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Membership in SIPC is automatic upon effective 1934 Act Section 15(b) registration, with three exceptions:

Persons registered as brokers or dealers under 15 U.S.C. section 78o (b)(11)(A) with respect to transactions in security futures products.

1. Broker-dealers whose business is exclusively:
   • the distribution of shares of mutual funds,
   • the sale of variable annuities,
   • the business of insurance, or
   • furnishing investment advice to investment companies or insurance company separate accounts.

2. Broker-dealers whose principal business, in the determination of SIPC, is outside the United States and its territories.

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