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Securities Lending
Webcast Replay: Developments in Securities Lending
December 01, 2009
For those unable to tune in to the November 18, 2009 webinar, "Recent Developments in Securities Lending," co-sponsored by the Forum and KPMG, a replay link is available to Forum members on the Forum's website.The 90-minute webinar featured a in-depth discussions of: The… read more
SEC Securities Lending and Short Sale Roundtable Webcast Archives
October 15, 2009
For those who were not able to tune in to or attend the Commission's September 29 and September 30 roundtables on securities lending and short sale issues, the SEC has posted archives of the webcasts for both days. The two roundtables were comprised of… read more
SEC Announces Roundtable on Short Selling and Securities Lending
July 30, 2009
The SEC has announced that it will hold a roundtable on September 30, 2009 to solicit views of investors, issuers, financial services firms, self-regulatory organizations and the academic community on issues related to securities lending, pre-borrowing, and possible additional short sale disclosures. According… read more
SEC Proposes Short-Selling Restrictions
April 16, 2009
Last week, the SEC approved two proposals amending Regulation SHO to restrict short sales, and is soliciting comments on these proposed amendments.Approach 1: Market-Wide and Permanent (“short sale price test” or “short sale price test restriction”). Proposes two alternative short sale price tests: one… read more
Compliance Consultant’s View of Securities Lending Risks
November 07, 2008
In a recent compliance alert, ACA Compliance Group took a look at the risk environment surrounding fund securities lending programs, finding that, "[t]he risks associated with a firm's securities lending program appear to be on the rise due to issues such as:" (1)… read more