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 …

See Order Granting Temporary Exemptive Relief, Pursuant to Section 36(a)(1) of the Securities Exchange Act of 1934, from Certain Aspects of Rule 10c-1a, Release No. 34-103560 (July 28, …

Oct 13, 2023 · In fulfilling Congress’s mandate, today’s adoption will promote greater transparency in the securities lending markets both to regulators and the public.” Rule 10c-1a …

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 …

Dec 3, 2025 · Rule 10c-1a requires, among other things, that any covered person who agrees to a covered securities loan on behalf of itself or another person must provide, within certain time …

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, …

Dec 3, 2025 · Order Granting Temporary Exemptive Relief, Pursuant to Sections 13 (f) (3) and 36 (a) (1) of the Securities Exchange Act of 1934 from Compliance with Rule 13f-2 and Form …

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 …

Sep 5, 2025 · [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 …

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 …