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U.S. Code as of:
01/19/04
Section 78hhh. Examining authority functions
Each member of SIPC shall file with such member's examining
authority, or collection agent if a collection agent has been
designated pursuant to section 78iii(a) of this title, such
information (including reports of, and information with respect to,
the gross revenues from the securities business of such member,
including the composition thereof, transactions in securities
effected by such member, and other information with respect to such
member's activities, whether in the securities business or
otherwise, including customer accounts maintained, net capital
employed, and activities conducted) as SIPC may determine to be
necessary or appropriate for the purpose of making assessments
under section 78ddd of this title. The examining authority or
collection agent shall file with SIPC all or such part of such
information (and such compilations and analyses thereof) as SIPC,
by bylaw or rule, shall prescribe. No application, report, or
document filed pursuant to this section shall be deemed to be filed
pursuant to section 78r of this title.
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