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:

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 will require certain …

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-1a; and March …

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 …

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 …

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 …

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 …

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 …

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 …

Proposed Rule 6510(k) would define “Reporting Agent” by reference to SEA Rule 10c-1a, which defines “reporting agent” in paragraph (j)(4) as a broker, dealer, or registered clearing agency that enters into …