CITE

    15 USC Sec. 78hhh                                           01/08/2008

EXPCITE

    TITLE 15 - COMMERCE AND TRADE
    CHAPTER 2B091 - SECURITIES INVESTOR PROTECTION

HEAD

    Sec. 78hhh. Examining authority functions

STATUTE

      Each member of SIPC shall file with such member's 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
    member's 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.

SOURCE

    (Pub. L. 91-598, Sec. 12, formerly Sec. 8, Dec. 30, 1970, 84 Stat.
    1653; renumbered Sec. 12 and amended Pub. L. 95-283, Secs. 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.