SIPC - Securities Investor Protection Corporation

<!DOCTYPE html><html lang="en"><head>  <script async="" src="https://www.googletagmanager.com/gtag/js?id=G-BWGS7J7E8W" data-no-mirror=""></script> <script> window.dataLayer = window.dataLayer || []; function gtag(){dataLayer.push(arguments);} gtag('js', new Date()); gtag('config', 'G-BWGS7J7E8W'); </script> <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 - Securities Investor Protection Corporation</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" 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" 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" rel="stylesheet"> <script src="/mirror/unpkg.com/cloudinary-core/cloudinary-core-shrinkwrap.min.js"></script> <link rel="stylesheet" href="/mirror/cdn.jsdelivr.net/npm/cloudinary-video-player@1.8.0/dist/cld-video-player.min.css"> <script src="/mirror/cdn.jsdelivr.net/npm/cloudinary-video-player@1.8.0/dist/cld-video-player.js"></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-2 d-flex justify-content-end navigation-ribbon"> <div class="h5 p-0 m-0 mr-4"> <a href="http://www.facebook.com/sipcorg" aria-label="Navigate to SIPC Facebook Page"><i class="fab fa-facebook-square"></i></a> <a href="http://www.twitter.com/sipc" aria-label="Navigate to SIPC Twitter Page"><i class="fab fa-twitter-square"></i></a> </div> <div class="p-0 m-0 mr-4"> <a href="/espanol"><i class="fas fa-globe"></i> <small>Español</small></a> </div> <div class="p-0 m-0 mr-4"> <a class="btn btn-secondary m-0 py-0 px-1 text-white" href="https://portal.sipc.org"><small class="font-weight-bold">Broker-Dealer Portal</small></a> </div> <div> <form class="form-inline desktop-search" action="/search"> <label class="sr-only" for="desktop-query">Search Query</label> <div class="input-group"> <input type="search" class="form-control form-control-sm" name="query" id="desktop-query" placeholder="Search"> </div> </form> </div> </div> </div> <div class="d-none d-lg-block navigation desktop-navigation"> <div class="container d-flex flex-row justify-content-between py-4"> <a href="/"><img src="/assets/img/sipc_logo.svg" alt="SIPC Logo" class="logo"></a> <div class="align-self-center"> <ul class="nav"> <li class="nav-item"> <a class="nav-link" href="/about-sipc" aria-label="About SIPC">About SIPC</a> <div class="nav-content"> <div class="page-intro"> <div class="container py-3"> <div class="row"> <div class="col-lg-3 border-right border-primary no-border-md-down"> <div class="h3">Who We Are</div> </div> <div class="col-lg-9"> <p>We are a non-profit corporation that has been protecting investors for 50 years. We work to restore investors’ cash and securities when their brokerage firm fails. SIPC has recovered billions of dollars for investors.</p> </div> </div> </div> </div> <div class="page-links"> <div class="container"> <div class="row pt-2 align-items-stretch"> <div class="col-sm-6 col-md-3 pb-2 pt-3 d-flex flex-column"> <a href="/about-sipc/sipc-mission" class="link-line-bottom h-100 desktop-nav-link"> <div class="mb-3" aria-hidden="true"> <img src="/assets/img/about-sipc/mission.png" aria-label="" aria-hidden="true" class="nav-img" alt="Mission" style="object-position: left center;"> </div> <div class="h5">Mission</div> <div class="small">SIPC works to restore investors’ assets when a brokerage firm fails financially.</div> </a> </div> <div class="col-sm-6 col-md-3 pb-2 pt-3 d-flex flex-column"> <a href="/about-sipc/history" class="link-line-bottom h-100 desktop-nav-link"> <div class="mb-3" aria-hidden="true"> <img src="/assets/img/about-sipc/history-and-track-record.png" aria-label="" aria-hidden="true" class="nav-img" alt="History and Track Record"> </div> <div class="h5">History and Track Record</div> <div class="small">SIPC has restored billions of dollars for investors.</div> </a> </div> <div class="col-sm-6 col-md-3 pb-2 pt-3 d-flex flex-column"> <a href="/about-sipc/leadership" class="link-line-bottom h-100 desktop-nav-link"> <div class="mb-3" aria-hidden="true"> <img src="/assets/img/about-sipc/leadership.png" aria-label="" aria-hidden="true" class="nav-img" alt="Leadership" style="object-position: top right;"> </div> <div class="h5">Leadership</div> <div class="small">Our job is to recover missing assets if your brokerage firm fails financially.</div> </a> </div> <div class="col-sm-6 col-md-3 pb-2 pt-3 d-flex flex-column"> <a href="/about-sipc/the-sipc-logo" class="link-line-bottom h-100 desktop-nav-link"> <div class="mb-3" aria-hidden="true"> <img src="/assets/img/about-sipc/the-sipc-logo.png" aria-label="" aria-hidden="true" class="nav-img" alt="The SIPC Logo"> </div> <div class="h5">The SIPC Logo</div> <div class="small">The SIPC logo means your assets are protected under the Securities Investor Protection Act (SIPA).</div> </a> </div> <div class="col-sm-6 col-md-3 pb-2 pt-3 d-flex flex-column"> <a href="/about-sipc/the-sipc-fund" class="link-line-bottom h-100 desktop-nav-link"> <div class="mb-3" aria-hidden="true"> <img src="/assets/img/about-sipc/the-sipc-fund.png" aria-label="" aria-hidden="true" class="nav-img" alt="The SIPC Fund"> </div> <div class="h5">The SIPC Fund</div> <div class="small">SIPC maintains resources from which we can draw to restore customer assets.</div> </a> </div> <div class="col-sm-6 col-md-3 pb-2 pt-3 d-flex flex-column"> <a href="/about-sipc/statute-and-rules" class="link-line-bottom h-100 desktop-nav-link"> <div class="mb-3" aria-hidden="true"> <img src="/assets/img/about-sipc/statutes-and-rules.png" aria-label="" aria-hidden="true" class="nav-img" alt="Statute and Rules" style="object-position: bottom center;"> </div> <div class="h5">Statute and Rules</div> <div class="small">SIPC is a non-profit corporation created by Congress some 50 years ago.</div> </a> </div> <div class="col-sm-6 col-md-3 pb-2 pt-3 d-flex flex-column"> <a href="/news-and-media/annual-reports" class="link-line-bottom h-100 desktop-nav-link"> <div class="mb-3" aria-hidden="true"> <img src="/assets/img/news-and-media/annual-reports.png" aria-label="" aria-hidden="true" class="nav-img" alt="SIPC Annual Report" style="object-position: top center;"> </div> <div class="h5">SIPC Annual Report</div> <div class="small">The year in review.