The Security Lending Agreement serves as the primary documentation for securities lending transactions in the U.S. market. It is essential when institutional investors wish to generate additional revenue from their securities holdings by lending them to other market participants, typically for short selling or covering settlement failures. The agreement must comply with various U.S. regulatory requirements, including SEC regulations, FINRA rules, and state securities laws. It details crucial aspects such as collateral management, marking to market, corporate actions, and default scenarios.
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1. Parties: Identification of lender and borrower, including legal status and addresses
2. Background: Context of the agreement and purpose of the securities lending arrangement
3. Definitions: Key terms used throughout the agreement including 'Securities', 'Collateral', 'Business Day', etc.
4. Loans of Securities: Core terms governing the lending and borrowing of securities
5. Collateral Requirements: Details of required collateral, marking to market, and maintenance
6. Income Payments and Corporate Actions: Treatment of dividends, interest, and other corporate events
7. Events of Default: Circumstances constituting default and remedies
8. Termination: Conditions and process for terminating the agreement
1. Tax Provisions: Additional tax terms for cross-jurisdictional lending or specific tax considerations
2. Agency Provisions: Terms specific to agency lending when either party acts as agent rather than principal
3. Cross-Border Provisions: Additional terms for international transactions across different jurisdictions
1. Schedule A - Eligible Securities: List of securities eligible for lending under the agreement
2. Schedule B - Eligible Collateral: Acceptable forms of collateral and applicable haircuts
3. Schedule C - Fee Schedule: Lending fees and rebate rates
4. Schedule D - Authorized Persons: List of individuals authorized to act on behalf of each party
5. Schedule E - Tax Documentation: Required tax forms and certificates
6. Appendix A - Standard Settlement Instructions: Account details and settlement procedures
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