Larry Bergmann

Davis Wright Tremaine LLP

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Writing on a New SLATE – DWT's FINRA Expertise

The SEC's Rule 10c-1a now mandates the reporting of securities loans, marking a significant regulatory shift. Potential challenges in implementing SLATE, including the need for possible adjustments to data dissemination...more

3/20/2025  /  Compliance , Disclosure Requirements , Financial Industry Regulatory Authority (FINRA) , Financial Services Industry , Regulatory Requirements , Reporting Requirements , Rulemaking Process , Securities and Exchange Commission (SEC) , Securities Exchange Act , Securities Regulation

FINRA's Proposed Partial Amendments to the Securities Lending and Transparency Engine (SLATE) Program

Earlier this year, FINRA filed with the SEC a proposed series of rules requiring, for the first time, the reporting of securities loans and providing for the public dissemination of loan information through FINRA's Securities...more

11/26/2024  /  Compliance , Deadlines , Financial Industry Regulatory Authority (FINRA) , Lending , Proposed Rules , Rebates , Reporting Requirements , Securities , Securities and Exchange Commission (SEC) , Transparency
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