Part 300. PART 300—RULES OF THE SECURITIES INVESTOR PROTECTION CORPORATION

• Accounts of “Separate” Customers of SIPC Members

  • SECTION § 300.100 - General.
  • SECTION § 300.101 - Individual accounts.
  • SECTION § 300.102 - Accounts held by executors, administrators, guardians, etc.
  • SECTION § 300.103 - Accounts held by a corporation, partnership or unincorporated association.
  • SECTION § 300.104 - Trust accounts.
  • SECTION § 300.105 - Joint accounts.

• Accounts Introduced by Other Brokers or Dealers

  • SECTION § 300.200 - General.
  • SECTION § 300.201 - Accounts introduced by same or different broker or dealer.

• Closeout or Completion of Open Contractual Commitments

  • SECTION § 300.300 - Definitions.
  • SECTION § 300.301 - Contracts to be closed out or completed.
  • SECTION § 300.302 - Mechanics of closeout or completion.
  • SECTION § 300.303 - Report to trustee.
  • SECTION § 300.304 - Retained rights of brokers or dealers.
  • SECTION § 300.305 - Excluded contracts.
  • SECTION § 300.306 - Completion or closeout pursuant to SIPC direction.
  • SECTION § 300.307 - Completion with cash or securities of customer.
  • SECTION § 300.400 - Satisfaction of customer claims for standardized options.

• Rules Relating to Satisfaction of a “Claim for Cash” or a “Claim for Securities”

  • SECTION § 300.500 - General.
  • SECTION § 300.501 - Claim for cash.
  • SECTION § 300.502 - Claim for securities.
  • SECTION § 300.503 - Voidable securities transactions.

• Rules Relating to Supplemental Report on SIPC Membership

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