</div> </a> </div> <div class="col-sm-6 col-md-3 pb-2 pt-3 d-flex flex-column"> <a href="/news-and-media/brochures" class="link-line-bottom h-100 desktop-nav-link"> <div class="mb-3" aria-hidden="true"> <img src="/assets/img/news-and-media/brochures.png" aria-label="" aria-hidden="true" class="nav-img" alt="Brochures" style="object-position: top left;"> </div> <div class="h5">Brochures</div> <div class="small">Download or view SIPC brochures here.</div> </a> </div> </div> </div> </div> </div> </li> <li class="nav-item"> <a class="nav-link" href="/cases-and-claims" aria-label="Cases & Claims">Cases & Claims</a> <div class="nav-content"> <div class="page-intro"> <div class="container py-3"> <div class="row"> <div class="col-lg-3 border-right border-primary no-border-md-down"> <div class="h3">Cases & Claims</div> </div> <div class="col-lg-9"> <p>Find claim forms and deadlines for open cases here.<br><i>SIPC has restored billions of dollars for investors.</i> </p> </div> </div> </div> </div> <div class="page-links"> <div class="container"> <div class="row py-4 align-items-stretch"> <div class="col-sm-6 pb-2 pt-3 d-flex flex-column bg-light"> <a href="/cases-and-claims/deadlines" class="link-line-bottom h-100 desktop-nav-link"> <div class="mb-3" aria-hidden="true"> <img src="/assets/img/cases-and-claims/filing-deadlines.png" aria-label="" aria-hidden="true" class="nav-img" alt="Filing Deadlines"> </div> <div class="h5">Filing Deadlines</div> <div class="small">When you file matters. Filing deadlines explained.</div> </a> </div> <div class="col-sm-6 col-md-3 pb-2 pt-3 d-flex flex-column"> <a href="/cases-and-claims/how-to-file-a-claim" class="link-line-bottom h-100 desktop-nav-link"> <div class="mb-3" aria-hidden="true"> <img src="/assets/img/cases-and-claims/claim-filing-process.png" aria-label="" aria-hidden="true" class="nav-img" alt="How To File a Claim"> </div> <div class="h5">How To File a Claim</div> </a> </div> <div class="col-sm-6 col-md-3 pb-2 pt-3 d-flex flex-column"> <a href="/cases-and-claims/claim-faqs" class="link-line-bottom h-100 desktop-nav-link"> <div class="mb-3" aria-hidden="true"> <img src="/assets/img/cases-and-claims/claim-faqs.png" aria-label="" aria-hidden="true" class="nav-img" alt="Claim FAQs"> </div> <div class="h5">Claim FAQs</div> </a> </div> <div class="col-sm-6 pb-2 pt-3 d-flex flex-column bg-light"> <a href="/cases-and-claims/open-cases" class="link-line-bottom h-100 desktop-nav-link"> <div class="mb-3" aria-hidden="true"> <img src="/assets/img/cases-and-claims/all-open-cases.png" aria-label="" aria-hidden="true" class="nav-img" alt="All Open Cases" style="object-position: bottom;"> </div> <div class="h5">All Open Cases</div> <div class="small">Cases that are still being processed.</div> </a> </div> <div class="col-sm-6 col-md-3 pb-2 pt-3 d-flex flex-column"> <a href="/cases-and-claims/how-a-liquidation-works" class="link-line-bottom h-100 desktop-nav-link"> <div class="mb-3" aria-hidden="true"> <img src="/assets/img/cases-and-claims/how-a-liquidation-works.png" aria-label="" aria-hidden="true" class="nav-img" alt="How a Liquidation Works"> </div> <div class="h5">How a Liquidation Works</div> <div class="small">Steps SIPC takes to recover customer assets when a brokerage firm fails financially.</div> </a> </div> <div class="col-sm-6 col-md-3 pb-2 pt-3 d-flex flex-column"> <a href="/cases-and-claims/how-the-claims-process-works" class="link-line-bottom h-100 desktop-nav-link"> <div class="mb-3" aria-hidden="true"> <img src="/assets/img/cases-and-claims/how-the-claims-process-works.png" aria-label="" aria-hidden="true" class="nav-img" alt="How The Claims Process Works"> </div> <div class="h5">How The Claims Process Works</div> <div class="small">What happens when you file a claim.</div> </a> </div> </div> </div> </div> </div> </li> <li class="nav-item"> <a class="nav-link" href="/for-investors" aria-label="For Investors">For Investors</a> <div class="nav-content"> <div class="page-intro"> <div class="container py-3"> <div class="row"> <div class="col-lg-3 border-right border-primary no-border-md-down"> <div class="h3">How We Protect You</div> </div> <div class="col-lg-9"> <p></p><div>SIPC has recovered billions of dollars for investors. Our job is to recover missing cash or securities if your brokerage firm has gone out of business.</div> <div class="mt-3">SIPC has issued Investor Bulletins explaining SIPC’s protection and claims process. <a href="https://www.investor.gov/introduction-investing/general-resources/news-alerts/alerts-bulletins/investor-bulletins-101">Click here</a> for Part I ("SIPC Basics"). <a href="https://www.investor.gov/introduction-investing/general-resources/news-alerts/alerts-bulletins/investor-bulletins-102">Click here</a> for Part II ("Filing a SIPC Claim").</div> <div class="mt-3">SIPC does not protect digital asset securities that are investment contracts that are not registered with the U.S. Securities and Exchange Commission, even if held by a SIPC member brokerage firm.</div> <p></p> </div> </div> </div> </div> <div class="page-links"> <div> <div class="alert alert-warning m-0"> <div class="container"> <div class="row"> <div class="col-md-3"> <a href="/for-investors/introduction"> <div class="h4 mb-0">What is SIPC?</div> <div class="small">Click here for a brief introduction</div> </a> </div> <div class="col-md-3 mt-4 mt-md-0"> <a href="/video"> <img src="/assets/img/small-video.png" alt="Watch a short video"> <div class="small">How SIPC Protects You</div> </a> </div> <div class="col-md-3 mt-4 mt-md-0"> <a href="/video50"> <img src="/assets/img/small-video-50.png" alt="First 50 years of protection"> <div class="small">First 50 years of protection</div> </a> </div> </div> </div> </div> <div class="container"> <div class="row pt-2 align-items-stretch"> <div class="col-sm-6 col-md-3 pb-2 pt-3 d-flex flex-column"> <a href="/for-investors/when-sipc-gets-involved" class="link-line-bottom h-100 desktop-nav-link"> <div class="mb-3" aria-hidden="true"> <img src="/assets/img/for-investors/when-sipc-gets-involved.png" aria-label="" aria-hidden="true" class="nav-img" alt="When SIPC Gets Involved"> </div> <div class="h5">When SIPC Gets Involved</div> <div class="small">SIPC steps in when a brokerage firm fails financially, and assets are missing from customer accounts.</div> </a> </div> <div class="col-sm-6 col-md-3 pb-2 pt-3 d-flex flex-column"> <a href="/for-investors/what-sipc-protects" class="link-line-bottom h-100 desktop-nav-link"> <div class="mb-3" aria-hidden="true"> <img src="/assets/img/for-investors/what-sipc-protects.png" aria-label="" aria-hidden="true" class="nav-img" alt="What SIPC Protects"> </div> <div class="h5">What SIPC Protects</div> <div class="small">SIPC protects customer assets when a SIPC-member brokerage firm fails financially.