3235-AN01 202210 The Regulatory Plan and the Unified Agenda of Federal Regulatory and Deregulatory Actions 3235 Securities and Exchange Commission SEC Loan or Borrowing of Securities

The Division is considering recommending that the Commission adopt rules to further implement section 984(b) of the Dodd-Frank Act.  Section 984 of the Dodd-Frank Act provides the Commission with the authority to increase transparency, among other things, with respect to the loan or borrowing of securities.  It also mandates that the Commission promulgate rules designed to increase the transparency of information available to brokers, dealers, and investors.  The Commission proposed a rule to increase the transparency and efficiency of the securities lending market by requiring any person that loans a security on behalf of itself or another person to report the material terms of those securities lending transactions and related information regarding the securities the person has on loan and available to loan to a registered national securities association ("RNSA”).  The proposed rule would also require that the RNSA make available to the public certain information concerning each transaction and aggregate information on securities on loan and available to loan.

]]> Substantive, Nonsignificant Previously Published in The Unified Agenda Final Rule Stage Undetermined No 17 CFR 240.10c-1 15 U.S.C. 77c 15 U.S.C. 77d 15 U.S.C. 77g 15 U.S.C. 77j 15 U.S.C. 77s 15 U.S.C. 77z-2 15 U.S.C. 77z-3 15 U.S.C. 77eee 15 U.S.C. 77ggg 15 U.S.C. 77nnn 15 U.S.C. 77sss 15 U.S.C. 77ttt 15 U.S.C. 78c 15 U.S.C. 78c-3 15 U.S.C. 78c-5 15 U.S.C. 78d 15 U.S.C. 78e 15 U.S.C. 78f 15 U.S.C. 78g 15 U.S.C. 78i 15 U.S.C. 78j 15 U.S.C. 78j-1 15 U.S.C. 78k 15 U.S.C. 78k-1 15 U.S.C. 78l 15 U.S.C. 78m 15 U.S.C. 78n 15 U.S.C. 78n-1 15 U.S.C. 78o 15 U.S.C. 78o-4 15 U.S.C. 78o-10 15 U.S.C. 78p 15 U.S.C. 78q 15 U.S.C. 78q-1 15 U.S.C. 78s 15 U.S.C. 78u-5 78w 78x 78dd 78ll 78mm 15 U.S.C. 80a-20 15 U.S.C. 80a-23 15 U.S.C. 80a-29 15 U.S.C. 80a-37 15 U.S.C. 80b-3 15 U.S.C. 80b-4 15 U.S.C. 80b-11 15 U.S.C. 7201 et seq. 15 U.S.C. 7302 7 U.S.C. 2(c)(2)(E) 12 U.S.C. 5221(e)(3) 18 U.S.C. 1350 Pub. L. 111-203, 939A, 124 Stat.1376 (2010) Pub. L. 112-106, sec. 503 and 602, 126 Stat. 326 (2012), unless otherwise noted sec. 240.10c-1 also issued under 15 U.S.C. 78j(c), and Pub, L. 111-203, 984(b), 124 Stat. 1376 (2010) ... No NPRM 12/08/2021 86 FR 69802 NPRM Comment Period Reopened 03/02/2022 87 FR 11659 NPRM Comment Period Reopened End 04/01/2022 NPRM Comment Period End 04/11/2022 Final Action 10/00/2023 Undetermined Undetermined No No No Theresa Hajost Special Counsel, Division of Trading and Markets 3235 Securities and Exchange Commission SEC 202 551-5739 hajostt@sec.gov 100 F Street NE, Washington DC 20549