Broker-Dealers are required to file their SIPC assessment forms (the SIPC-6 and SIPC-7) electronically through the Broker-Dealer Portal. No forms are accepted by mail or e-mail. Questions about filing forms should be directed to the Membership Department at (202) 371-8300 or form@sipc.org.
SIPC-6, General Assessment Form. To be filed for the first half of the member’s fiscal year. The completed form together with any assessment owed is due 30 days after the period covered.
SIPC-7, General Assessment Form. To be filed at the end of the member’s 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.
Broker-Dealer Portal