</div> </a> </div> <div class="col-sm-6 col-md-3 pb-2 pt-3 d-flex flex-column"> <a href="/for-investors/investors-with-multiple-accounts" class="link-line-bottom h-100 desktop-nav-link"> <div class="mb-3" aria-hidden="true"> <img src="/assets/img/for-investors/multiple-accounts.png" aria-label="" aria-hidden="true" class="nav-img" alt="Investors with Multiple Accounts"> </div> <div class="h5">Investors with Multiple Accounts</div> <div class="small">Understand how SIPC protection works if you have multiple accounts.</div> </a> </div> <div class="col-sm-6 col-md-3 pb-2 pt-3 d-flex flex-column"> <a href="/for-investors/investor-faqs" class="link-line-bottom h-100 desktop-nav-link"> <div class="mb-3" aria-hidden="true"> <img src="/assets/img/for-investors/investor-faqs.png" aria-label="" aria-hidden="true" class="nav-img" alt="Investor FAQs"> </div> <div class="h5">Investor FAQs</div> <div class="small">Find answers to your questions.</div> </a> </div> <div class="col-sm-6 col-md-3 pb-2 pt-3 d-flex flex-column"> <a href="/for-investors/fraud-alert" class="link-line-bottom h-100 desktop-nav-link"> <div class="mb-3" aria-hidden="true"> <img src="/assets/img/for-investors/fraud.png" aria-label="" aria-hidden="true" class="nav-img" alt="Fraud Alerts" style="object-position: center left;"> </div> <div class="h5">Fraud Alerts</div> <div class="small">See our latest fraud alerts to protect yourself.</div> </a> </div> <div class="col-sm-6 col-md-3 pb-2 pt-3 d-flex flex-column"> <a href="/for-investors/protecting-against-fraud" class="link-line-bottom h-100 desktop-nav-link"> <div class="mb-3" aria-hidden="true"> <img src="/assets/img/for-investors/protecting-against-fraud.png" aria-label="" aria-hidden="true" class="nav-img" alt="Protecting Yourself Against Fraud"> </div> <div class="h5">Protecting Yourself Against Fraud</div> <div class="small">Steps you can take to protect yourself from fraud.</div> </a> </div> <div class="col-sm-6 col-md-3 pb-2 pt-3 d-flex flex-column"> <a href="/news-and-media/annual-reports" class="link-line-bottom h-100 desktop-nav-link"> <div class="mb-3" aria-hidden="true"> <img src="/assets/img/news-and-media/annual-reports.png" aria-label="" aria-hidden="true" class="nav-img" alt="SIPC Annual Report"> </div> <div class="h5">SIPC Annual Report</div> <div class="small">The year in review.</div> </a> </div> <div class="col-sm-6 col-md-3 pb-2 pt-3 d-flex flex-column"> <a href="/news-and-media/brochures" class="link-line-bottom h-100 desktop-nav-link"> <div class="mb-3" aria-hidden="true"> <img src="/assets/img/news-and-media/brochures.png" aria-label="" aria-hidden="true" class="nav-img" alt="Brochures"> </div> <div class="h5">Brochures</div> <div class="small">Download or view SIPC brochures here.</div> </a> </div> </div> </div> </div> </div> </div> </li> <li class="nav-item"> <a class="nav-link" href="/for-members" aria-label="For Member Firms">For Member Firms</a> <div class="nav-content"> <div class="page-intro"> <div class="container py-3"> <div class="row"> <div class="col-lg-3 border-right border-primary no-border-md-down"> <div class="h3">For Member Firms</div> </div> <div class="col-lg-9"> <p>SIPC member brokerage firms can find information here about filing requirements, the SIPC assessment, and the SIPC logo.</p> </div> </div> </div> </div> <div class="page-links"> <div> <div class="container"> <div class="pt-4"> <div> <div class="h4">Member Information</div> <p>Guidelines and tools for SIPC member brokerage firms.</p> </div> <div class="row align-items-stretch"> <div class="col-sm-6 col-md-3 pb-2 pt-3 d-flex flex-column"> <a href="/for-members/assessment-rate" class="link-line-bottom h-100 desktop-nav-link"> <div class="mb-3" aria-hidden="true"> <img src="/assets/img/for-members/assessment-rate.png" aria-label="" aria-hidden="true" class="nav-img" alt="Assessment Rate"> </div> <div class="h5">Assessment Rate</div> </a> </div> <div class="col-sm-6 col-md-3 pb-2 pt-3 d-flex flex-column"> <a href="/for-members/member-faqs" class="link-line-bottom h-100 desktop-nav-link"> <div class="mb-3" aria-hidden="true"> <img src="/assets/img/for-members/member-faqs.png" aria-label="" aria-hidden="true" class="nav-img" alt="Member FAQs"> </div> <div class="h5">Member FAQs</div> </a> </div> <div class="col-sm-6 col-md-3 pb-2 pt-3 d-flex flex-column"> <a href="/for-members/sipc-logo" class="link-line-bottom h-100 desktop-nav-link"> <div class="mb-3" aria-hidden="true"> <img src="/assets/img/for-members/sipc-logo.png" aria-label="" aria-hidden="true" class="nav-img" alt="SIPC Logo Rules"> </div> <div class="h5">SIPC Logo Rules</div> </a> </div> <div class="col-sm-6 col-md-3 pb-2 pt-3 d-flex flex-column"> <a href="/for-members/order" class="link-line-bottom h-100 desktop-nav-link"> <div class="mb-3" aria-hidden="true"> <img src="/assets/img/for-members/order-brochures.png" aria-label="" aria-hidden="true" class="nav-img" alt="Order Brochures, Signs, and Decals"> </div> <div class="h5">Order Brochures, Signs, and Decals</div> </a> </div> <div class="col-sm-6 col-md-3 pb-2 pt-3 d-flex flex-column"> <a href="/for-investors/fraud-alert" class="link-line-bottom h-100 desktop-nav-link"> <div class="mb-3" aria-hidden="true"> <img src="/assets/img/for-investors/fraud.png" aria-label="" aria-hidden="true" class="nav-img" alt="Fraud Alerts" style="object-position: center left;"> </div> <div class="h5">Fraud Alerts</div> <div class="small">See our latest fraud alerts to protect yourself.</div> </a> </div> <div class="col-sm-6 col-md-3 pb-2 pt-3 d-flex flex-column"> <a href="/portal" class="link-line-bottom h-100 desktop-nav-link"> <div class="mb-3" aria-hidden="true"> <img src="/assets/img/for-members/portal.png" aria-label="" aria-hidden="true" class="nav-img" alt="Portal Information"> </div> <div class="h5">Portal Information</div> <div class="small">Information about the SIPC Broker-Dealer Portal.</div> </a> </div> <div class="col-sm-6 col-md-3 pb-2 pt-3 d-flex flex-column"> <a href="/for-members/portal-webinar" class="link-line-bottom h-100 desktop-nav-link"> <div class="mb-3" aria-hidden="true"> <img src="/assets/img/for-members/webinar2.png" aria-label="" aria-hidden="true" class="nav-img" alt="Portal Webinar" style="object-position: top left;"> </div> <div class="h5">Portal Webinar</div> <div class="small">Watch a webinar about the SIPC Broker-Dealer Portal.