§78hhh Examining Authority Functions

Summary

Members of SIPC must give their examining authority—or a collection agent if one was named under section 78iii(a)—the information SIPC needs to figure assessments under section 78ddd. That can include reports about gross revenues from the securities business (and what makes up those revenues), transactions, customer accounts, net capital used, and other activities. The examining authority or collection agent must send all or part of that information to SIPC as SIPC’s bylaws or rules require. Filings made under this rule are not treated as filings under section 78r.