SIPC - Broker-Dealer Portal

<!DOCTYPE html><html lang="en"><head> <meta name="build-commit" content="8854ab0c2194a92fad115c6557eb269cd57a89d7"> <meta charset="utf-8"> <meta http-equiv="X-UA-Compatible" content="IE=Edge"> <meta name="viewport" content="width=device-width, initial-scale=1.0"> <title>SIPC - Broker-Dealer Portal</title> <meta name="description" content="Securities Investor Protection Corporation"> <meta name="author" content="Securities Investor Protection Corporation"> <link rel="apple-touch-icon" sizes="120x120" href="/apple-touch-icon.png"> <link rel="icon" type="image/png" sizes="32x32" href="/favicon-32x32.png"> <link rel="icon" type="image/png" sizes="16x16" href="/favicon-16x16.png"> <link rel="manifest" href="/site.webmanifest"> <link rel="mask-icon" href="/safari-pinned-tab.svg" color="#5bbad5"> <meta name="msapplication-TileColor" content="#da532c"> <meta name="theme-color" content="#ffffff">  <link rel="preconnect" href="https://fonts.googleapis.com" data-no-mirror=""> <link rel="preconnect" href="https://fonts.gstatic.com" crossorigin="anonymous" data-no-mirror=""> <link href="https://fonts.googleapis.com/css?family=Nunito+Sans:300,300italic,400,400italic,500,500italic,700,700italic,900,900italic" rel="stylesheet" data-no-mirror=""> <link href="https://fonts.googleapis.com/css?family=Fira+Sans+Extra+Condensed:700,700italic" rel="stylesheet" data-no-mirror=""> <link href="/assets/bootstrap/bootstrap.css?cacheTag=b5e63633" rel="stylesheet"> <link href="https://use.fontawesome.com/releases/v5.3.1/css/all.css" rel="stylesheet" integrity="sha384-mzrmE5qonljUremFsqc01SB46JvROS7bZs3IO2EmfFsd15uHvIt+Y8vEf7N7fWAU" crossorigin="anonymous" data-no-mirror=""> <link href="/assets/css/styles.css?cacheTag=b5e63633" rel="stylesheet">  <link rel="stylesheet" href="https://kendo.cdn.telerik.com/2020.1.219/styles/kendo.common.min.css" data-no-mirror=""> <link rel="stylesheet" href="https://kendo.cdn.telerik.com/2020.1.219/styles/kendo.bootstrap.min.css" data-no-mirror=""> <link rel="stylesheet" href="/assets/pspdfkit/print-styles.css" data-no-mirror="">  <script src="/mirror/cdn.jsdelivr.net/npm/es6-promise@4.2.8/dist/es6-promise.auto.min.js"></script> <script src="/mirror/cdn.jsdelivr.net/npm/@babel/polyfill@7.8.7/dist/polyfill.min.js"></script>  <script src="/mirror/cdn.jsdelivr.net/npm/axios@0.18.0/dist/axios.min.js"></script> <script src="/mirror/cdn.jsdelivr.net/npm/moment@2.24.0/moment.min.js"></script> <script src="/mirror/cdn.jsdelivr.net/npm/lodash@4.17.11/lodash.min.js"></script> <script src="/mirror/cdn.jsdelivr.net/npm/jquery@3.3.1/dist/jquery.min.js"></script> <script src="/mirror/cdn.jsdelivr.net/npm/bootstrap@4.1.3/dist/js/bootstrap.bundle.min.js"></script>  <script src="/mirror/cdn.jsdelivr.net/npm/jwt-decode@2.2.0/build/jwt-decode.min.js"></script> <script src="/mirror/cdn.auth0.com/js/auth0/9.19.0/auth0.min.js"></script>  <script src="/mirror/cdn.jsdelivr.net/npm/vue@2.6.12/dist/vue.js"></script> <script src="/mirror/cdn.jsdelivr.net/npm/vuex@3.6.0/dist/vuex.min.js"></script> <script src="/mirror/cdn.jsdelivr.net/npm/bootstrap-vue@2.20.1/dist/bootstrap-vue.js"></script> <script src="/mirror/cdn.jsdelivr.net/npm/vuex-persistedstate@3.2.0/dist/vuex-persistedstate.umd.js"></script>  <script src="/mirror/kendo.cdn.telerik.com/2020.1.219/js/kendo.core.min.js"></script> <script src="/mirror/kendo.cdn.telerik.com/2020.1.219/js/kendo.upload.min.js"></script> <script src="/mirror/cdn.jsdelivr.net/npm/@progress/kendo-upload-vue-wrapper@2020.1.305/dist/cdn/kendo-upload-vue-wrapper.min.js"></script>  <script src="/assets/pspdfkit/pspdfkit.js?cacheTag=b5e63633"></script>  <script src="/assets/js/ai.0.js"></script> <script> let snippet = { config: { instrumentationKey: "034aa366-efb9-44c5-8fbc-cabbae24da5f" } }; let init = new Microsoft.ApplicationInsights.Initialization(snippet); let appInsights = init.loadAppInsights(); appInsights.trackPageView(null, null, { referrer: document.referrer }); </script>  </head> <body class="d-flex flex-column"> <div class="bg-accent-dark text-white d-none d-lg-block navigation"> <div class="container py-1 d-flex justify-content-end navigation-ribbon"> <small><a href="https://www.sipc.org"><i class="fas fa-external-link-square-alt"></i> Back to sipc.org</a></small> </div> </div>  <div v-cloak="" id="navigation"> <nav v-if="$store.state.members && $store.state.member && $store.getters.tncIsAccepted" class="navigation portal-navigation navbar navbar-expand-lg py-2 py-lg-4 main-nav"> <div class="container"> <button class="navbar-toggler pl-0 mr-2" type="button" data-toggle="collapse" data-target="#navbarCollapsedContent" aria-controls="navbarCollapsedContent" aria-expanded="false" aria-label="Toggle navigation"> <span><i class="fas fa-bars fa-lg text-dark"></i></span> </button> <a href="/" class="mr-auto"><img src="/assets/img/sipc_logo.svg" alt="SIPC Logo" class="logo"></a> <ul class="nav d-lg-none"> <li class="nav-item"> <secure-messages-notice></secure-messages-notice> </li> <li class="nav-item dropleft border-right pr-3"> <a href="javascript:;" id="user-dropdown-mobile" class="nav-link" data-toggle="dropdown" role="button" aria-haspopup="true" aria-expanded="false" data-reference="parent" aria-label="User Menu"><i class="fas fa-user" aria-hidden="true"></i> User Menu</a> <div class="dropdown-menu" aria-labelledby="user-dropdown-mobile"> <a href="/member-information" class="dropdown-item font-family-light text-uppercase">Member Information</a> <template v-if="$store.state.member && $store.state.member.admin && $store.getters.tncIsAccepted"> <div class="dropdown-divider"></div> <header class="dropdown-header font-family-light text-capitalize" role="heading">Admin</header> <a id="admin-links" href="/admin" class="dropdown-item font-family-light text-uppercase">Manage Users</a> </template> </div> </li> <li class="nav-item pl-3"> <a href="javascript:;" v-on:click="logout" class="nav-link font-family-light text-capitalize"><i class="fas fa-sign-out-alt mr-2"></i>Logout</a> </li> </ul> <div id="navbarCollapsedContent" class="collapse navbar-collapse"> <hr class="d-lg-none"> <ul class="nav navbar-nav mx-auto"> <li class="nav-item"> <a href="/" class="nav-link">Home</a> </li> <li v-if="$store.state.memberStatus?.displayAssessments" class="nav-item"> <a href="/assessments-and-payments" class="nav-link">Assessments & Payments</a> </li> <li class="nav-item"> <a href="/forms" class="nav-link">Forms</a> </li> <li class="nav-item"> <a href="/file-upload" class="nav-link">File Upload</a> </li> </ul> <ul class="nav navbar-nav d-none d-lg-inline-flex"> <li class="nav-item"> <secure-messages-notice></secure-messages-notice> </li> <li class="nav-item dropleft border-right pr-3"> <a href="javascript:;" id="user-dropdown-desk" class="nav-link" data-toggle="dropdown" role="button" aria-haspopup="true" aria-expanded="false" data-reference="parent" aria-label="User Menu"> <i class="fas fa-user" aria-hidden="true"></i> User Menu </a> <div class="dropdown-menu" aria-labelledby="user-dropdown-desk"> <a href="/member-information" class="dropdown-item font-family-light text-uppercase">Member Information</a> <a v-if="$store.state.member && !$store.state.member.admin" href="/users-list" class="dropdown-item font-family-light text-uppercase">Portal Users</a> <template v-else-if="$store.state.member && $store.state.member.admin"> <div class="dropdown-divider"></div> <header class="dropdown-header font-family-light text-capitalize" role="heading">Admin</header> <a id="admin-links" href="/admin" class="dropdown-item font-family-light text-uppercase">Manage Users</a> </template> </div> </li> <li class="nav-item pl-3"> <a href="javascript:;" v-on:click="logout" class="nav-link font-family-light text-capitalize"><i class="fas fa-sign-out-alt mr-2"></i>Logout</a> </li> </ul> <div class="dropdown-divider d-lg-none"></div> <ul class="nav d-lg-none"> <li class="nav-item"> <a href="/support" class="nav-link