</div> </a> </div> </div> <hr> <div> <div class="h4">Member Filing Requirements</div> <p>Questions about filing requirements? Call the membership department at (202) 371-8300 or email <a href="mailto:form@sipc.org">form@sipc.org</a>.</p> </div> <div class="row align-items-stretch"> <div class="col-sm-6 col-md-3 pb-2 pt-3 d-flex flex-column"> <a href="/for-members/filing-forms" class="link-line-bottom h-100 desktop-nav-link"> <div class="h5">How To File Your Assessment Forms (SIPC-6/SIPC-7)</div> </a> </div> <div class="col-sm-6 col-md-3 pb-2 pt-3 d-flex flex-column"> <a href="/for-members/annual-reports" class="link-line-bottom h-100 desktop-nav-link"> <div class="h5">How to File Your Annual Report</div> </a> </div> <div class="col-sm-6 col-md-3 pb-2 pt-3 d-flex flex-column"> <a href="/for-members/rule-600-reports" class="link-line-bottom h-100 desktop-nav-link"> <div class="h5">How To File Your Agreed-Upon Procedures (AUP) Report</div> </a> </div> <div class="col-sm-6 col-md-3 pb-2 pt-3 d-flex flex-column"> <a href="/for-members/sipc-3" class="link-line-bottom h-100 desktop-nav-link"> <div class="h5">How To File Your Form SIPC-3</div> </a> </div> </div> <hr> <div> <div class="h4"><a href="/portal">Portal Information</a></div> <p>Information about the SIPC broker-dealer portal.</p> </div> <div class="row align-items-stretch"> <div class="col-sm-6 col-md-3 pb-2 pt-3 d-flex flex-column"> <a href="/for-members/portal-introduction" class="link-line-bottom h-100 desktop-nav-link"> <div class="h5">Portal Introduction</div> </a> </div> <div class="col-sm-6 col-md-3 pb-2 pt-3 d-flex flex-column"> <a href="/for-members/portal-faqs" class="link-line-bottom h-100 desktop-nav-link"> <div class="h5">Portal FAQs</div> </a> </div> <div class="col-sm-6 col-md-3 pb-2 pt-3 d-flex flex-column"> <a href="/for-members/portal-admin-delegation" class="link-line-bottom h-100 desktop-nav-link"> <div class="h5">Portal Administrator Delegation</div> </a> </div> <div class="col-sm-6 col-md-3 pb-2 pt-3 d-flex flex-column"> <a href="/for-members/forms" class="link-line-bottom h-100 desktop-nav-link"> <div class="h5">How To File Portal Forms</div> </a> </div> </div> </div> </div> <div class="alert alert-warning m-0"> <div class="container"> <a class="btn btn-primary btn-lg" href="https://portal.sipc.org">SIPC Broker-Dealer Portal</a> <a class="btn btn-secondary btn-lg" href="/for-members/assessments">Pay Your Assessment</a> </div> </div> </div> </div> </div> </li> <li class="nav-item"> <a class="nav-link" href="/news-and-media" aria-label="News & Media">News & Media</a> <div class="nav-content"> <div class="page-intro"> <div class="container py-3"> <div class="row"> <div class="col-lg-3 border-right border-primary no-border-md-down"> <div class="h3">News & Media</div> </div> <div class="col-lg-9"> <p>News releases, brochures, reports, and more.</p> </div> </div> </div> </div> <div class="page-links"> <div class="container"> <div class="row pt-2 align-items-stretch"> <div class="col-sm-6 col-md-3 pb-2 pt-3 d-flex flex-column"> <a href="/news-and-media/news-releases" class="link-line-bottom h-100 desktop-nav-link"> <div class="mb-3" aria-hidden="true"> <img src="/assets/img/news-and-media/news-releases.png" aria-label="" aria-hidden="true" class="nav-img" alt="News Releases"> </div> <div class="h5">News Releases</div> </a> </div> <div class="col-sm-6 col-md-3 pb-2 pt-3 d-flex flex-column"> <a href="/news-and-media/speeches-and-testimony" class="link-line-bottom h-100 desktop-nav-link"> <div class="mb-3" aria-hidden="true"> <img src="/assets/img/news-and-media/speeches-and-testimony.png" aria-label="" aria-hidden="true" class="nav-img" alt="Speeches and Testimony" style="object-position: top;"> </div> <div class="h5">Speeches and Testimony</div> </a> </div> <div class="col-sm-6 col-md-3 pb-2 pt-3 d-flex flex-column"> <a href="/news-and-media/brochures" class="link-line-bottom h-100 desktop-nav-link"> <div class="mb-3" aria-hidden="true"> <img src="/assets/img/news-and-media/brochures.png" aria-label="" aria-hidden="true" class="nav-img" alt="Brochures"> </div> <div class="h5">Brochures</div> </a> </div> <div class="col-sm-6 col-md-3 pb-2 pt-3 d-flex flex-column"> <a href="/news-and-media/annual-reports" class="link-line-bottom h-100 desktop-nav-link"> <div class="mb-3" aria-hidden="true"> <img src="/assets/img/news-and-media/annual-reports.png" aria-label="" aria-hidden="true" class="nav-img" alt="Annual Reports"> </div> <div class="h5">Annual Reports</div> </a> </div> <div class="col-sm-6 col-md-3 pb-2 pt-3 d-flex flex-column"> <a href="/news-and-media/in-the-media" class="link-line-bottom h-100 desktop-nav-link"> <div class="mb-3" aria-hidden="true"> <img src="/assets/img/news-and-media/in-the-media.png" aria-label="" aria-hidden="true" class="nav-img" alt="In the Media" style="object-position: top;"> </div> <div class="h5">In the Media</div> </a> </div> <div class="col-sm-6 col-md-3 pb-2 pt-3 d-flex flex-column"> <a href="/news-and-media/media-contact" class="link-line-bottom h-100 desktop-nav-link"> <div class="mb-3" aria-hidden="true"> <img src="/assets/img/news-and-media/media-contact.png" aria-label="" aria-hidden="true" class="nav-img" alt="Media Contact"> </div> <div class="h5">Media Contact</div> </a> </div> </div> </div> </div> </div> </li> <li class="nav-item"> <a class="nav-link" href="/contact-us" aria-label="Contact Us">Contact Us</a> </li> </ul> </div> <div class="py-1 pl-3 align-self-center text-white bg-primary-extend-right"> <a href="/list-of-members" aria-label="List of Members">List Of Members</a> </div> </div> </div><div class="mobile-navigation"> <div class="d-flex d-lg-none navigation py-2"> <div id="mobile-menu"> <div id="hamburger"> <a href="#menu" aria-label="Expand Navigation"><i class="fas fa-bars"></i></a> </div>  <div id="menu"> <div class="menu-content"> <div class="menu-top"> <div> <form class="form-inline justify-content-center mobile-search" action="/search"> <label class="sr-only" for="mobile-query-">Search Query</label> <div class="input-group w-75"> <input type="search" class="form-control form-control-sm" name="query" id="mobile-query-" placeholder="Search"> <div class="input-group-append"> <button class="btn btn-secondary btn-sm shadow-none" type="submit" aria-label="Search"><i class="fas fa-search"></i></button> </div> </div> </form> </div> </div> <ul