17 CFR § 301.300c - Form 300-C, for report of all fails to receive.

---
identifier: "/us/cfr/t17/s301.300c"
source: "ecfr"
legal_status: "authoritative_unofficial"
title: "17 CFR § 301.300c - Form 300-C, for report of all fails to receive."
title_number: 17
title_name: "Commodity and Securities Exchanges"
section_number: "301.300c"
section_name: "Form 300-C, for report of all fails to receive."
chapter_name: "SECURITIES AND EXCHANGE COMMISSION"
part_number: "301"
part_name: "FORMS, SECURITIES INVESTOR PROTECTION CORPORATION"
positive_law: false
currency: "2026-04-05"
last_updated: "2026-04-05"
format_version: "1.1.0"
generator: "[email protected]"
authority: "Sec. 3, 84 Stat. 1636 (15 U.S.C. 78ccc), as amended by sec. 3, Pub. L. 95-283, 92 Stat. 249."
regulatory_source: "44 FR 21213, Apr. 9, 1979, unless otherwise noted."
cfr_part: "301"
---


# 301.300c Form 300-C, for report of all fails to receive.

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 receive, as defied by § 300.300(a) 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.

For  citations affecting Form 300-C, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at