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Firms Need to Prepare for Sec Lending Reporting

August 20, 2024 by Eugene Grygo

Firms Need to Prepare for Sec Lending Reporting

(Last year, the SEC approved Rule 10c-1a, intended to bring new transparency to securities lending transactions via reporting and dissemination requirements. Earlier this year, the Financial Industry Regulatory Authority (FINRA) proposed a new facility allowing covered securities loan transactions to be reported to the self-regulatory organization (SRO) for U.S. broker-dealers. The proposed system, the Securities… Read More >>

Filed Under: Securities Operations, Back Office, Buy-Side, Corporate Actions, Data Management, Industry News, Operational Risk, Ops Automation, Digital Transformation, FinTech Trends, Back-Office, Standards, Opinion, Q&As, Regulation & Compliance, Regulatory Enforcement, Regulatory Compliance, Regulatory Reporting, Industry News Tagged With: automation, back office, data management, Financial Industry Regulatory Authority (FINRA), sec lending, securitie lending, Securities Operations, Standards, US Securities and Exchange Commission, wall street

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