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SEC RIN: 3235-AN73 Publication ID: 2026 
Title: ●Amendments to Rule 10c-1a 
Abstract:

The Division is considering recommending that the Commission propose amendments that would reduce costs and burdens associated with requirements under Exchange Act Rule 10c-1a, adopted pursuant to Section 984 of the Dodd-Frank Act, of persons to report loans of securities to a registered national securities association (RNSA) and for the RNSA to make certain of that information public.

 
Agency: Securities and Exchange Commission(SEC)  Priority: Economically Significant 
RIN Status: First time published in the Unified Agenda Agenda Stage of Rulemaking: Proposed Rule Stage 
Major: Undetermined  Unfunded Mandates: No 
EO 14192 Designation: Deregulatory 
CFR Citation: 17 CFR 240.10c-1a   
Legal Authority: 15 U.S.C. 78c    15 U.S.C. 78j    15 U.S.C. 78k-1    15 U.S.C. 78o    15 U.S.C. 78q(a)    15 U.S.C. 78w(a)    P. L. 111-203   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  10/00/2026 
Regulatory Flexibility Analysis Required: Undetermined  Government Levels Affected: None 
Federalism: No 
Included in the Regulatory Plan: No 
RIN Data Printed in the FR: No 
Agency Contact:
Carol McGee
Division of Trading and Markets
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-5994
Email: mcgeec@sec.gov