Sipc 6 form 2026

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The document is a General Assessment Payment Form (SIPC-6) for members of the Securities Investor Protection Corporation (SIPC). It outlines the requirements for filing the form, including details on calculating SIPC Net Operating Revenues and general assessments due. Members must submit this form within 30 days after the end of the first half of their fiscal year, along with payment for any assessment owed. The document also provides instructions on how to report revenues, deductions, and interest on late payments.

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Click ‘Get Form’ to open the SIPC 6 form in the editor.
Begin by filling in your name, address, and designated examining authority in the first section. Ensure that all details match your official records.
In section 2A, enter the general assessment payment for the first half of the fiscal year. If applicable, subtract any prior year overpayment as indicated.
Calculate any interest due on late payments in section 2B and add this to your total assessment balance in section 2C.
List any subsidiaries or predecessors included in this form under section 3, providing their names and registration numbers.
Finally, sign and date the form at the bottom. Make sure to retain a copy for your records as instructed.

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Got questions?

We have answers to the most popular questions from our customers. If you can't find an answer to your question, please contact us.

Is it better to have FDIC or SIPC?

FDIC insures your bank savings up to $250000 (per depositor, per bank) in the event that the bank fails. SIPC is similar but it protects your investments in the event of the failure or fraud of a brokerage firm. It will not protect you against declines in the market.

Is it safe to keep more than $500,000 in a brokerage account?

They must also have a certain amount of liquidity on hand, thus allowing them to cover funds in these cases. What this means is that even if you have more than $500,000 in one brokerage account, chances are high that you wont lose any of your money even if the broker is forced into liquidation.

What does SIPC actually cover?

Up to $500,000 for Securities SIPC protects customers against the loss of their stocks, bonds, Treasury securities, certificates of deposit, mutual funds, money market mutual funds, and certain other investments as securities, held for them by the broker.

What is a SIPC assessment?

SIPC members pay annual membership assessments which are used to fund SIPC and its mission. Most registered brokerage firms which conduct business with the investing public are SIPC members. SIPC member brokerage firms must state that they are SIPC members in their offices and on their webpage and advertisements.

Who is required to join SIPC?

All registered brokers or dealers are SIPC members by law, with some exceptions. Address information is provided as a convenience and often reflects the members business mailing address and not necessarily the retail office or location.

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Who is required to be a member of SIPC?

SIPC member brokerage firms are, with narrow exceptions, all securities broker-dealers registered with the SEC. SIPC members pay annual membership assessments which are used to fund SIPC and its mission. Most registered brokerage firms which conduct business with the investing public are SIPC members.

Is SIPC required?

Most U.S. brokerage firms are required to be SIPC members. To find out if your brokerage firm is a SIPC member, check the list or Contact Us.

How do I file a SIPC claim?

A claim may be filed electronically, or by mailing a completed and signed claim form to the Trustee. When filing a claim electronically, or completing your written claim form for mailing, follow all instructions.