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SIPC Reference Documents

SIPC and Its Accountability to American Investors - Click here for presentation.

  • President Nixon’s Statement on Signing SIPA of 1970“I AM SIGNING today the Securities Investor Protection Act of 1970. This legislation establishes the Securities Investor Protection Corporation (SIPC), a private nonprofit corporation, which will insure the securities and cash left with brokerage firms…”
  • FINRA – Investor Alert – If a Brokerage Firm Closes Its Doors – SIPC insurance comes into play in those rare cases of firm failure where customer assets are missing because of theft or fraud.”
  • SIFMA/SIPC/NASAA – Understanding your Brokerage Account Statements“In the unlikely event your brokerage firm fails, you will need to prove that cash and/or securities are owed to you. This is easily done with a copy of your most recent statement…
  • 2011 SEC SIPC Audit - states “If the Commission is aware of facts that lead it to believe that any broker-dealer is approaching financial difficulty, the Commission must immediately notify SIPC.”
  • 2000 SEC SIPC Audit - states “the Act protects customers whose securities were misappropriated, never purchased, or stolen.”
  • SEC 37th Annual Report - states “This legislation, the most important in the securities field in 30 years, established the Securities Investor Protection Cooperation to provide insurance for customer accounts.”
  • The House Committee on Energy and Commerce Democrats -August 2003
  • The House Committee on Energy and Commerce Democrats – March 2001
  • The House Committee on Energy and Commerce Democrats – April 2000
  • The House Committee on Energy and Commerce Democrats – November 1999
  • GAO Report – July 2003
  • GAO Report – May 2001
  • GAO Report – September 1992
  • Articles:

  • U.S. Report Faults Agency … – NY Times – June 2001
  • Investor Beware – NY Times – September 2000
  • SIPC’s Scroogelike Ways Draw Scrutiny – www.thestreet.com – August 2000
  • Many Unhappy Returns… – Newsday – December 1998