Regulatory Alerts2016-03-17 | 2016-06041Added · Updated
Securities Investor Protection Corporation
The Securities and Exchange Commission approved a proposed rule change filed by the Securities Investor Protection Corporation to add SIPC Rule 600. This new rule prescribes the form and content of the supplemental report on SIPC membership that broker-dealers must file with SIPC. The rule requires an independent public accountant to perform agreed-upon procedures on assessment reconciliation forms or exclusion certifications, with a filing deadline of 60 days after the fiscal year end.
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