font-family-light text-capitalize"><i class="far fa-question-circle mr-2" aria-hidden="true"></i>Support</a> </li> </ul> </div> </div> </nav> <div v-if="$store.state.member && $store.getters.tncIsAccepted" class="py-2 bg-primary-light"> <div class="container"> <div class="row align-items-center justify-content-end"> <div class="col-lg-7 col-lg-offset-2 text-right mr-2"> <member-select :current-id="$store.state.member.id"></member-select> </div> <div class="nav-item text-right d-none d-lg-block px-0"> <a href="/support" class="nav-link font-family-medium text-capitalize pr-4"><i class="far fa-question-circle mr-2" aria-hidden="true"></i>Support</a> </div> </div> <auto-logout-notification :auto-logout-inactivity-duration="900" :auto-logout-warning-duration="300" :auto-logout-countdown-by="30" :auto-logout-enabled="true"> </auto-logout-notification> <check-session-notification></check-session-notification> </div> </div> <div class="container" v-if="$store.state.title"> <h1 class="font-weight-bold text-primary mt-3">{{ $store.state.title }}</h1> </div> </div> <div class="flex-grow-1 d-flex flex-column"> <div id="content" class="flex-grow-1 d-flex flex-column"> <div class="container py-3 flex-grow-1 d-flex flex-column"> <div class="flex-grow-1 d-flex flex-column"> <div v-cloak="" id="login" v-if="!$store.state.member || !$store.getters.tncIsAccepted"> <div v-if="!$store.state.user"> <div class="col-lg-6 mt-3 mb-4"> <p> Log in to access the SIPC broker-dealer portal. If you have any questions about access or need to establish credentials, please contact us. </p><div> <button v-on:click="login" class="btn btn-primary"><i class="fas fa-sign-in-alt"></i> Login</button> </div> </div> <div class="col-lg-4 mt-3 mb-4"> <base-card id="card-balance" class="h-100 border-round card-shadow dark-border"> <div class="card-body row ml-2 mr-2"> <h2 class="h3 card-title text-primary font-family-heavy"> <i class="fa fa-address-book" aria-hidden="true"></i> Contact us </h2><br> <p style="width: 100%"> <i class="fa fa-envelope" aria-hidden="true"></i> <a href="mailto:portal@sipc.org">portal@sipc.org</a><br> </p> <p style="width: 100%"> <i class="fa fa-phone" aria-hidden="true"></i> <a href="tel:2023718300">(202) 371-8300</a><br> </p> <p> <i class="fa fa-envelope" aria-hidden="true"></i> <span> Securities Investor Protection Corporation<br> 1667 K St. N.W., Suite 1000<br> Washington, D.C. 20006-1620 </span> </p> </div> </base-card> </div> </div> <div v-else=""> <template v-if="!($store.getters.tncIsAccepted)"> <accept-terms-of-service-and-privacy-policy></accept-terms-of-service-and-privacy-policy> </template> <template v-else-if="!$store.state.member"> <spinner v-if="!$store.state.members"></spinner> <div v-else-if="$store.state.members.length > 0" id="selectBrokerDealer"> <p>Your account, {{ $store.state.user.email }}, is associated with multiple SIPC members. Please select one from the list below.</p> <div v-for="member in $store.state.members"> <h4><a href="javascript:;" v-on:click="changeMember(member)">{{ member.name }}</a> <span v-if="member.admin" class="badge badge-light">Admin</span></h4> </div> <p><a href="javascript:;" v-on:click="logout" class="btn btn-primary"><i class="fas fa-sign-out-alt mr-2"></i>Logout</a></p> </div> <div v-else="">  <p>Your account, {{ $store.state.user.email }}, is not associated with any SIPC members, please contact SIPC for assistance.</p> <p><a href="javascript:;" v-on:click="logout" class="btn btn-primary"><i class="fas fa-sign-out-alt mr-2"></i>Logout</a></p> </div> </template> </div> </div> <div id="portal-content" class="d-none"> <div class="flex-grow-1 d-flex flex-column"> <div v-cloak="" id="main" v-if="$store.state.member && $store.getters.tncIsAccepted && !