Series 24: Securities Investor Protection Act And SIPC Rules Thereunder

Taken from our Series 24 Online Guide

Securities Investor Protection Act and SIPC Rules Thereunder

In the late 1960s, a crisis in the securities industry led to a frightening succession of brokerage failures. The customers they served lost their investments or became mired in bankruptcy proceedings. To restore public confidence in the industry, Congress responded with the Securities Investor Protection Act of 1970 (SIPA). SIPA created the Securities Investor Protection Corporation (SIPC) in an attempt to protect investors by providing insurance for the assets contained in their securities ac

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