The Stock Loan Agreement serves as the primary documentation for securities lending transactions in the United States. This agreement is essential when institutions need to facilitate short selling, cover failed trades, or support other market-making activities. It incorporates specific provisions required by U.S. securities laws, including SEC regulations and Federal Reserve requirements. The agreement details collateral requirements, payment terms, rights and obligations of parties, and includes provisions for corporate actions and dividend treatments. It's particularly important for ensuring regulatory compliance while managing risk in securities lending operations.
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1. Parties: Identification of lender and borrower, including legal status and addresses
2. Background: Context of the agreement and parties' intentions
3. Definitions: Key terms used throughout the agreement including securities, collateral, and market terms
4. Loan of Securities: Core terms of the securities lending arrangement including loan mechanics and conditions
5. Delivery of Securities: Procedures for transferring securities between parties
6. Collateral Requirements: Details of required collateral, maintenance margins, and valuation procedures
7. Rights and Obligations: Parties' respective duties, entitlements, and responsibilities during the loan period
8. Term and Termination: Duration of the agreement and circumstances for termination
9. Events of Default: Circumstances constituting default and consequences thereof
1. Voting Rights: Provisions regarding voting rights during loan period for equity securities
2. Tax Provisions: Specific tax treatment, obligations, and indemnities related to securities lending
3. Agency Provisions: Terms governing agency relationships and obligations when parties act as agents
4. Foreign Securities Provisions: Additional terms applicable to cross-border securities lending
1. Schedule of Securities: Detailed list of securities eligible for lending under the agreement
2. Form of Borrowing Request: Standard form template for requesting securities loans
3. Eligible Collateral Schedule: Comprehensive list of acceptable forms of collateral and haircuts
4. Fee Schedule: Details of lending fees, charges, and payment calculations
5. Operating Procedures: Detailed procedures for execution of loan transactions and settlements
6. Notice Details: Contact information and formal communication procedures for both parties
Relevant legal definitions
Applicable Law
Borrower
Borrowing Request
Business Day
Collateral
Collateral Value
Default
Delivery Date
Distribution
Dividend
Equivalent Collateral
Equivalent Securities
Event of Default
Income
Interest
Lender
Lending Fee
Loan
Loaned Securities
Margin
Market Value
Recall Notice
Return Date
Securities
Settlement Date
Termination Date
Transfer
Voting Rights
Corporate Action
Manufactured Dividend
Substitute Payment
Re-use Rights
Required Collateral Value
Eligible Collateral
Mark-to-Market
Rate Card
Securities Lending Transaction
Trade Date
Valuation Date
Default Market Value
Borrower
Borrowing Request
Business Day
Collateral
Collateral Value
Default
Delivery Date
Distribution
Dividend
Equivalent Collateral
Equivalent Securities
Event of Default
Income
Interest
Lender
Lending Fee
Loan
Loaned Securities
Margin
Market Value
Recall Notice
Return Date
Securities
Settlement Date
Termination Date
Transfer
Voting Rights
Corporate Action
Manufactured Dividend
Substitute Payment
Re-use Rights
Required Collateral Value
Eligible Collateral
Mark-to-Market
Rate Card
Securities Lending Transaction
Trade Date
Valuation Date
Default Market Value
Clauses
Loan and Delivery
Collateral Requirements
Title Transfer
Margin Maintenance
Income and Distributions
Fees and Charges
Rights and Obligations
Representations and Warranties
Events of Default
Termination
Corporate Actions
Voting Rights
Tax Provisions
Set-off Rights
Indemnification
Confidentiality
Force Majeure
Notices
Assignment and Transfer
Governing Law
Dispute Resolution
Recordkeeping
Reporting Requirements
Mark-to-Market
Close-out and Netting
Agency Provisions
Redelivery Obligations
Amendment and Modification
Entire Agreement
Severability
Counterparts
Third Party Rights
Further Assurance
Waiver
Collateral Requirements
Title Transfer
Margin Maintenance
Income and Distributions
Fees and Charges
Rights and Obligations
Representations and Warranties
Events of Default
Termination
Corporate Actions
Voting Rights
Tax Provisions
Set-off Rights
Indemnification
Confidentiality
Force Majeure
Notices
Assignment and Transfer
Governing Law
Dispute Resolution
Recordkeeping
Reporting Requirements
Mark-to-Market
Close-out and Netting
Agency Provisions
Redelivery Obligations
Amendment and Modification
Entire Agreement
Severability
Counterparts
Third Party Rights
Further Assurance
Waiver
Relevant Industries
Relevant Teams
Relevant Roles
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