Series 27: Organization And Purpose Of SIPC

Taken from our Series 27 Online Guide

Organization and Purpose of SIPC

The Securities Investor Protection Corporation is not a government agency but a membership-owned, nonprofit corporation, whose membership consists of virtually every brokerage firm registered with the SEC. Exempt broker-dealers include firms that exclusively sell mutual funds, variable annuities, U.S. securities, or investment advice, and firms who

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