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SEC Adopts New Securities Lending Reporting Rule | Proskauer Rose LLP
On October 13, 2023, the Securities and Exchange Commission (the “SEC”) adopted new Rule 10c-1a (the “Securities Lending Rule”), requiring the reporting of certain securities lending.
United kingdom
Financial industry regulatory authority
Securities exchange
Exchange commission
Proskauer rose
National market system plan
Securities lending rule
Securities are covered
Market system plan
Compliance engine
Reportable securities
Reportable security
Have someone else report
Securities lending
Information must be included
Central registration depository
Colorado Division Of Securities Adopts New Investment Adviser Compliance Program Rule | Part 2 - Corporate and Company Law
This Part 2 describes, in detail, the requirements of new Rule 51-4.12(IA) .
United states
Investment company
Division examination priorities
Division of securities adopts new exemption
Exchange commission
See colorado division of securities
Fund adviser exemption
Venture capital fund exemption
Venture capital fund
Colorado division of securities
Bank holding
Colorado division
Colorado state
Colorado licensed advisers
Continuing education
Chief compliance officer
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