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Who examines the operational and financial conditions of SIPC members?

April 26, 2017Conditions examines financial members operational sipc

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Who examines the operational and financial conditions of SIPC members?

1 Answer

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10 Posted

The SEC, Financial Industry Regulatory AuthorityTM (FINRATM), and state regulators are the “examining authorities” for SIPC members. SIPC itself has no authority to examine or inspect member broker-dealers.