§ 78hhh. — Examining authority functions.
[Laws in effect as of January 24, 2002]
[Document not affected by Public Laws enacted between
January 24, 2002 and December 19, 2002]
[CITE: 15USC78hhh]
TITLE 15--COMMERCE AND TRADE
CHAPTER 2B-1--SECURITIES INVESTOR PROTECTION
Sec. 78hhh. Examining authority functions
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.
(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.
