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Co-Authored-By: Claude Opus 4.8 <noreply@anthropic.com>
2026-07-06 10:51:44 -04:00

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LegalText 15 U.S.C. § 78hhh Examining authority functions us united_states_code code_section 15 COMMERCE AND TRADE 2B1 SECURITIES INVESTOR PROTECTION 78hhh 15 U.S.C. § 78hhh current 119-100 2026-06-26 official https://uscode.house.gov/download/releasepoints/us/pl/119/100/xml_usc15@119-100.zip /us/usc/t15/s78hhh data/legal/raw/us/code/title-15/usc15.xml a3aeb13b31b0a5297896f4a0faa02f1ca073216c97d69cd1ff39f73619a79cf9 6982338d990ef19d6b52bff6825089bdd6d0ee1233d9382673faf533decd5059 1cdea3dd299286f3846e17a930f57bc0f56e191be463a4d98d64cc6e0c25d562 2026-07-04 official
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15 U.S.C. § 78hhh - Examining authority functions

Text

Each member of SIPC shall file with such members examining authority, or collection agent if a collection agent has been designated pursuant to section 78iii(a) of this title, such information (including reports of, and information with respect to, the gross revenues from the securities business of such member, including the composition thereof, transactions in securities effected by such member, and other information with respect to such members activities, whether in the securities business or otherwise, including customer accounts maintained, net capital employed, and activities conducted) as SIPC may determine to be necessary or appropriate for the purpose of making assessments under section 78ddd of this title. The examining authority or collection agent shall file with SIPC all or such part of such information (and such compilations and analyses thereof) as SIPC, by bylaw or rule, shall prescribe. No application, report, or document filed pursuant to this section shall be deemed to be filed pursuant to section 78r of this title.

(Pub. L. 91598, § 12, formerly § 8, Dec. 30, 1970, 84 Stat. 1653; renumbered § 12 and amended Pub. L. 95283, §§ 9, 11, May 21, 1978, 92 Stat. 260, 268.)

Notes

Editorial Notes

Prior ProvisionsA prior section 12 of Pub. L. 91598 was renumbered section 16 and is classified to section 78lll of this title.

Amendments1978—Pub. L. 95283 inserted provisions relating to applicability to a collection agent.