§ 301.300a. Form 300-A, for summary of buy-ins or sell-outs of all open contractual commitments.
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/us/cfr/t17/s§ 301.300a·A research copy — for the controlling text, always check the official state or federal source. Not legal advice.
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.