class="nav flex-column"> <li class="nav-item"> <a class="nav-link" href="#menu-about-sipc">About SIPC</a> <a class="nav-arrow" href="#menu-about-sipc" aria-hidden="true" tabindex="-1">></a> </li> <li class="nav-item"> <a class="nav-link" href="#menu-cases-and-claims">Cases & Claims</a> <a class="nav-arrow" href="#menu-cases-and-claims" aria-hidden="true" tabindex="-1">></a> </li> <li class="nav-item"> <a class="nav-link" href="#menu-for-investors">For Investors</a> <a class="nav-arrow" href="#menu-for-investors" aria-hidden="true" tabindex="-1">></a> </li> <li class="nav-item"> <a class="nav-link" href="#menu-for-members">For Member Firms</a> <a class="nav-arrow" href="#menu-for-members" aria-hidden="true" tabindex="-1">></a> </li> <li class="nav-item"> <a class="nav-link" href="#menu-news-and-media">News & Media</a> <a class="nav-arrow" href="#menu-news-and-media" aria-hidden="true" tabindex="-1">></a> </li> <li class="nav-item"> <a class="nav-link" href="https://portal.sipc.org">Broker-Dealer Portal</a> <a class="nav-arrow" href="https://portal.sipc.org" aria-hidden="true" tabindex="-1">></a> </li> <li class="nav-item"> <a class="nav-link font-size-small font-weight-normal" href="#"><small>Collapse Navigation</small></a> </li> </ul> <div class="menu-bottom text-center"> <a href="/contact-us">Contact Us</a> </div> </div> </div>  <div id="menu-about-sipc"> <div class="menu-content"> <div class="menu-top"> <div> <form class="form-inline justify-content-center mobile-search" action="/search"> <label class="sr-only" for="mobile-query-about-sipc">Search Query</label> <div class="input-group w-75"> <input type="search" class="form-control form-control-sm" name="query" id="mobile-query-about-sipc" placeholder="Search"> <div class="input-group-append"> <button class="btn btn-secondary btn-sm shadow-none" type="submit" aria-label="Search"><i class="fas fa-search"></i></button> </div> </div> </form> </div> <div> <a href="#menu" class="menu-back">Back</a> </div> </div> <div class="menu-current">About SIPC</div> <ul class="nav flex-column menu-secondary"> <li class="nav-item"> <a class="nav-link" href="/about-sipc/sipc-mission">Mission</a> <a class="nav-arrow" href="/about-sipc/sipc-mission" aria-hidden="true" tabindex="-1">></a> </li> <li class="nav-item"> <a class="nav-link" href="/about-sipc/history">History and Track Record</a> <a class="nav-arrow" href="/about-sipc/history" aria-hidden="true" tabindex="-1">></a> </li> <li class="nav-item"> <a class="nav-link" href="/about-sipc/leadership">Leadership</a> <a class="nav-arrow" href="/about-sipc/leadership" aria-hidden="true" tabindex="-1">></a> </li> <li class="nav-item"> <a class="nav-link" href="/about-sipc/the-sipc-logo">The SIPC Logo</a> <a class="nav-arrow" href="/about-sipc/the-sipc-logo" aria-hidden="true" tabindex="-1">></a> </li> <li class="nav-item"> <a class="nav-link" href="/about-sipc/the-sipc-fund">The SIPC Fund</a> <a class="nav-arrow" href="/about-sipc/the-sipc-fund" aria-hidden="true" tabindex="-1">></a> </li> <li class="nav-item"> <a class="nav-link" href="/about-sipc/statute-and-rules">Statute and Rules</a> <a class="nav-arrow" href="/about-sipc/statute-and-rules" aria-hidden="true" tabindex="-1">></a> </li> <li class="nav-item"> <a class="nav-link" href="/news-and-media/annual-reports">SIPC Annual Report</a> <a class="nav-arrow" href="/news-and-media/annual-reports" aria-hidden="true" tabindex="-1">></a> </li> <li class="nav-item"> <a class="nav-link" href="/news-and-media/brochures">Brochures</a> <a class="nav-arrow" href="/news-and-media/brochures" aria-hidden="true" tabindex="-1">></a> </li> <li class="nav-item"> <a class="nav-link font-size-small font-weight-normal" href="#"><small>Collapse Navigation</small> </a> </li> </ul> <div class="menu-bottom text-center"> <a href="/contact-us">Contact Us</a> </div> </div> </div> <div id="menu-cases-and-claims"> <div class="menu-content"> <div class="menu-top"> <div> <form class="form-inline justify-content-center mobile-search" action="/search"> <label class="sr-only" for="mobile-query-cases-and-claims">Search Query</label> <div class="input-group w-75"> <input type="search" class="form-control form-control-sm" name="query" id="mobile-query-cases-and-claims" placeholder="Search"> <div class="input-group-append"> <button class="btn btn-secondary btn-sm shadow-none" type="submit" aria-label="Search"><i class="fas fa-search"></i></button> </div> </div> </form> </div> <div> <a href="#menu" class="menu-back">Back</a> </div> </div> <div class="menu-current">Cases & Claims</div> <ul class="nav flex-column menu-secondary"> <li class="nav-item"> <a class="nav-link" href="/cases-and-claims/deadlines">Filing Deadlines</a> <a class="nav-arrow" href="/cases-and-claims/deadlines" aria-hidden="true" tabindex="-1">></a> </li> <li class="nav-item"> <a class="nav-link" href="/cases-and-claims/open-cases">All Open Cases</a> <a class="nav-arrow" href="/cases-and-claims/open-cases" aria-hidden="true" tabindex="-1">></a> </li> <li class="nav-item"> <a class="nav-link" href="/cases-and-claims/how-to-file-a-claim">How To File a Claim</a> <a class="nav-arrow" href="/cases-and-claims/how-to-file-a-claim" aria-hidden="true" tabindex="-1">></a> </li> <li class="nav-item"> <a class="nav-link" href="/cases-and-claims/claim-faqs">Claim FAQs</a> <a class="nav-arrow" href="/cases-and-claims/claim-faqs" aria-hidden="true" tabindex="-1">></a> </li> <li class="nav-item"> <a class="nav-link" href="/cases-and-claims/how-a-liquidation-works">How a Liquidation Works</a> <a class="nav-arrow" href="/cases-and-claims/how-a-liquidation-works" aria-hidden="true" tabindex="-1">></a> </li> <li class="nav-item"> <a class="nav-link" href="/cases-and-claims/how-the-claims-process-works">How The Claims Process Works</a> <a class="nav-arrow" href="/cases-and-claims/how-the-claims-process-works" aria-hidden="true" tabindex="-1">></a> </li> <li class="nav-item"> <a class="nav-link font-size-small font-weight-normal" href="#"><small>Collapse Navigation</small> </a> </li> </ul> <div class="menu-bottom text-center"> <a href="/contact-us">Contact Us</a> </div> </div> </div> <div id="menu-for-investors"> <div class="menu-content"> <div class="menu-top"> <div> <form class="form-inline justify-content-center mobile-search" action="/search"> <label class="sr-only" for="mobile-query-for-investors">Search Query</label> <div class="input-group w-75"> <input type="search" class="form-control