Open Call: SEC’s Proposed Rules on Securities Lending

On November 18th the SEC published and requested comment on proposed Rule 10c-1 (Rule) which would for the first time require all lenders of securities to provide data and material negotiated terms of securities lending transactions for public dissemination. The proposed rules would also make available to the public securities lending transaction data and aggregated information in respect of securities on loan and available to lend.


The proposed new reporting and disclosure requirements are extensive and will likely represent significant operational and compliance challenges for a broad range of market participants.


To help raise awareness and educate the broader industry on this significant development, STA is pleased to provide a recorded Open Call that features legal experts in this field.

Presenters
Larry Bergmann, J.D.
Murphy & McGonigle
full bio
Matt Comstock, J.D.
Murphy & McGonigle
full bio


Helpful Links
Press Release
Fact Sheet
Rule Proposal
Murphy & McGonigle Summary