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- FACT SHEET Final Rule: Reporting of Securities Loans - SEC. gov
The Securities and Exchange Commission adopted Rule 10c-1a under the Securities Exchange Act of 1934 to increase the transparency and efficiency of the securities lending market by requiring that:
- Final Rule: Reporting of Securities Loans - SEC. gov
Proposed Rule 10c-1 referred to “Rule 10c-1 information” as “the information in paragraphs (b) through (e) of this section ” These paragraphs specifically included transaction data elements, loan modification data elements, confidential data elements, and securities available to loan and securities on loan
- Statement Regarding Rule 10c1-a and Rule 13f-2 and Related Form SHO
[3] The current temporary exemption from compliance ends January 2, 2026, for reporting under Rule 13f-2 and Form SHO; September 28, 2026, for reporting under Rule 10c-1a; and March 29, 2027, for the dissemination requirements under Rules 10c-1a (g) and (h) (3)
- Order Approving a Proposed Rule Change, as Modified by Partial . . .
As originally proposed in the Notice, this requirement would have applied with respect to a reporting obligation under both Rule 10c-1a and SLATE Partial Amendment No 1 removed the text “and this Rule 6500 Series” from proposed Rule 6530(c)(3)
- Order Granting Temporary Exemptive Relief, Pursuant to Section 36(a)(1 . . .
II Discussion and Exemptive Relief In its request, FINRA stated that the Rule 10c-1a compliance efforts require building the technology infrastructure, launching SLATE, providing user acceptance testing opportunities and incorporating any participant feedback from testing, developing the documents and processes
- Secretary US Securities and Exchange Commission 100 F Street NE - SEC. gov
We appreciate that FINRA is required to promulgate rules pursuant to Rule 10c-1a(f) and that FINRA must propose those rules by May 2, 2024, which it has done 4 Given, however, that FINRA did not solicit public comment prior to filing the proposed rules and the Commission set a comment deadline of 21 days after publication in the Federal
- Fact Sheet: Securities Lending Transparency - SEC. gov
In response, the Commission’s proposed Rule 10c-1 is designed to provide investors and other market participants with access to pricing and other material information regarding securities lending transactions in a timely manner
- Order Instituting Proceedings to Determine Whether to Approve or . . .
Exchange Act Rule 10c-1a, to adopt the new FINRA Rule 6500 Series (Securities Lending and Transparency Engine (SLATETM)) to establish reporting requirements for covered securities loans and to provide for the dissemination of individual and aggregate covered securities loan information and loan rate statistics
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