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  • Sipc-7, General Assessment Reconciliation Form (working Copy)

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I c le 6 of SIPC s bylaw s (s e e p ag e 4), le s s i tem 2c(9) on p ag e 2. B. Gro s s revenue s of su b si d iar ie s, exc e pt forei gn su b si d iar ie s, are re q uire d to b e in c lu d e d in SIPC N et O p eratin g Revenue s on a c ons oli d ate d b a sis exc e pt for a su b si d iar y f ilin g s e p arately a s ex p la ine d hereinaf ter. If a su b si d iar y wa s re q uire d to f ile a Rule 17a- 5 annual au d i te d st atement of in c ome s e p arately an d is als o a SIPC mem b e.

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Related content

SIPC-7 - SEC.gov
Feb 15, 2019 — instructions of the General Assessment Reconciliation (Form SIPC-7) for...
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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.

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.

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.

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.

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.

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.

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.

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.

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© Copyright 1997-2025
airSlate Legal Forms, Inc.
3720 Flowood Dr, Flowood, Mississippi 39232
Form Packages
Adoption
Bankruptcy
Contractors
Divorce
Home Sales
Employment
Identity Theft
Incorporation
Landlord Tenant
Living Trust
Name Change
Personal Planning
Small Business
Wills & Estates
Packages A-Z
Form Categories
Affidavits
Bankruptcy
Bill of Sale
Corporate - LLC
Divorce
Employment
Identity Theft
Internet Technology
Landlord Tenant
Living Wills
Name Change
Power of Attorney
Real Estate
Small Estates
Wills
All Forms
Forms A-Z
Form Library
Customer Service
Terms of Service
DMCA Policy
About Us
Blog
Affiliates
Contact Us
Privacy Notice
Delete My Account
Site Map
All Forms
Search all Forms
Industries
Forms in Spanish
Localized Forms
Legal Guides
Real Estate Handbook
All Guides
Prepared for You
Notarize
Incorporation services
Our Customers
For Consumers
For Small Business
For Attorneys
Our Sites
US Legal Forms
USLegal
FormsPass
pdfFiller
signNow
airSlate workflows
DocHub
Instapage
Social Media
Call us now toll free:
1-877-389-0141
As seen in:
  • USA Today logo picture
  • CBC News logo picture
  • LA Times logo picture
  • The Washington Post logo picture
  • AP logo picture
  • Forbes logo picture
© Copyright 1997-2025
airSlate Legal Forms, Inc.
3720 Flowood Dr, Flowood, Mississippi 39232