17 CFR 301.300a
§ 301.300a Form 300-A, for summary of buy-ins or sell-outs of all open contractual commitments.
United States · 17 CFR — Commodity and Securities Exchanges · Status: effective
Cite this
- Citation
- 17 CFR 301.300a, § 301.300a Form 300-A, for summary of buy-ins or sell-outs of all open contractual commitments, United States, version 1 as recorded 2026-07-09, yourstate.us, https://yourstate.us/provision/70252
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Full text
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.
Legislative history
This is a federal regulation, adopted through agency rulemaking under the Administrative Procedure Act — not enacted by a recorded vote of Congress.