form-control-sm" name="query" id="mobile-query-for-investors" placeholder="Search"> <div class="input-group-append"> <button class="btn btn-secondary btn-sm shadow-none" type="submit" aria-label="Search"><i class="fas fa-search"></i></button> </div> </div> </form> </div> <div> <a href="#menu" class="menu-back">Back</a> </div> </div> <div class="menu-current">For Investors</div> <ul class="nav flex-column menu-secondary"> <li class="nav-item"> <a class="nav-link" href="/for-investors/when-sipc-gets-involved">When SIPC Gets Involved</a> <a class="nav-arrow" href="/for-investors/when-sipc-gets-involved" aria-hidden="true" tabindex="-1">></a> </li> <li class="nav-item"> <a class="nav-link" href="/for-investors/what-sipc-protects">What SIPC Protects</a> <a class="nav-arrow" href="/for-investors/what-sipc-protects" aria-hidden="true" tabindex="-1">></a> </li> <li class="nav-item"> <a class="nav-link" href="/for-investors/investors-with-multiple-accounts">Investors with Multiple Accounts</a> <a class="nav-arrow" href="/for-investors/investors-with-multiple-accounts" aria-hidden="true" tabindex="-1">></a> </li> <li class="nav-item"> <a class="nav-link" href="/for-investors/investor-faqs">Investor FAQs</a> <a class="nav-arrow" href="/for-investors/investor-faqs" aria-hidden="true" tabindex="-1">></a> </li> <li class="nav-item"> <a class="nav-link" href="/for-investors/fraud-alert">Fraud Alerts</a> <a class="nav-arrow" href="/for-investors/fraud-alert" aria-hidden="true" tabindex="-1">></a> </li> <li class="nav-item"> <a class="nav-link" href="/for-investors/protecting-against-fraud">Protecting Yourself Against Fraud</a> <a class="nav-arrow" href="/for-investors/protecting-against-fraud" aria-hidden="true" tabindex="-1">></a> </li> <li class="nav-item"> <a class="nav-link" href="/news-and-media/annual-reports">SIPC Annual Report</a> <a class="nav-arrow" href="/news-and-media/annual-reports" aria-hidden="true" tabindex="-1">></a> </li> <li class="nav-item"> <a class="nav-link" href="/news-and-media/brochures">Brochures</a> <a class="nav-arrow" href="/news-and-media/brochures" aria-hidden="true" tabindex="-1">></a> </li> <li class="nav-item"> <a class="nav-link font-size-small font-weight-normal" href="#"><small>Collapse Navigation</small> </a> </li> </ul> <div class="menu-bottom text-center"> <a href="/contact-us">Contact Us</a> </div> </div> </div> <div id="menu-for-members"> <div class="menu-content"> <div class="menu-top"> <div> <form class="form-inline justify-content-center mobile-search" action="/search"> <label class="sr-only" for="mobile-query-for-members">Search Query</label> <div class="input-group w-75"> <input type="search" class="form-control form-control-sm" name="query" id="mobile-query-for-members" placeholder="Search"> <div class="input-group-append"> <button class="btn btn-secondary btn-sm shadow-none" type="submit" aria-label="Search"><i class="fas fa-search"></i></button> </div> </div> </form> </div> <div> <a href="#menu" class="menu-back">Back</a> </div> </div> <div class="menu-current">For Member Firms</div> <ul class="nav flex-column menu-secondary"> <li class="nav-item"> <a class="nav-link" href="/for-members/assessment-rate">Assessment Rate</a> <a class="nav-arrow" href="/for-members/assessment-rate" aria-hidden="true" tabindex="-1">></a> </li> <li class="nav-item"> <a class="nav-link" href="/for-members/portal-introduction">Portal Introduction</a> <a class="nav-arrow" href="/for-members/portal-introduction" aria-hidden="true" tabindex="-1">></a> </li> <li class="nav-item"> <a class="nav-link" href="/for-members/member-faqs">Member FAQs</a> <a class="nav-arrow" href="/for-members/member-faqs" aria-hidden="true" tabindex="-1">></a> </li> <li class="nav-item"> <a class="nav-link" href="/for-members/portal-faqs">Portal FAQs</a> <a class="nav-arrow" href="/for-members/portal-faqs" aria-hidden="true" tabindex="-1">></a> </li> <li class="nav-item"> <a class="nav-link" href="/for-members/portal-admin-delegation">Portal Administrator Delegation</a> <a class="nav-arrow" href="/for-members/portal-admin-delegation" aria-hidden="true" tabindex="-1">></a> </li> <li class="nav-item"> <a class="nav-link" href="/for-members/sipc-logo">SIPC Logo Rules</a> <a class="nav-arrow" href="/for-members/sipc-logo" aria-hidden="true" tabindex="-1">></a> </li> <li class="nav-item"> <a class="nav-link" href="/for-members/forms">How To File Portal Forms</a> <a class="nav-arrow" href="/for-members/forms" aria-hidden="true" tabindex="-1">></a> </li> <li class="nav-item"> <a class="nav-link" href="/for-members/order">Order Brochures, Signs, and Decals</a> <a class="nav-arrow" href="/for-members/order" aria-hidden="true" tabindex="-1">></a> </li> <li class="nav-item"> <a class="nav-link" href="/for-investors/fraud-alert">Fraud Alerts</a> <a class="nav-arrow" href="/for-investors/fraud-alert" aria-hidden="true" tabindex="-1">></a> </li> <li class="nav-item"> <a class="nav-link" href="/for-members/filing-forms">How To File Your Assessment Forms (SIPC-6/SIPC-7)</a> <a class="nav-arrow" href="/for-members/filing-forms" aria-hidden="true" tabindex="-1">></a> </li> <li class="nav-item"> <a class="nav-link" href="/for-members/annual-reports">How to File Your Annual Report</a> <a class="nav-arrow" href="/for-members/annual-reports" aria-hidden="true" tabindex="-1">></a> </li> <li class="nav-item"> <a class="nav-link" href="/portal">Portal Information</a> <a class="nav-arrow" href="/portal" aria-hidden="true" tabindex="-1">></a> </li> <li class="nav-item"> <a class="nav-link" href="/for-members/portal-webinar">Portal Webinar</a> <a class="nav-arrow" href="/for-members/portal-webinar" aria-hidden="true" tabindex="-1">></a> </li> <li class="nav-item"> <a class="nav-link" href="/for-members/rule-600-reports">How To File Your Agreed-Upon Procedures (AUP) Report</a> <a class="nav-arrow" href="/for-members/rule-600-reports" aria-hidden="true" tabindex="-1">></a> </li> <li class="nav-item"> <a class="nav-link" href="/for-members/sipc-3">How To File Your Form SIPC-3</a> <a class="nav-arrow" href="/for-members/sipc-3" aria-hidden="true" tabindex="-1">></a> </li> <li class="nav-item"> <a class="nav-link" href="/for-members/assessments">Pay Assessments</a> <a class="nav-arrow" href="/for-members/assessments" aria-hidden="true" tabindex="-1">></a> </li> <li class="nav-item"> <a class="nav-link font-size-small font-weight-normal" href="#"><small>Collapse