15-U.S.C.-78HHH

§78Hhh – Examining Authority Functions

Pathway

Title 15 > Chapter 2B > Section 78hhh

Details

• Reference: Section 78hhh
• Legend: §78Hhh – Examining Authority Functions
• USCode Year: 2013

Provision Content

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. 91–598, §12, formerly §8, Dec. 30, 1970, 84 Stat. 1653; renumbered §12 and amended Pub. L. 95–283, §§9, 11, May 21, 1978, 92 Stat. 260, 268.)

Prior Provisions

A prior section 12 of Pub. L. 91–598 was renumbered section 16 and is classified to section 78lll of this title.

Amendments

1978—Pub. L. 95–283 inserted provisions relating to applicability to a collection agent.

U.S. Encyclopedia of Law Coverage

15-U.S.C.-78GG in the Legal Encyclopedia: Trade Law

In this entry about 15-U.S.C.-78GG, find legal reference material, bibliographies and premiere content related to trade law in the American Encyclopedia of Law, presenting a comprehensive view of the United States trade law-specific issues, written by authorities in the field.

15-U.S.C.-78FF in the Legal Encyclopedia: Securities Exchanges

In this entry about 15-U.S.C.-78FF, find legal reference material, bibliographies and premiere content related to securities exchanges in the American Encyclopedia of Law, presenting a comprehensive view of the United States securities exchanges-specific issues, written by authorities in the field.

Topic Map

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