The Security Loan Agreement serves as the primary documentation for securities lending transactions in the United States, subject to SEC, FINRA, and Federal Reserve regulations. This agreement is essential when institutional investors seek to generate additional income from their securities holdings, or when market participants need to borrow securities for trading strategies, settlement obligations, or short selling. The document covers crucial aspects including collateral management, voting rights, corporate actions, and substitute payments, while ensuring compliance with U.S. securities laws and regulations.
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1. Parties: Identification of lender and borrower, including legal entity details
2. Background: Context of the agreement and relationship between parties
3. Definitions: Key terms used throughout the agreement
4. Loan of Securities: Core terms of the securities loan, including identification of securities
5. Collateral Requirements: Details of required collateral, maintenance, and margin calls
6. Rights and Obligations: Duties of each party during the loan period
7. Fees and Payments: Lending fees, rebate rates, and payment mechanisms
8. Events of Default: Circumstances constituting default and consequences
9. Termination: Conditions for termination and return of securities
1. Tax Provisions: Treatment of substitute payments and tax implications - used when parties are in different tax jurisdictions or specific tax treatment is required
2. Regulatory Compliance: Specific regulatory obligations - used when dealing with regulated entities or specific jurisdictional requirements
3. Market Disruption: Procedures during market disruption events - used for longer-term arrangements or volatile markets
4. Agency Provisions: Terms for agency lending arrangements - used when involving lending agents or intermediaries
1. Schedule of Securities: Detailed list of securities subject to the loan
2. Eligible Collateral Schedule: List of acceptable forms of collateral and haircuts
3. Fee Schedule: Detailed breakdown of fees and rates
4. Operating Procedures: Detailed procedures for recalls, returns, and corporate actions
5. Form of Trade Confirmation: Standard form for confirming individual loans
6. Contact Details: List of authorized personnel and contact information
Relevant legal definitions
Agreement
Applicable Law
Approved Securities Exchange
Borrowed Securities
Business Day
Collateral
Collateral Margin
Collateral Value
Corporate Action
Default
Delivery Date
Distribution
Dividend
Eligible Collateral
Events of Default
Haircut
Income
Interest Rate
Lending Fee
Loan
Loaned Securities
Margin Call
Margin Percentage
Market Value
Notices
Payment Date
Pricing Rate
Principal
Rebate Rate
Recall Notice
Return Date
Securities
Settlement Date
Substitute Dividend Payment
Tax
Term of Loan
Trade Confirmation
Transfer
Voting Rights
Applicable Law
Approved Securities Exchange
Borrowed Securities
Business Day
Collateral
Collateral Margin
Collateral Value
Corporate Action
Default
Delivery Date
Distribution
Dividend
Eligible Collateral
Events of Default
Haircut
Income
Interest Rate
Lending Fee
Loan
Loaned Securities
Margin Call
Margin Percentage
Market Value
Notices
Payment Date
Pricing Rate
Principal
Rebate Rate
Recall Notice
Return Date
Securities
Settlement Date
Substitute Dividend Payment
Tax
Term of Loan
Trade Confirmation
Transfer
Voting Rights
Clauses
Loan and Delivery
Collateral Requirements
Margin Maintenance
Fee Payment
Income and Distributions
Corporate Actions
Voting Rights
Representations and Warranties
Covenants
Events of Default
Remedies
Termination
Return of Securities
Tax Indemnity
Set-off Rights
Netting
Confidentiality
Market Disruption
Force Majeure
Assignment and Transfer
Notices
Governing Law
Dispute Resolution
Regulatory Compliance
Record Keeping
Indemnification
Amendment and Modification
Entire Agreement
Severability
Counterparts
Collateral Requirements
Margin Maintenance
Fee Payment
Income and Distributions
Corporate Actions
Voting Rights
Representations and Warranties
Covenants
Events of Default
Remedies
Termination
Return of Securities
Tax Indemnity
Set-off Rights
Netting
Confidentiality
Market Disruption
Force Majeure
Assignment and Transfer
Notices
Governing Law
Dispute Resolution
Regulatory Compliance
Record Keeping
Indemnification
Amendment and Modification
Entire Agreement
Severability
Counterparts
Relevant Industries
Relevant Teams
Relevant Roles
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