17 CFR 301.300a - Form 300-A, for summary of buy-ins or sell-outs of all open contractual commitments.

Regulations last checked for updates: May 20, 2024

Title 17 - Commodity and Securities Exchanges last revised: May 01, 2024

View all text of Part 301 [§ 301.0-1 - § 301.300c]

§ 301.300a - Form 300-A, for summary of buy-ins or sell-outs of all open contractual commitments.

This form shall be filed as required by § 300.303 of this chapter with the trustee in a proceeding under section 5 of the Act by a broker-dealer who executed transactions out of which arose open contractual commitments, as defined by § 300.300(c) of this chapter, with the debtor in the proceeding. The form shall be used to summarize the buy-ins and sell-outs of those open contractual commitments and shall be accompanied by the forms described in §§ 301.300b and 301.300c.

Editorial Note:For Federal Register citations affecting Form 300-A, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.govinfo.gov.

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.

cite as: 17 CFR 301.300a