The Stock Borrowing Agreement is essential in U.S. financial markets for facilitating short selling, market making, and securities financing transactions. This document is used when parties need to establish a framework for ongoing securities lending relationships, typically involving broker-dealers borrowing from institutional investors. The agreement must comply with U.S. securities regulations, including SEC rules, Federal Reserve requirements, and state securities laws. It details collateral requirements, corporate actions, termination rights, and tax treatments while incorporating market standard practices established by industry bodies.
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1. Parties: Identifies the lender and borrower of the securities
2. Background/Recitals: Sets out the context and purpose of the agreement
3. Definitions: Defines key terms used throughout the agreement
4. Loan of Securities: Core provisions detailing the terms of the securities loan
5. Collateral Requirements: Specifies collateral obligations and maintenance requirements
6. Rights and Obligations: Details parties' ongoing responsibilities including corporate actions
7. Events of Default: Defines circumstances constituting default and consequences
8. Termination: Procedures for ending the agreement and returning securities
1. Tax Provisions: Special provisions addressing tax treatment and obligations for securities lending transactions
2. Agency Provisions: Terms governing situations where either party acts as agent for third parties
3. Foreign Securities Provisions: Special terms and conditions applying to non-US securities transactions
1. Schedule of Eligible Securities: Lists securities that may be borrowed under the agreement
2. Schedule of Eligible Collateral: Specifies acceptable forms of collateral and valuation methods
3. Operating Procedures: Details practical procedures for borrowing/returning securities
4. Fee Schedule: Sets out borrowing fees and other charges
5. Form of Loan Confirmation: Template for confirming individual loan transactions
Relevant legal definitions
Acceptable Collateral
Applicable Law
Borrower
Borrowing Request
Business Day
Close of Business
Collateral
Collateral Percentage
Corporate Action
Default
Distribution
Eligible Securities
Event of Default
Income
Lender
Lending Fee
Loan
Loaned Securities
Margin Percentage
Market Value
Minimum Transfer Amount
Non-Cash Collateral
Notice of Exclusive Control
Payment Date
Posted Collateral
Principal
Recall Notice
Reference Price
Return Date
Securities
Settlement Date
Substitute Dividend
Tax Event
Term
Transfer
Transferred Securities
Triggering Event
Voting Rights
Applicable Law
Borrower
Borrowing Request
Business Day
Close of Business
Collateral
Collateral Percentage
Corporate Action
Default
Distribution
Eligible Securities
Event of Default
Income
Lender
Lending Fee
Loan
Loaned Securities
Margin Percentage
Market Value
Minimum Transfer Amount
Non-Cash Collateral
Notice of Exclusive Control
Payment Date
Posted Collateral
Principal
Recall Notice
Reference Price
Return Date
Securities
Settlement Date
Substitute Dividend
Tax Event
Term
Transfer
Transferred Securities
Triggering Event
Voting Rights
Clauses
Loan and Return
Collateral Requirements
Rights and Obligations
Corporate Actions
Income and Distributions
Fees and Charges
Transfer Procedures
Representations and Warranties
Events of Default
Termination
Set-off Rights
Market Disruption
Tax Matters
Indemnification
Confidentiality
Notice Requirements
Assignment and Transfer
Governing Law
Dispute Resolution
Force Majeure
Agency Provisions
Recordkeeping
Margin Maintenance
Voting Rights
Substitution Rights
Reporting Requirements
Regulatory Compliance
Credit Support
Rehypothecation Rights
Severability
Collateral Requirements
Rights and Obligations
Corporate Actions
Income and Distributions
Fees and Charges
Transfer Procedures
Representations and Warranties
Events of Default
Termination
Set-off Rights
Market Disruption
Tax Matters
Indemnification
Confidentiality
Notice Requirements
Assignment and Transfer
Governing Law
Dispute Resolution
Force Majeure
Agency Provisions
Recordkeeping
Margin Maintenance
Voting Rights
Substitution Rights
Reporting Requirements
Regulatory Compliance
Credit Support
Rehypothecation Rights
Severability
Relevant Industries
Relevant Teams
Relevant Roles
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