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Securities Lending and Borrowing Legal and Regulatory Round Table Discussion Deck October 14, 2014Securities Lending What Frameworks Are Relevant? Leverage LCR NSF Doddering Lender DisclosureLendersCapital

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How to fill out securities lending and borrowing

01

To fill out securities lending and borrowing, follow the steps below:

02

Start by identifying the securities you want to lend or borrow. These can include stocks, bonds, or other financial instruments.

03

Determine the terms and conditions of the lending or borrowing agreement. This includes the duration of the loan, interest rates, collateral requirements, and any other relevant details.

04

Find a counterparty for the transaction. This can be a financial institution, broker-dealer, or other market participant.

05

Negotiate the terms of the agreement with the counterparty. Ensure that both parties agree on all aspects of the transaction before proceeding.

06

Execute the lending or borrowing agreement. This typically involves signing a contract or agreement that outlines the terms and conditions.

07

Monitor the loan or borrow throughout its duration. Keep track of any changes in market conditions or other factors that may affect the transaction.

08

At the end of the loan period, settle the transaction by returning the borrowed securities or repaying the loaned securities, along with any accrued interest or fees.

09

Maintain proper documentation and records of the securities lending and borrowing transaction for regulatory and compliance purposes.

Who needs securities lending and borrowing?

01

Securities lending and borrowing is primarily used by financial institutions, such as banks, investment funds, and broker-dealers.

02

Market participants who require temporary access to securities for short-selling, hedging, or other trading strategies also utilize securities lending and borrowing.

03

Securities lending and borrowing can benefit both lenders and borrowers. Lenders earn interest on the securities they lend out, while borrowers can access securities they do not own for various purposes.

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What is securities lending and borrowing?

Securities lending and borrowing is the process where securities are temporarily transferred from one party to another, typically for a fee.

Who is required to file securities lending and borrowing?

Financial institutions, broker-dealers, and other entities engaged in securities lending and borrowing are required to file.

How to fill out securities lending and borrowing?

The filing is usually done electronically through a designated platform, providing details on the securities lent or borrowed, duration, terms, and parties involved.

What is the purpose of securities lending and borrowing?

The purpose is to facilitate short selling, market making, and asset management activities by providing liquidity and earning a return on idle securities.

What information must be reported on securities lending and borrowing?

The details typically include the securities involved, terms of the agreement, parties involved, and any associated fees or collateral requirements.

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