Regulatory Alerts2015-11-04 | 2015-27921Added · Updated
Securities Investor Protection Corporation Proposed Rules on Supplemental Reports
The Securities and Exchange Commission published proposed rules filed by the Securities Investor Protection Corporation to establish the SIPC Series 600 Rules regarding supplemental membership reports. These rules prescribe the specific information, format, and agreed-upon audit procedures that broker-dealers must include in their supplemental reports to SIPC. The proposal also exempts broker-dealers with total revenues of $500,000 or less from filing these reports and sets a 60-day deadline for submission after the fiscal year end.
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