17 C.F.R. § 300.101

Individual accounts

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(a) Except as otherwise provided in these rules, all accounts held with a member by a person in his own name, and those which under these rules are deemed his individual accounts, shall be combined so as to constitute a single account of a separate customer.

(b) An account held with a member by an agent or nominee for another person as a principal or beneficial owner shall, except as otherwise provided in these rules, be deemed to be an individual account of such principal or beneficial owner.

Notes of Decisions

Cited in 2 cases, 1998–2002 · leading case: Mishkin v. Siclari (In Re Adler, Coleman Clearing Corp.), 277 B.R. 520 (Bankr. S.D.N.Y. 2002).

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Mishkin v. Siclari (In Re Adler, Coleman Clearing Corp.), 277 B.R. 520 (Bankr. S.D.N.Y. 2002). “Claim Disallowance as Hanover Nominee 17 C.F.R. § 300.101 (b) states: An account held with a member by an agent or nominee for another person as a principal or beneficial owner shall, except as otherwise provided in these rules, be deemed to be an individual account of such…”

In Re Adler, Coleman Clearing Corp., 216 B.R. 719 (Bankr. S.D.N.Y. 1998). · cites it 2× “In addition, LSC argues that pursuant to 17 C.F.R. 300.101, all of LSC’s accounts “shall be combined so as to constitute a single account of a separate customer.”

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