In general, Rule 10c-1a requires that a covered person provide information to an RNSA by the end of the day that the loan is effected or modified and that an RNSA make certain information …

behavior of the regulated entities. 10c-1 will do this in securities lending like no regulation in the last 10+ years.

Exchange Act, Rule 10c-1a, and Section 984 of the Dodd-Frank Wall Street Reform and Consumer Protection Act.15 FINRA stated that the proposed rule change would do so by …

Proposed Rule 10c-1 would apply to any person that loans a security (“securities lending transactions”) on behalf of itself or another person. It would require such persons to report the …

The Commission is proposing Exchange Act Rule 10c -1 to increase transparency and efficiency in the opaque securities lending market by requiring any person that loans a security on behalf …

2023年10月13日 · The Securities and Exchange Commission today adopted new Rule 10c-1a, which will require certain persons to report information about securities loans to a registered …

The Commission is adopting 17 CFR 240.10c-1a (“final Rule 10c-1a” or “final rule”) under the Exchange Act, which requires covered persons to provide to an RNSA information concerning …

We proposed new Exchange Act Rule 10C-1 to implement the compensation committee listing requirements of Sections 10C(a)-(g)

Rule 10c-1a, and the proposed public dissemination of loan data received from market participants, it is critical that the Associations have a meaningful opportunity to provide public …

2022年2月25日 · Rule 10c-1 was proposed by the Commission on November 18, 2021, to increase the transparency and efficiency of the securities lending market by requiring any …