Navigation</small> </a> </li> </ul> <div class="menu-bottom text-center"> <a href="/contact-us">Contact Us</a> </div> </div> </div> <div id="menu-news-and-media"> <div class="menu-content"> <div class="menu-top"> <div> <form class="form-inline justify-content-center mobile-search" action="/search"> <label class="sr-only" for="mobile-query-news-and-media">Search Query</label> <div class="input-group w-75"> <input type="search" class="form-control form-control-sm" name="query" id="mobile-query-news-and-media" placeholder="Search"> <div class="input-group-append"> <button class="btn btn-secondary btn-sm shadow-none" type="submit" aria-label="Search"><i class="fas fa-search"></i></button> </div> </div> </form> </div> <div> <a href="#menu" class="menu-back">Back</a> </div> </div> <div class="menu-current">News & Media</div> <ul class="nav flex-column menu-secondary"> <li class="nav-item"> <a class="nav-link" href="/news-and-media/news-releases">News Releases</a> <a class="nav-arrow" href="/news-and-media/news-releases" aria-hidden="true" tabindex="-1">></a> </li> <li class="nav-item"> <a class="nav-link" href="/news-and-media/speeches-and-testimony">Speeches and Testimony</a> <a class="nav-arrow" href="/news-and-media/speeches-and-testimony" aria-hidden="true" tabindex="-1">></a> </li> <li class="nav-item"> <a class="nav-link" href="/news-and-media/brochures">Brochures</a> <a class="nav-arrow" href="/news-and-media/brochures" aria-hidden="true" tabindex="-1">></a> </li> <li class="nav-item"> <a class="nav-link" href="/news-and-media/annual-reports">Annual Reports</a> <a class="nav-arrow" href="/news-and-media/annual-reports" aria-hidden="true" tabindex="-1">></a> </li> <li class="nav-item"> <a class="nav-link" href="/news-and-media/in-the-media">In the Media</a> <a class="nav-arrow" href="/news-and-media/in-the-media" aria-hidden="true" tabindex="-1">></a> </li> <li class="nav-item"> <a class="nav-link" href="/news-and-media/media-contact">Media Contact</a> <a class="nav-arrow" href="/news-and-media/media-contact" aria-hidden="true" tabindex="-1">></a> </li> <li class="nav-item"> <a class="nav-link font-size-small font-weight-normal" href="#"><small>Collapse Navigation</small> </a> </li> </ul> <div class="menu-bottom text-center"> <a href="/contact-us">Contact Us</a> </div> </div> </div> <div id="hamburger-x"> <a href="#" aria-label="Collapse Navigation"><i class="fas fa-times"></i></a> </div> </div> <div class="flex-grow-1 px-2"> <a href="/"><img src="/assets/img/sipc_logo.svg" alt="SIPC Logo" class="logo"></a> </div> <div class="py-1 pl-3 pr-5 align-self-center text-white bg-primary-extend-right"> <a href="/list-of-members">List Of Members</a> </div> </div> </div> <div class="flex-grow-1 d-flex flex-column"> <div id="content" class="flex-grow-1 d-flex flex-column"> <div class="bg-secondary"> <div class="container py-3"> <div class="row align-items-center"> <div class="col-md-8"> <div class="mb-2"> <div class="h3 d-md-inline text-uppercase text-accent">Fraud Alerts:</div> <div class="h4 d-md-inline text-white">See our latest fraud alerts to protect yourself.</div> </div> </div> <div class="col-md-4"> <a href="/for-investors/fraud-alert" class="btn btn-accent text-uppercase text-primary text-wrap text-uppercase">Click Here For More Information</a> </div> </div> <div class="row"> <div class="col-12 text-white"> <i class="fas fa-exclamation-triangle"></i> Malicious actors may attempt to impersonate SIPC employees in fraudulent e-mails or on documents appearing to bear a SIPC seal and/or officer or employee signature. If an e-mail or document is suspicious, please contact SIPC to confirm its authenticity. Malicious actors also may pose as SIPC through false or fraudulent websites that mimic SIPC's web site. Beware of any websites using similar domain names to SIPC's or that resemble SIPC’s website except for certain contact information. SIPC's official website appears exclusively at www.sipc.org. For any questions or concerns, contact SIPC at 202-371-8300 or by manually addressing an email to <a class="text-white" href="mailto:asksipc@sipc.org">asksipc@sipc.org</a>. </div> </div> </div> </div> <div class="splash d-flex flex-column justify-content-between"> <div class="container splash-intro"> <div class="row"> <div class="col-md-6 py-4"> </div> </div> </div> <div class="splash-image" id="splash-investors"> <img src="/assets/img/home/lighthouse.png" aria-label="" class="w-100 img-responsive" alt="For Investors" style="object-fit: cover; object-position: top right; height: 400px"> </div> <div class="splash-image invisible" id="splash-members"> <img src="/assets/img/home/for-brokerage-firms.png" aria-label="" class="w-100 img-responsive" alt="For Member Firms" style="object-fit: cover; object-position: center; height: 400px"> </div> <div class="splash-image invisible" id="splash-cases"> <img src="/assets/img/home/filing-claims.png" aria-label="" class="w-100 img-responsive" alt="Cases & Claims" style="object-fit: cover; object-position: center; height: 400px"> </div> <div class="splash-links pt-5 pb-2 text-white"> <div class="container"> <div class="row"> <div class="col-md-4"> <div class="h5 text-uppercase text-white"><a href="/for-investors">For Investors</a></div> </div> <div class="col-md-4"> <div class="h5 text-uppercase text-white"><a href="/for-members" onmouseover="document.getElementById('splash-members').classList.remove('invisible')" onmouseout="document.getElementById('splash-members').classList.add('invisible')">For Member Firms</a></div> </div> <div class="col-md-4"> <div class="h5 text-uppercase text-white"><a href="/cases-and-claims" onmouseover="document.getElementById('splash-cases').classList.remove('invisible')" onmouseout="document.getElementById('splash-cases').classList.add('invisible')">Cases & Claims</a></div> </div> </div> </div> </div> </div> <div class="bg-white"> <div class="container py-4"> <div class="row align-items-center"> <div class="col-md-6"> <div class="h6 mb-4"> SIPC has issued Investor Bulletins explaining SIPC’s protection and claims process. <a href="https://www.investor.gov/introduction-investing/general-resources/news-alerts/alerts-bulletins/investor-bulletins-101">Click here</a> for Part I ("SIPC Basics"). <a href="https://www.investor.gov/introduction-investing/general-resources/news-alerts/alerts-bulletins/investor-bulletins-102">Click here</a> for Part II ("Filing a SIPC Claim"). </div> <div> <a href="/for-investors/introduction" class="btn btn-secondary mb-2">A Brief Introduction</a> <a href="/video" class="btn btn-primary mb-2"><i class="far fa-play-circle"></i> Watch The Video</a> </div> <div> <p><small>If you have trouble viewing the video, please <a href="https://www.youtube.com/watch?v=mbisDzlIbY4">click here to view it on YouTube</a> or <a href="https://www.facebook.com/sipcorg/videos/324827088947372">click here to view it on Facebook</a>.