Pursuant to SEC Rule 17a-5(d)(1), 17 C.F.R. § 240.17a-5(d)(1), unless otherwise exempted, all members of SIPC that are required to file Annual Reports with the SEC and their Designated Examining Authority (DEA) are also required to file their Annual Reports with SIPC. See SEC Rule 17a-5(d)(6), 17 C.F.R. § 240.17a-5(d)(6).

Annual audit reports are due to SIPC when they are due to the DEA and the SEC (not more than sixty calendar days after the end of the member’s fiscal year).

Through an arrangement with FINRA, all members that file Annual Reports with their DEA through the FINRA Firm Gateway will use the FINRA Firm Gateway to also file their Annual Reports with SIPC. When an Annual Report is filed by a member through the FINRA Firm Gateway, this will also constitute filing with SIPC. When filing through the FINRA Firm Gateway the FINRA site will indicate:

By submitting this report, [the firm] acknowledges that the filing of its Annual Report with FINRA (initial and amendments) also constitutes filing of the Annual Report with SIPC pursuant to SEC Rule 17a-5 if the firm is also a SIPC member

SIPC members that do not file through the FINRA Firm Gateway will be provided with instructions.

August 1, 2017 Letter to SIPC Members re: Change in Filing Method for Annual Reports Filed with SIPC Effective September 1, 2017

For more information, please see Questions about Annual Reports.