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

Once granted access to the SIPC Portal, Broker-Dealers are required to file their SIPC assessment forms (the SIPC-6 and SIPC-7) electronically through the SIPC Portal. Broker-Dealers are given initial access to the SIPC Portal on a staggered basis, based on their fiscal year end. Once access to the SIPC Portal is granted, no forms will be accepted by mail or e-mail. Questions about filing forms should be directed to the Membership Department at (202) 371-8300 or These PDF versions of the assessment forms are provided as fillable Acrobat PDF forms to be used only by Broker-Dealers who do not yet have access to the SIPC Portal. Please go here if you need assistance using Adobe Reader to complete a form. Broker-Dealers with access to the SIPC Portal must file all forms through the SIPC Portal.


SIPC-6, General Assessment Payment Form. To be filed for the first half of the fiscal year. The completed form together with any assessment owed, is due 30 days after the period covered plus a 15 day grace period.


SIPC-7, General Assessment Reconciliation Form. To be filed at the end of the 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 plus a 15 day grace period. (Assessment Rate is 0.0015 for fiscal years ending 12/31/2017 and after)