Supplemental Report on SIPC Membership Template

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The SIPC Series 600 Rules require broker-dealers to file with SIPC a copy of this Supplemental Report on SIPC Membership (commonly referred to as the “Independent Accountants’ Report on Applying Agreed-Upon Procedures” or “AUP Report”) within 60 days after the end of a broker-dealer’s fiscal year (or within 90 days after the end of a broker-dealer’s fiscal year for certain Broker-Dealers covered by SEC Release No. 34-91128). A SIPC member is not required to file the report for any year in which it reports $500,000 or less in total revenues. SIPC-3 filers are required to file an AUP Report regardless of the total revenues reported.

Version/Update: V.U/June 2021

Total Page Count/Format: 2/.docx

Source/Author(s): AICPA