Ignacio Sandoval
@ignaciosandoval.bsky.social
Partner; Orrick, Herrington & Sutcliffe LLP; Financial Services Regulatory and FinTech; views are my own; https://www.orrick.com/en/People/7/7/E/Ignacio-Sandoval
SEC approves FINRA's SLATE rules for securities lending Reporting. Some key details:
Reporting starts Jan 2026, dissemination by Apr 2026
Loans "effected" when terms are agreed
#SecuritiesLending #SLATE
www.sec.gov/files/rules/...
Reporting starts Jan 2026, dissemination by Apr 2026
Loans "effected" when terms are agreed
#SecuritiesLending #SLATE
www.sec.gov/files/rules/...
www.sec.gov
January 7, 2025 at 2:02 PM
SEC approves FINRA's SLATE rules for securities lending Reporting. Some key details:
Reporting starts Jan 2026, dissemination by Apr 2026
Loans "effected" when terms are agreed
#SecuritiesLending #SLATE
www.sec.gov/files/rules/...
Reporting starts Jan 2026, dissemination by Apr 2026
Loans "effected" when terms are agreed
#SecuritiesLending #SLATE
www.sec.gov/files/rules/...
In light of President Carter's death, a National Day of Mourning is scheduled for January 9, 2025. FINRA and the clearing agencies have issued guidelines around unexpected market closures. Most if not all of the exchanges will be closed.
December 31, 2024 at 9:19 PM
In light of President Carter's death, a National Day of Mourning is scheduled for January 9, 2025. FINRA and the clearing agencies have issued guidelines around unexpected market closures. Most if not all of the exchanges will be closed.
FINRA seeks comments on amendments to Rules 5110, 5121, and 5123 (corporate finance rules). Changes include simplifying valuation methods, clarifying conflicts of interest, and expanding exemptions related to accredited investors. Comment due March 20, 2025! #FINRA #Finance #RegulationUpdates
December 28, 2024 at 8:09 PM
FINRA seeks comments on amendments to Rules 5110, 5121, and 5123 (corporate finance rules). Changes include simplifying valuation methods, clarifying conflicts of interest, and expanding exemptions related to accredited investors. Comment due March 20, 2025! #FINRA #Finance #RegulationUpdates