Found inside – Page 70... SIPC Policies to Investors : Report to the Ranking Minority Member, ... with our recommendation that SIPC require any statement about SIPC membership to ... Found inside – Page 525as ( 4 ) ( i ) The broker or dealer must file with SIPC a report on the SIPC annual general assessment reconciliation or exclusion from membership forms ... Found inside – Page 110SIPC has issued two letters regarding the member assessment, ... This requirement applies to brokerdealers who are not exempt from the audit requirement of ... Found inside – Page 1176Every broker - dealer that is a member of SIPC must file this form annually . The Commission proposes to amend Rule 17a - 5 to require that broker - dealers ... Found inside – Page 70... they disagreed with our recommendation that SIPC require any statement about SIPC membership to include information about the fact that SIPC does not ... Found inside – Page 167ELIGIBILITY FOR AND EFFECT OF MEMBERSHIP IN SIPC ( 1 ) Any broker - dealer ... the brokerdealer is exempted from such membership requirement under rules or ... Found inside – Page 2228SIPC is not an insurance company . It was conceived and created as a private , non - profit , industry - funded membership corporation which would work ... Found inside – Page 498Comparison of SIPC and FDIC Insurance In 1970 , Congress adopted the ... 2 / As noted above , SIPC protects only customers of SIPC member broker - dealers . Found inside – Page 130SIPC adds to, deletes from, and amends these regulations from time to time by ... 33: Exclusions and Exemptions from Membership in SIPC Section 3 (15 USC ... Found inside – Page 107... in 1970 and established SIPC to protect customers of SIPC member broker - dealers for the ... Congress mandated clear membership requirements for SIPC . Found inside – Page 284Each member must also identify its SIPC membership in promotional material ... of member broker - dealers modernized , and more stringent requirements for ... Found inside – Page 23SIPC is a non - profit membership corporation of which all registered ... The Commission may require SIPC to adopt , amend , or repeal any by - law or ... Found inside – Page 385SIPC may also by bylaw prescribe such minimal requirements as it considers necessary and appropriate to require a member of SIPC to provide public notice of ... Found inside – Page 6514 SIPC encourages its members to distribute this booklet to their ... to require a member of SIPC to provide public notice of its membership in SIPC . Found inside – Page 84... of the Act - All existing exemptions from SIPC membership for persons in the ... membership exemptions , extends the mandatory membership requirement to ... Found inside – Page 309... memon the status of the membership of bership was consistent with income ... or ported in Form SIPC - 7 with supportexclusion from membership form for ... Found inside – Page 136As a resulting organization ) to satisfy margin requirements for those ... SIPC Membership Department at ( 202 ) 371-8300 , or write to SIPC Mem You should ... Found inside – Page 195PROPOSAL AS TO ADVERTISING SIPC MEMBERSHIP The National Association of ... to require , if it wishes , publicizing the fact of SIPC membership by SIPC ... Assesses the operations of the Securities Investor Protection Corp. (SIPC), established in 1970. Found inside – Page 19SIPC may also by bylaw prescribe such minimal requirements as it considers necessary and appropriate to require a member of SIPC to provide public notice of ... Found inside – Page 3541 ) Any person who is a broker , dealer , or member of a national securities exchange and who is ... conditions and upon such terms as SIPC shall require . Found inside – Page 30-532Proposed paragraph ( b ) ( 6 ) , in contrast , would require disclosure of deferred sales loads actually incurred at the time of sale . 68 SIPC is a private - sector , nonprofit membership corporation that Congress created under the Securities ... Found inside – Page 36It is apparent that while SIPC membership has increased dramatically during The ... the financial responsibility rules which require appropriate 1986 . Found inside – Page 447The supplemental report shall cover the SIPC annual general assessment reconciliation or exclusion from membership forms not previously reported on under ... Found inside – Page 16Many of the firms were also concerned about a requirement to join SIPC if they were required to convert to 15 ( b ) registration . Found inside – Page 28416 Each member must also identify its SIPC membership in promotional ... of member broker - dealers modernized , and more stringent requirements for entry ... Found inside – Page 441amounts , and name of SIPC collection ( A ) Computer software incorrectly ... ( ii ) If exclusion from membership was year 1900 or another incorrect year ... Found inside – Page 647SIPC may also by bylaw prescribe such minimal requirements as it ... to require a member of SIPC to provide public notice of its membership in SIPC . Found inside – Page 647SIPC may also by bylaw prescribe such minimal requirements as it ... to require a member of SIPC to provide public notice of its membership in SIPC . Found inside – Page 2428If the only selfregulatory organization of which a member of SIPC is a member or ... for the member or may require that payments be made directly to SIPC . Found inside – Page 74... in which a SIPC member may advertise the fact of its membership in SIPC . ... have authority to require members of SIPC to identify such membership . Found inside – Page 537sions of section 4 , no member of SIPC shall have any liability under ... to require member of SIPC to provide public notice of its membership in SIPC . Found inside – Page 1639( 1 ) Any person who is a broker , dealer , or member of a national securities exchange and who is excluded from membership in SIPC under subsection ( a ) may ... Found inside – Page 204SIPC would like to make a few introductory comments about the Securities Investor Protection ... Congress mandated clear membership requirements for SIPC . Found inside – Page 1496SIPC may also by bylaw prescribe such minimal requirements as it ... to require a member of SIPC to provide public notice of its membership in SIPC . Found inside – Page 134SIPC may also by bylaw prescribe such minimal requirements as it ... to require a member of SIPC to provide pub‐lic notice of its membership in SIPC. Found inside – Page 647SIPC may also by bylaw prescribe such minimal requirements as it ... to require a member of SIPC to provide public notice of its membership in SIPC . Found inside – Page 1319SIPC may also by bylaw prescribe such minimal requirements as it ... to require a member of SIPC to provide public notice of its membership in SIPC . Found inside – Page 1322Each member of SIPC shall pay to SIPC , or the collection agent for SIPC ... be made pursuant to such paragraph upon a member which require payments during ... Found inside – Page 577SIPC may also by bylaw prescribe such minimal requirements as it considers necessary and appropriate to require a member of SIPC to provide public notice of ... Found inside – Page 531SIPC may also by bylaw prescribe such minimal requirements as it considers necessary and appropriate to require a member of SIPC to provide public notice of ...
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