How To File Your Form SIPC-3

Questions about filing forms should be directed to the Membership department at (202) 371-8300 or The filing forms are provided as fillable Acrobat PDF forms. Please go here if you need assistance using Adobe Reader to complete a form.

SIPC-3, Certification of Exclusion from Membership. Must be completed and filed only by excluded persons no later than 30 days after the effective date of their 1934 Act registration and annually thereafter no later than 30 days after the beginning of each fiscal year.