SIPC Statute and Rules

Though created by the Securities Investor Protection Act (15 U.S.C. §78aaa et seq., as amended), SIPC is neither a government agency nor a regulatory authority. It is a nonprofit, membership corporation, funded by its member securities broker-dealers.

For a PDF download of the SIPC statute, click here. (Need Adobe Acrobat? Click here for free version.)

SIPC Rules

Click on the Series Number of the rule you wish to view:
(Need Adobe Acrobat? Click here for free version.)

• Series 100
• Series 200
• Series 300
• Series 400
• Series 500

Why Was SIPC Created?

The SIPC Mission

Our 37-Year Track Record for Investors

Answers to the 7 Most Asked Questions

Why We Are Not the FDIC

SIPC Statute

Annual Reports

Member Database