What is the filing deadline for SIPC?

The SIPC 7 General Assessment Reconciliation is to be filed by all members of the Securities Investor Protection Corporation no later than 60 days after the fiscal year end of the SIPC Member.

Where do I file SIPC 7?

Can I use the FINRA Firm Gateway to file my SIPC-6 or SIPC-7? No. These forms must be filed directly with SIPC either by mail (Securities Investor Protection Corporation Mail Code: 8967 P.O. Box 7247 Philadelphia, PA 19170-0001) or by email at form sipc.org.

This form and the assessment payment is due 60 days after the end of the fiscal year. Retain the Working Copy of this form for a period of not less than 6 years, the latest 2 years in an easily accessible place. SECURITIES INVESTOR PROTECTION CORPORATION. General Assessment Reconciliation.

Is SIPC membership mandatory?

All brokerage firms that sell stocks or bonds to the investing public, or that clear such transactions, introducing or clearing firms respectively, are required to be members of SIPC.

What is the purpose of SIPC?

The Securities Investor Protection Corporation (SIPC) protects customers if their brokerage firm fails. Brokerage firm failures are rare. If it happens, SIPC protects the securities and cash in your brokerage account up to $500,000.

What is the SIPC assessment fee?

The new rate, up from the current flat $150 per year, is effective April 1. The Securities Investor Protection Corp. will raise member brokerage firm assessments to 0.25% of net operating revenue. The new rate, up from the current flat $150 per year, is effective April 1.

What does SIPC coverage cover?

SIPC protects against the loss of cash and securities such as stocks and bonds held by a customer at a financially-troubled SIPC-member brokerage firm. The limit of SIPC protection is $500,000, which includes a $250,000 limit for cash.

What is the difference between SIPC 6 and SIPC 7?

Forms SIPC 6 and SIPC 7 are required to be filed, with payments computed thereon to be due, based on the firm's fiscal year-end. Form SIPC 6 will cover the first six months of the firm's fiscal year; Form SIPC 7 will reconcile the cumulative fiscal-year report of SIPC gross revenue and payments.

Where do I file SIPC 7?

Can I use the FINRA Firm Gateway to file my SIPC-6 or SIPC-7? No. These forms must be filed directly with SIPC either by mail (Securities Investor Protection Corporation Mail Code: 8967 P.O. Box 7247 Philadelphia, PA 19170-0001) or by email at form sipc.org.

Get Sipc 7 Form

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