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TITLE 17 - COMMODITY AND SECURITIES EXCHANGES
CHAPTER II - SECURITIES AND EXCHANGE COMMISSION
PART 301 - FORMS, SECURITIES INVESTOR PROTECTION CORPORATION
301.300b - Form 300B, for report of all fails to deliver.
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 report all the fails to deliver, as defined by 300.300(b) of this chapter, that were open on the filing date, as well as any subsequent closeouts. This form shall accompany the form described in 300.300a.
Editorial Note: For Federal Register citations affecting Form 300B, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and on GPO Access.
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