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 300-B, 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 301.300b