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.

ACCOUNTS INTRODUCED BY OTHER BROKERS OR DEALERS

• § 300.200 - General.

• § 300.201 - Accounts introduced by same or different broker or dealer.

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.

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.

RULES RELATING TO SUPPLEMENTAL REPORT ON SIPC MEMBERSHIP

• § 300.600 - Rules relating to supplemental report on SIPC membership.