Code of Federal Regulations (alpha)

CFR /  Title 17  /  Part 300  /  Sec. 300.201 Accounts introduced by same or different broker or dealer.

All accounts of a person which are introduced by the same broker or dealer shall be combined and protected as the single account of a separate customer, unless such accounts are maintained in different capacities as specified in Secs. 300.100 through 300.105; accounts introduced by different brokers or dealers shall be protected separately.

Closeout or Completion of Open Contractual Commitments

Authority: Sec. 3, 6(d), Pub. L. 91-598, 84 Stat. 1636 (15 U.S.C. 78ccc, 78fff(d)), as amended by secs. 3, 5, 9, Pub. L. 95-283, 92 Stat. 249.

Source: Sections 300.300 through 300.307 appear at 44 FR 21211, Apr. 9, 1979, unless otherwise noted.