Fully Paid Securities Lending Programs:
Key Regulations and Areas of Regulator Interest

Fully paid securities lending programs are increasingly a focus of SEC and FINRA examinations and enforcement.

Join Sidley for a review of key regulatory requirements for broker-dealers offering fully paid lending products to customers, including FINRA Rule 4330 and Exchange Act Rule 15c3-3(b)(3).

For more background information on this webinar, please see our related insight.

CLE credit is pending for this program. Sidley Austin LLP is an Approved Accredited Provider of CA, IL, and NY CLE credit.