The Stock Lending Agreement serves as the primary documentation for securities lending transactions in the U.S. market. This agreement type is essential for financial institutions engaging in securities lending to generate additional revenue or facilitate short-selling strategies. It encompasses detailed provisions for collateral management, corporate actions, voting rights, and default scenarios, while ensuring compliance with SEC regulations, FINRA rules, and federal securities laws. The agreement is particularly crucial for risk management and regulatory compliance in the securities lending market.
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1. Parties: Identification of lender and borrower, including registration details and regulatory status
2. Background: Context of the agreement and relationship between parties
3. Definitions: Key terms used throughout the agreement including Securities, Collateral, Business Day, and Events of Default
4. Loans of Securities: Core provisions regarding the lending and borrowing process, including loan requests and confirmations
5. Delivery of Securities: Procedures and timing for transferring securities between parties
6. Collateral Requirements: Rules regarding posting, maintaining, and returning collateral, including margin requirements
7. Rights and Obligations: Key responsibilities of each party including voting rights and corporate actions
8. Events of Default: Circumstances constituting default and their consequences
9. Termination: Procedures for ending the agreement and close-out provisions
1. Cross-Border Provisions: Additional terms for international transactions, including applicable laws and jurisdictions
2. Agency Provisions: Specific terms when either party acts as agent for multiple principals
3. Tri-Party Arrangements: Terms governing relationships with third-party custodians and settlement agents
1. Schedule A - Eligible Securities: Comprehensive list of securities that may be borrowed or lent under the agreement
2. Schedule B - Eligible Collateral: Types of acceptable collateral and applicable haircut percentages
3. Schedule C - Authorized Representatives: List of persons authorized to act on behalf of each party
4. Schedule D - Fee Schedule: Details of lending fees, rebate rates, and other applicable charges
5. Appendix 1 - Standard Settlement Instructions: Detailed instructions for securities and collateral transfers
6. Appendix 2 - Tax Forms: Required tax documentation and procedures for handling substitute payments
Relevant legal definitions
Aggregate Lending Limit
Approved Securities Exchange
Authorized Representative
Borrower
Borrowing Request
Business Day
Collateral
Collateral Margin
Collateral Value
Corporate Actions
Default Interest Rate
Delivery Date
Distribution
Dividend
Eligible Collateral
Eligible Securities
Events of Default
Exercise Price
Haircut
Income
Lender
Lending Fee
Loan
Loan Value
Margin Call
Margin Deficit
Margin Percentage
Market Value
Permitted Purpose
Recall Notice
Record Date
Redelivery Date
Relevant Payment Date
Securities
Settlement Date
Standard Settlement Instructions
Substitute Dividend Payment
Tax Event
Term of Loan
Transfer
Valuation Date
Voting Rights
Approved Securities Exchange
Authorized Representative
Borrower
Borrowing Request
Business Day
Collateral
Collateral Margin
Collateral Value
Corporate Actions
Default Interest Rate
Delivery Date
Distribution
Dividend
Eligible Collateral
Eligible Securities
Events of Default
Exercise Price
Haircut
Income
Lender
Lending Fee
Loan
Loan Value
Margin Call
Margin Deficit
Margin Percentage
Market Value
Permitted Purpose
Recall Notice
Record Date
Redelivery Date
Relevant Payment Date
Securities
Settlement Date
Standard Settlement Instructions
Substitute Dividend Payment
Tax Event
Term of Loan
Transfer
Valuation Date
Voting Rights
Clauses
Loan and Collateral
Fees and Payments
Margin Maintenance
Rights and Voting
Income and Distributions
Representations and Warranties
Default and Remedies
Termination
Corporate Actions
Set-off Rights
Tax Provisions
Indemnification
Market Disruption
Transfer and Assignment
Notices
Confidentiality
Force Majeure
Governing Law
Dispute Resolution
Recordkeeping
Reporting Requirements
Regulatory Compliance
Agency Provisions
Settlement Instructions
Credit Support
Amendments
Severability
Entire Agreement
Counterparts
Fees and Payments
Margin Maintenance
Rights and Voting
Income and Distributions
Representations and Warranties
Default and Remedies
Termination
Corporate Actions
Set-off Rights
Tax Provisions
Indemnification
Market Disruption
Transfer and Assignment
Notices
Confidentiality
Force Majeure
Governing Law
Dispute Resolution
Recordkeeping
Reporting Requirements
Regulatory Compliance
Agency Provisions
Settlement Instructions
Credit Support
Amendments
Severability
Entire Agreement
Counterparts
Relevant Industries
Relevant Teams
Relevant Roles
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