No.SIPC-2012-01 Release No.SIPA-172 SECURITIES AND EXCHANGE COMMISSION Final rule. Effective Date: February 18, 2014. 17 CFR Part 300 SummaryThe Securities and Exchange Commission (“Commission”) is approving a proposed rule change filed by the Securities Investor Protection Corporation (“SIPC”). The proposed rule change amends SIPC Rule 400 (“Rule 400”), entitled “Rules Relating to Satisfaction of Customer Claims for Standardized Options,” which relates to the satisfaction of customer claims for standardized options under the Securities Investor Protection Act of 1970 (“SIPA”). Because SIPC rules have the force and effect as if promulgated by the Commission, the rules are published in Title 17 of the Code of Federal Regulations, where the rule change will be reflected.
2013-11-05; vol. 78 # 214 - Tuesday, November 5, 201378 FR 66318 - Securities Investor Protection Corporation
typeregulations.gov FR Doc.2013-26165 RIN Release No.SIPA-171 File No.SIPC-2012-01 SECURITIES AND EXCHANGE COMMISSION Proposed rule. Comments are to be received on or before November 26, 2013. 17 CFR Part 300 SummaryThe Securities Investor Protection Corporation (“SIPC”) filed a proposed rule change with the Securities and Exchange Commission (“Commission”). The proposed rule change amends SIPC Rule 400, entitled “Rules Relating to Satisfaction of Customer Claims for Standardized Options,” which relates to the satisfaction of customer claims for standardized options under the Securities Investor Protection Act of 1970 (“SIPA”). The Commission is publishing the proposed rule change for public comment. Because SIPC rules have the force and effect as if promulgated by the Commission, those rules are published in Title 17 of the Code of Federal Regulations.