SIPC - All Open Cases

About SIPC

Who We Are

We are a non-profit corporation that has been protecting investors for 50 years. We work to restore investors’ cash and securities when their brokerage firm fails. SIPC has recovered billions of dollars for investors.

Mission

SIPC works to restore investors’ assets when a brokerage firm fails financially.

History and Track Record

SIPC has restored billions of dollars for investors.

Leadership

Our job is to recover missing assets if your brokerage firm fails financially.

The SIPC Logo

The SIPC logo means your assets are protected under the Securities Investor Protection Act (SIPA).

The SIPC Fund

SIPC maintains resources from which we can draw to restore customer assets.

Statute and Rules

SIPC is a non-profit corporation created by Congress some 50 years ago.

SIPC Annual Report

The year in review.

Brochures

Download or view SIPC brochures here.
Cases & Claims

Cases & Claims

Find claim forms and deadlines for open cases here.
SIPC has restored billions of dollars for investors.

Filing Deadlines

When you file matters. Filing deadlines explained.

How To File a Claim

Claim FAQs

All Open Cases

Cases that are still being processed.

How a Liquidation Works

Steps SIPC takes to recover customer assets when a brokerage firm fails financially.

How The Claims Process Works

What happens when you file a claim.
For Investors

How We Protect You

SIPC has recovered billions of dollars for investors. Our job is to recover missing cash or securities if your brokerage firm has gone out of business.

SIPC has issued Investor Bulletins explaining SIPC’s protection and claims process. Click here for Part I ("SIPC Basics"). Click here for Part II ("Filing a SIPC Claim").

What is SIPC?

Click here for a brief introduction

How SIPC Protects You

First 50 years of protection

When SIPC Gets Involved

SIPC steps in when a brokerage firm fails financially, and assets are missing from customer accounts.

What SIPC Protects

SIPC protects customer assets when a SIPC-member brokerage firm fails financially.

Investors with Multiple Accounts

Understand how SIPC protection works if you have multiple accounts.

Investor FAQs

Find answers to your questions.

Fraud Alerts

See our latest fraud alerts to protect yourself.

Protecting Yourself Against Fraud

Steps you can take to protect yourself from fraud.

SIPC Annual Report

The year in review.

Brochures

Download or view SIPC brochures here.
For Member Firms

For Member Firms

SIPC member brokerage firms can find information here about filing requirements, the SIPC assessment, and the SIPC logo.

Member Information

Guidelines and tools for SIPC member brokerage firms.

Assessment Rate

Member FAQs

SIPC Logo Rules

Order Brochures, Signs, and Decals

Fraud Alerts

See our latest fraud alerts to protect yourself.

Portal Information

Information about the SIPC Broker-Dealer Portal.

Member Filing Requirements

Questions about filing requirements? Call the membership department at (202) 371-8300 or email form@sipc.org.

How To File Your Assessment Forms (SIPC-6/SIPC-7)

How to File Your Annual Report

How To File Your Agreed-Upon Procedures (AUP) Report

How To File Your Form SIPC-3

Pay your assessment here.
News & Media

News & Media

News releases, brochures, reports, and more.

News Releases

Speeches and Testimony

Brochures

Annual Reports

In the Media

Media Contact
Contact Us