$store.state.globalError" class="flex-grow-1 d-flex flex-column"> </div> <div v-cloak="" id="error"> <div v-if="$store.state.globalError" class="alert alert-danger mt-4" role="alert"> <i class="fas fa-exclamation-triangle"></i> Something went wrong, please try again later or contact us if the problem persists. </div> </div> </div> </div> </div> </div> </div> </div> <script type="module"> const Vue = window.Vue; // Straightforward, storage-based, client-side cache for compiled assets // Use session storage instead of local storage to ensure we don't cache things longer than new deployments // See https://github.com/FranckFreiburger/vue3-sfc-loader/discussions/175 class VueComponentCache { constructor() { this.storage = window.sessionStorage; this.ns = 'sipc-portal-vue-'; } removeStalestItem() { let lowestValue = Infinity; let lowestKey = undefined; for ( let i = 0, len = this.storage.length; i < len; ++i ) { const key = this.storage.key(i); if ( !key.startsWith(this.ns) || !key.endsWith('_') ) continue; const value = Number(this.storage.getItem(key)); if ( value >= lowestValue ) continue; lowestValue = value; lowestKey = key.slice(0, -1); } if (lowestKey === undefined) { return } this.storage.removeItem(lowestKey + '_'); this.storage.removeItem(lowestKey); } get(key) { this.storage.setItem(this.ns + key + '_', Math.floor((Date.now() - 17e11) / 36e5)); return this.storage.getItem(this.ns + key) || undefined; } set(key, value) { for ( let i = 0; i < 10; ++i ) { try { this.storage.setItem(this.ns + key, value); break; } catch(ex) { this.removeStalestItem(); } } } } const vueComponentCache = new VueComponentCache(); // Import the loader and create the options import { loadModule } from 'https://cdn.jsdelivr.net/npm/vue3-sfc-loader@0.7.3/dist/vue2-sfc-loader.esm.js' const loaderOptions = { // "It is recommended to provide a prototype-less object (Object.create(null)) to avoid potential conflict with Object properties" moduleCache: Object.assign(Object.create(null), { vue: Vue, }), compiledCache: vueComponentCache, async getFile(url) { // Use the same cache engine to cache the actual resource files // which should avoid fetching them over the network after the initial session fetch let content = vueComponentCache.get(url); if (content === undefined) { const res = await fetch(url + "?cacheTag=b5e63633"); if (!res.ok) { throw Object.assign(new Error(url + ' ' + res.statusText), { res }); } content = await res.text(); vueComponentCache.set(url, content); } // Need to remap the extension if we're including a .js file // See https://github.com/FranckFreiburger/vue3-sfc-loader/issues/14 // And https://github.com/FranckFreiburger/vue3-sfc-loader/discussions/12#discussioncomment-255331 return url.endsWith(".js") ? { content: content, type: ".mjs" } // Treat this content as a module JS file (.mjs extension) : content; }, addStyle(textContent) { const style = Object.assign(document.createElement('style'), { textContent }); const ref = document.head.getElementsByTagName('style')[0] || null; document.head.insertBefore(style, ref); } } // Import and initialize the app (after loading all our custom components) import Portal from '/portal.js' // Crawl up looking for a globals.js file in the current or parent folders // Also look for components in a parent folder or "components" subfolder of a parent folder // Import global JS files and copy their exports to the global window object // The default export will not be added to the window // The imported module namespace is the joined path in TitleCase // Load any components we found then initialize the app Promise.all([ loadModule('/components/form-submission/form-fill.vue', loaderOptions) .then(component => Vue.component('form-fill', component)), loadModule('/components/form-submission/form-payment.vue', loaderOptions) .then(component => Vue.component('form-payment', component)), loadModule('/components/form-submission/form-styler.vue', loaderOptions) .then(component => Vue.component('form-styler', component)), loadModule('/components/auto-logout-notification.vue', loaderOptions) .then(component => Vue.component('auto-logout-notification', component)), loadModule('/components/check-session-notification.vue', loaderOptions) .then(component => Vue.component('check-session-notification', component)), loadModule('/components/member-select.vue', loaderOptions) .then(component => Vue.component('member-select', component)), loadModule('/components/payments/make-a-payment-checkbox-list-item.vue', loaderOptions) .then(component => Vue.component('make-a-payment-checkbox-list-item', component)), loadModule('/components/payments/make-a-payment-form.vue', loaderOptions) .then(component => Vue.component('make-a-payment-form', component)), loadModule('/components/payments/voucher.vue', loaderOptions) .then(component => Vue.component('voucher', component)), loadModule('/components/policies/accept-terms-of-service-and-privacy-policy.vue', loaderOptions) .then(component => Vue.component('accept-terms-of-service-and-privacy-policy', component)), loadModule('/components/policies/aliaswire-terms-and-conditions/aliaswire-terms-and-conditions-modal.vue', loaderOptions) .then(component => Vue.component('aliaswire-terms-and-conditions-modal', component)), loadModule('/components/policies/aliaswire-terms-and-conditions/the-aliaswire-terms-and-conditions.vue', loaderOptions) .then(component => Vue.component('the-aliaswire-terms-and-conditions', component)), loadModule('/components/policies/policy-section.vue', loaderOptions) .then(component => Vue.component('policy-section', component)), loadModule('/components/policies/policy-with-nav-layout.vue', loaderOptions) .then(component => Vue.component('policy-with-nav-layout', component)), loadModule('/components/policies/the-privacy-policy.vue', loaderOptions) .then(component => Vue.component('the-privacy-policy', component)), loadModule('/components/policies/the-terms-of-service.vue', loaderOptions) .then(component => Vue.component('the-terms-of-service', component)), loadModule('/components/secure-messages-notice.vue', loaderOptions) .then(component => Vue.component('secure-messages-notice', component)), loadModule('/components/shared/base-button.vue', loaderOptions) .then(component => Vue.component('base-button', component)), loadModule('/components/shared/base-card.vue', loaderOptions) .then(component => Vue.component('base-card', component)), loadModule('/components/shared/base-modal.vue', loaderOptions) .then(component => Vue.component('base-modal', component)), loadModule('/components/shared/portal-base-modal.vue', loaderOptions) .then(component => Vue.component('portal-base-modal', component)), loadModule('/components/spinner.vue', loaderOptions) .then(component => Vue.component('spinner', component)), loadModule('/components/upload-files.vue', loaderOptions) .then(component => Vue.component('upload-files', component)), ]).then(result => Portal({ apiHost: 'https://api.sipc.org', pspdfkitLicense: 'yROC2FJcChJGtlDK6MqFAuV_sgXG2Sm7269b0hzMLTq89Mknt_7X7IbFpxRY9e_6o1q30qVvBMM0LOaKpcOM4xiOl5I2JUZ_hG8tG8cexmxAb-vpW-qF5tu_csWWo_KYrw6a-q29lDMFufrNlZssx38eZM-JUFJ5kdv3J5WagxG6FVj1iwEDqECiZj5tnAjoGCrntM87GQDFAJGui-7aEeVZi3Wo2wG-nQVLDCD8ebjFmQD5WzuqL0QwX77LSqczPUY82kLpQS3ew-8cGzvk8_IJ0NJZPJT4H7NOXZeSOmTynZwzbeZW_IIo_dbIu7Cu3ifARhiXed-FngXTwLdNDaECg4ldXdgr-DmAaWT2lalLku15wBKWoMIJXXn8AciddHFR0xQ05tKrHxU4LCeIRrmnKxiud0PXaXtq4wWQbKpfeyu4g7pt6ziReMfDwNWFdXR6vyhjUo2ZvXOOZJghwtliEuw9B61aNLZuBcZqjbvrs9NAxZjNGTVblh4tiIWVB56lpUAQX7uT1_0H2esR3FoHrKFsMWIt38-nFXXR-G5PDwEbqfd9Vh1pqzRjYtI1', title: '', auth0Domain: 'auth.sipc.org', auth0AudienceDomain: 'sipc.auth0.com', auth0ClientId: 's99rqpIc54P38Yp2-l_MVcGk8IQCrmRu', enableShowCheckSessionWarningMessage: 'true', publicWebAppUrl: 'https://www.sipc.org', tncVersionDate: '2024-04-12T12:00:00', })) // Load and mount the page component on the #main element if this is actually a root .vue single-file component // But only after we resolve all the component promises so custom components are registered .then(result => loadModule('/index.vue', loaderOptions) .then(component => new Vue(component).$mount('#main'))) ; </script> </body></html>

CINXE.COM

SIPC - Broker-Dealer Portal