17 C.F.R. § 300.500
General
These rules will be applied in determining whether a securities transaction gives rise to a “claim for cash” or a “claim for securities” on the filing date of either a liquidation proceeding pursuant to the Securities Investor Protection Act (hereinafter referred to as “the Act”) or a direct payment procedure pursuant to section 10 of the Act.
Notes of Decisions
Cited in 8
cases, 1991–2004 · leading case: In Re Adler Coleman Clearing Corp., 195 B.R. 266 (Bankr. S.D.N.Y. 1996).
In Re Adler Coleman Clearing Corp., 195 B.R. 266 (Bankr. S.D.N.Y. 1996). “The principles developed in these decisions were codified by SIPC in the “Rules Relating to Satisfaction of a ‘Claim for Cash’ or a ‘Claim for Securities’”, 17 C.F.R. Part 300.500 to Part 300.503. These rules have been approved by the SEC and by statute are accorded the same…”
Sec. Inv. Prot. Corp. v. Stratton Oakmont, Inc., 229 B.R. 273 (Bankr. S.D.N.Y. 1999). “The principles developed in these decisions were codified by SIPC in the “Rules Relating to Satisfaction of a ‘Claim for Cash’ or a ‘Claim for Securities’ ”, 17 C.F.R. Part 300.500 to Part 300.503, see Adler, Coleman, 195 B.”
In Re AR Baron Co., Inc., 226 B.R. 790 (Bankr. S.D.N.Y. 1998). “Rule 502(b) provides that notwithstanding a customer’s order to sell securities, the customer still has a claim for those securities unless (1) the debtor has sent written confirmation of the sale or (2) the securities have become the subject of a completed executory contract…”
Mishkin v. Ensminger (In Re Adler, Coleman Clearing Corp.), 218 B.R. 689 (Bankr. S.D.N.Y. 1998). “§ 78fff-3(a); SIPC Rules, 17 C.F.R. §§ 300.500 through 300.503. The Motion to Dismiss Movants ask us to dismiss the Complaint under Fed.”
In re New Times Sec. Servs., Inc., 371 F.3d 68 (2d Cir. 2004). “the “Series , 500 Rules,” 17 C.F.R. §§ 300.500 -.503, in reaching this conclusion.”
In Re Investors Ctr., Inc., 129 B.R. 339 (Bankr. E.D.N.Y. 1991). “II In 1988 SIPC, pursuant to its rulemaking authority, promulgated the following rules respecting when a customer is entitled to cash in a liquidation proceeding and when he is entitled to securities: 17 C.F.R. § 300.500 — General These rules will be applied in determining…”
Sec. & Exch. Comm'n v. Goren, 206 F. Supp. 2d 344 (E.D.N.Y 2002). “15; 17 C.F.R. § 300.500 (2001). The SEC promulgated the Series 500 Rules to promote uniform satisfaction of customer claims “based upon the customer’s legitimate expectation of what the customer had in his .”
In Re Adler Coleman Clearing Corp., 211 B.R. 486 (Bankr. S.D.N.Y. 1997). “§ 78fff-3(a); SIPC Rules, 17 C.F.R. Part 300.500 to Part 300.503. Facts On February 27, 1995 (the “Filing Date”), the Honorable Loretta A.”
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