EquiLend to closely review FINRA interpretation of 10c-1a

EquiLend noted that FINRA has published its interpretation of Rule 10c-1a and its securities lending reporting framework. EquiLend will be closely reviewing FINRA’s guidance and actively participating in the industry dialogue to ensure a successful rollout of Rule 10c-1a. 

“In our decision to operate as a 10c-1a reporting agent, EquiLend remains committed to providing clients with the tools and resources they need to achieve seamless compliance,” the company said in a statement.

EquiLend plans to host an upcoming webinar where the implications of FINRA’s guidelines for Rule 10c-1a requirements will be addressed, joined by FINRA who will provide introductory remarks. 

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