Agency Lending Disclosure
A comprehensive set of guidelines for broker-dealers and agent lenders participating in securities lending on an agency basis.
About
A comprehensive set of guidelines for broker-dealers and agent lenders participating in securities lending on an agency basis.
Additional Forms and Documents
Appendices to the Agency Lending Disclosure Guide
- Annex I-A (PDF)
- Credit Borrower’s Response File (Excel)
- Credit Incremental Add and Delete File (Excel)
- Credit Master File (Excel)
- Daily Loan Data File (Excel)
- Escalation Process Flows for Agent Lenders (PDF)
- Escalation Process Flows for Broker-Dealers (PDF)
- No Action Letter (PDF)
- No Action Letter (Blacklined) (PDF)
- Non Cash Collateral File (Excel)
- Original ALD Proposal from 2003 (Word)
- Sample Confidentiality Agreements (PDF)
- Tax ID and DTCC ID Matrix (Excel)
Appendices to the Agency Lending Disclosure Compliance Testing Guide