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  • Statement On Reporting Of Securities Loans, SEC Commissioner Mark T. Uyeda, Oct. 13, 2023

    Date 13/10/2023

    Thank you, Chair Gensler. Under Section 984(b) of the Dodd-Frank Act, the Commission is required to promulgate rules “designed to increase the transparency of information available to brokers, dealers, and investors with respect to the loan or borrowing of securities.”[1] Today, the Commission considers adopting final Rule 10c-1a to fulfill that obligation. This rule would require covered persons to provide to a registered national securities association—which is effectively FINRA—information concerning certain securities loans within specified time periods, and would require FINRA to make certain information publicly available. The final rule also contains requirements for FINRA on data retention and reasonable fees.

  • Statement On Short Position And Short Activity Reporting By Institutional Investment Managers, SEC Commissioner Mark T. Uyeda, Oct. 13, 2023

    Date 13/10/2023

    Thank you, Chair Gensler. Section 13(f)(2) of the Exchange Act requires the Commission to prescribe rules providing for the public disclosure of the name of the issuer and the title, class, CUSIP number, and aggregate amount of the number of short sales of each security, and any additional information determined by the Commission. Section 13(f)(3) then provides the Commission with authority to exempt any institutional investment manager or security or any class of the foregoing from any or all of the provisions of Section 13(f) or the rules thereunder. Notably, in enacting the Dodd-Frank Act, Congress did not limit the Commission’s exemptive authority under section 13(f)(3) as it did in other areas, such as with respect to certain swaps and derivatives where Congress did specifically curtail Commission authority to issue exemptive relief.

  • Statement Regarding The Reporting Of Securities Loans (Rule 10c-1a) And Short Position And Activity Reporting (Rule 13f-2), SEC Commissioner Caroline A. Crenshaw, Oct. 13, 2023

    Date 13/10/2023

    In 2010, with the passage of the Dodd-Frank Act, Congress recognized the importance of increasing transparency with respect to both securities lending and short selling activities. Both of the rules we are considering today would implement this important Dodd-Frank directive by increasing transparency through making new data publicly available to investors and market participants.

  • Reporting Of Securities Loans, SEC Commissioner Hester M. Peirce, Oct. 13, 2023

    Date 13/10/2023

    Thank you, Mr. Chair. While providing transparency regarding securities lending is a worthy and statutorily mandated objective, the approach we are voting on today is not the right way to achieve that objective. Accordingly, I cannot support this recommendation.

  • ISDA: Letter To The EBA On SA-CCR

    Date 13/10/2023

    On October 13, 2023, ISDA and the Association for Financial Markets in Europe (AFME) submitted a joint letter responding to the European Banking Authority (EBA) on its report on the standardized approach for counterparty credit risk (SA-CCR).

  • Short Sale Disclosure: Striking The Right Balance, SEC Commissioner Jaime Lizárraga, Oct. 13, 2023

    Date 13/10/2023

    As with securities lending, short sales, provided they are conducted in compliance with applicable rules, can play a valuable price discovery role in our capital markets. That said, they can sometimes contribute to, or even cause, precipitous price declines, facilitate market manipulation, and generate market uncertainty and volatility.

  • Shining A Light On Securities Lending, SEC Commissioner Jaime Lizárraga, Oct. 13, 2023

    Date 13/10/2023

    Securities lending plays an important role in our capital markets. It facilitates market-making, trade settlement, and price discovery. Market participants depend on it to meet short-term liquidity needs. But the lack of transparency in this market can also contribute to systemic risk.

  • ISDA-Clarus RFR Adoption Indicator: September 2023

    Date 13/10/2023

    The ISDA-Clarus RFR Adoption Indicator fell to 60.3% in September 2023 compared to 66.1% in August 2023. The drop was driven by a decline in SOFR trading due to increased trading activity in the effective federal funds rate. The indicator tracks how much global trading activity (as measured by DV01) is conducted in cleared over-the-counter and exchange-traded interest rate derivatives (IRD) that reference risk-free rates (RFRs) in eight major currencies. On a traded notional basis, the percentage of RFR-linked IRD dropped to 58.3% of total IRD transacted in September 2023 compared to 62.1% the prior month.

  • SEC Adopts Rule To Increase Transparency Into Short Selling and Amendment To CAT NMS Plan For Purposes Of Short Sale Data Collection

    Date 13/10/2023

    The Securities and Exchange Commission today adopted new Rule 13f-2 to provide greater transparency to investors and other market participants by increasing the public availability of short sale related data. Congress directed the SEC in Section 929X of the Dodd-Frank Act of 2010 to promulgate rules to make certain short sale data publicly available.

  • Readout: US Secretary Of The Treasury Janet L. Yellen’s Meeting With Deputy Prime Minister And Minister Of Economy And Finance Of The Republic Of Korea Choo Kyung-ho

    Date 13/10/2023

    Yesterday, U.S. Secretary of the Treasury Janet L. Yellen met with Deputy Prime Minister and Minister of Economy and Finance of the Republic of Korea Choo Kyung-ho on the sidelines of the IMF World Bank Annual Meetings in Marrakech, Morocco. Secretary Yellen discussed recent macroeconomic developments and economic security issues. The Secretary looks forward to a trilateral U.S., South Korea, Japan Finance Ministers meeting, as decided by Leaders at Camp David in August.

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