
From the U.S. Code Online via GPO Access
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[Laws in effect as of January 2, 2001]
[Document not affected by Public Laws enacted between
  January 2, 2001 and January 28, 2002]
[CITE: 15USC78hhh]

 
                      TITLE 15--COMMERCE AND TRADE
 
              CHAPTER 2B-1--SECURITIES INVESTOR PROTECTION
 
Sec. 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.

(Pub. L. 91-598, Sec. 12, formerly Sec. 8, Dec. 30, 1970, 84 Stat. 1653; 
renumbered Sec. 12 and amended Pub. L. 95-283, Secs. 9, 11, May 21, 
1978, 92 Stat. 260, 268.)


                            Prior Provisions

    A prior section 12 of Pub. L. 91-598 was renumbered section 16 and 
is classified to section 78lll of this title.


                               Amendments

    1978--Pub. L. 95-283 inserted provisions relating to applicability 
to a collection agent.
