Questions about filing forms should be directed to the Membership department at (202) 371-8300 or form@sipc.org. The filing forms are provided as fillable Acrobat PDF forms. Please go here if you need assistance using Adobe Reader to complete a form.

SIPC-6, General Assessment Payment Form (working copy). To be filed for the first half of the fiscal year. The completed form together with any assessment owed, is due 30 days after the period covered plus a 15 day grace period.

SIPC-7, General Assessment Reconciliation Form (working copy). To be filed at the end of the fiscal year, less any assessment paid with the SIPC-6. The completed form with any additional assessment owed, is due 60 days after the fiscal year end plus a 15 day grace period.

SIPC-3, Certification of Exclusion from Membership. Must be completed and filed only by excluded persons no later than 30 days after the effective date of their 1934 Act registration and annually thereafter no later than 30 days after the beginning of the calendar year.

Completed forms should be mailed to:
Securities Investor Protection Corporation
P.O. Box 92185
Washington, DC 20090-2185

Completed forms sent via FedEx, UPS or DHL should be sent to:
Securities Investor Protection Corporation
805 15th Street, N.W., Suite 800
Washington, D.C. 20005-2215