Members of SIPC are required to pay an assessment of .0025 of SIPC Net Operating Revenue as defined by the SIPC By Laws Article VI. The SIPC 6 General Assessment is to be filed by all members of the Securities Investor Protection Corporation for the first half of each fiscal year, due no later than … Continue reading SIPC Assessments (Year ending September 30, 2012) SIPC 6 →

FINRA and the other ISG‐interested members have extended the effective date for compliance with certain new data elements identified in Regulatory Notice 12‐36 to May 1, 2013. The Order Execution Time field must be added to the EBS format by November 30, 2012, as currently required, but it is not required to be populated for … Continue reading Final Effective Date: Enhanced Electronic Blue Sheet Submissions →