</small></p> </div> <div class="h4 mt-4 mb-4">We are a non-profit corporation that has been protecting investors for over 50 years. SIPC has recovered billions of dollars for investors.</div> </div> <div class="col-md-6 mb-xs-4 mb-md-0 pb-3"> <video id="video-player" preload="none" poster="https://stsipcprodpublic.blob.core.windows.net/videos/sipc-video.png" controls="" class="cld-video-player cld-fluid"> <source src="https://stsipcprodpublic.blob.core.windows.net/videos/sipc-video.mp4" type="video/mp4"> <track label="English" kind="subtitles" srclang="en" src="https://stsipcprodpublic.blob.core.windows.net/videos/sipc-video-cc.vtt"> </video> </div> </div> </div> </div> <div class="bg-light"> <div class="container py-4"> <div class="row align-items-center"> <div class="col-md-6"> <div class="h5 mt-4 mb-4">Created by Congress in 1970, SIPC celebrated 50 years of protecting investors in 2020.</div> <div> <a href="/media/sipc-50th-report.pdf" class="btn btn-secondary mb-2">Read the Special Anniversary Report here</a> <a href="/video50" class="btn btn-primary mb-2"><i class="far fa-play-circle"></i> Watch the Anniversary Video</a> </div> </div> <div class="col-md-4 col-sm-6 mb-xs-4 mb-md-0 pb-2"> <video id="video-player-50th" preload="none" poster="https://stsipcprodpublic.blob.core.windows.net/videos/sipc-video-50-v2.png" controls="" class="cld-video-player cld-fluid"> <source src="https://stsipcprodpublic.blob.core.windows.net/videos/sipc-video-50-v2.mp4" type="video/mp4"> </video> </div> </div> </div> </div> <div class="bg-white"> <div class="container py-5"> <div class="text-center pb-3"> <div class="h3">Important Information for Investors</div> </div> <div class="row"> <div class="col-md-4 mb-3"> <a href="/cases-and-claims/deadlines"> <div class="mb-3"> <img src="/assets/img/home/filing-deadlines.png" aria-label="" class="w-100 img-responsive" alt="Claim Filing Deadlines" style="object-fit: cover; object-position: center; height: 200px;"> </div> <div class="h4">Claim Filing Deadlines</div> </a> <div class="h6">When you file matters. Filing deadlines explained.</div> </div> <div class="col-md-4 mb-3"> <a href="/list-of-members"> <div class="mb-3"> <img src="/assets/img/for-members/sipc-logo.png" aria-label="" class="w-100 img-responsive" alt="Is Your Broker a SIPC Member?" style="object-fit: cover; object-position: center; height: 200px;"> </div> <div class="h4">Is Your Broker a SIPC Member?</div> </a> <div class="h6">SIPC protects the customers of over 3,200 members.</div> </div> <div class="col-md-4 mb-3"> <a href="/cases-and-claims/open-cases"> <div class="mb-3"> <img src="/assets/img/cases-and-claims/all-open-cases.png" aria-label="" class="w-100 img-responsive" alt="Open Cases" style="object-fit: cover; object-position: center; height: 200px;"> </div> <div class="h4">Open Cases</div> </a> <div class="h6">Cases that are still being processed.</div> </div> </div> </div> </div> </div> </div> <div class="bg-dark footer"> <div class="container py-5"> <div class="row"> <div class="col-md-3 mb-4"> <div class="mb-4"> <a href="/"><img src="/assets/img/sipc_logo.svg" alt="SIPC Logo" class="logo invert"></a> </div> <div class="h3"> <a href="http://www.facebook.com/sipcorg" aria-label="Navigate to SIPC Facebook Page"><i class="fab fa-facebook-square"></i></a> <a href="http://www.twitter.com/sipc" aria-label="Navigate to SIPC Twitter Page"><i class="fab fa-twitter-square"></i></a> </div> </div> <div class="col-md-3 mb-4"> <ul class="nav flex-column"> <li class="nav-item"> <a class="nav-link" href="/">Home</a> </li> <li class="nav-item"> <a class="nav-link" href="/about-sipc">About SIPC</a> </li> <li class="nav-item"> <a class="nav-link" href="/cases-and-claims">Cases & Claims</a> </li> <li class="nav-item"> <a class="nav-link" href="/for-investors">For Investors</a> </li> <li class="nav-item"> <a class="nav-link" href="/for-members">For Member Firms</a> </li> <li class="nav-item"> <a class="nav-link" href="/news-and-media">News & Media</a> </li> <li class="nav-item"> <a class="nav-link" href="/contact-us">Contact Us</a> </li> <li class="nav-item"> <a class="nav-link" href="/list-of-members">List of Members</a> </li> </ul> </div> <div class="col-md-3 mb-4"> <ul class="nav flex-column"> <li class="nav-item"> <a class="nav-link" href="https://portal.sipc.org">Broker-Dealer Portal</a> </li> <li class="nav-item d-none d-md-block" aria-hidden="true"> <span class="nav-link"> </span> </li> <li class="nav-item"> <a class="nav-link" href="/search"><i class="fas fa-search"></i> Search</a> </li> <li class="nav-item d-none d-md-block" aria-hidden="true"> <span class="nav-link"> </span> </li> <li class="nav-item"> <a class="nav-link" href="/espanol"><i class="fas fa-globe"></i> Español</a> </li> <li class="nav-item d-none d-md-block" aria-hidden="true"> <span class="nav-link"> </span> </li> <li class="nav-item"> <a class="nav-link" href="/disclaimer">Disclaimer</a> </li> <li class="nav-item"> <a class="nav-link" href="/privacy-policy">Privacy Policy</a> </li> <li class="nav-item"> <a class="nav-link" href="/site-map">Site Map</a> </li> </ul> </div> <div class="col-md-3"> <div class="h6 font-weight-bold">Get In Touch</div> <p> Securities Investor<br> Protection Corporation<br> 1667 K St. N.W., Suite 1000<br> Washington, D.C. 20006-1620<br> <br> Telephone: (202) 371-8300<br> Fax: (202) 223-1679<br> Email: <a href="mailto:asksipc@sipc.org">asksipc@sipc.org</a> </p> </div> </div> </div> </div> <script> let cld = cloudinary.Cloudinary.new({cloud_name: "sipc", secure: true}); cld.responsive(); </script> <script> try { cld.videoPlayer('video-player'); } catch(ex) { // Hack because the video player throws when registering the event handlers for video.js .tech_ property } try { cld.videoPlayer('video-player-50th'); } catch(ex) { // Hack because the video player throws when registering the event handlers for video.js .tech_ property } </script> </body></html>

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