Reporting of securities loans: SEC final rule

Daily reporting requirements and publication of information for securities loans and related modifications

Download PDF
Share

Discover the essential details of the Securities and Exchange Commission's (SEC) Rule 10c-1a. This new regulation, passed on October 13, 2023, mandates daily reporting and publication of information for securities loans and related modifications.

Investment Managers, Lending Agents/ Intermediaries, and Broker-Dealers will find helpful details including:

  • Who must report
  • What is included (and what is not) in the reporting process
  • The key milestones to keep in mind
  • The key challenges and insights on how to overcome them.

Dive into our thinking

Reporting of securities loans: SEC Final Rule

Download PDF

Explore more

Insight
Webcast Replay Webcast Upcoming Listen Now From The Web

Reporting of Securities Loans: SEC Final Rule

Daily reporting requirements and publication of information for covered securities loans and related modifications on most securities

Read more
Points of View
Insight
Webcast Replay Webcast Upcoming Listen Now From The Web

Points of View

Insights and analyses of emerging regulatory issues and their impact.

Read more

Get the latest from KPMG Regulatory Insights

KPMG Regulatory Insights is the thought leader hub for timely insight on risk and regulatory developments.

Subscribe

Meet our team

Image of Neam Ahmed
Neam Ahmed
Principal, Advisory, C&O Financial Services, KPMG US
Read bio
Image of Michael Martinen
Michael Martinen
Advisory Managing Director, C&O Financial Services, KPMG US
Read bio
Image of Eamonn Maguire
Eamonn Maguire
Advisory Managing Director, C&O Financial Services, KPMG US
Read bio
Image of Neam Ahmed
Neam Ahmed
Principal, Advisory, C&O Financial Services, KPMG US
Read bio
Image of Michael Martinen
Michael Martinen
Advisory Managing Director, C&O Financial Services, KPMG US
Read bio
Image of Eamonn Maguire
Eamonn Maguire
Advisory Managing Director, C&O Financial Services, KPMG US
Read bio

Thank you

Thank you for signing up to receive Regulatory Insights thought leadership content. You will receive our next issue when we publish.

Get the latest from KPMG Regulatory Insights

KPMG Regulatory Insights is the thought leader hub for timely insight on risk and regulatory developments. Get the latest perspectives on evolving supervisory, regulatory, and enforcement trends. 

To receive ongoing KPMG Regulatory Insights, please submit your information below:
(*required field)

By submitting, you agree that KPMG LLP may process any personal information you provide pursuant to KPMG LLP's . Privacy Statement

An error occurred. Please contact customer support.

KPMG. Make the Difference.


Some or all of the services described herein may not be permissible for KPMG audit clients and their affiliates or related entities.

The information contained herein is of a general nature and is not intended to address the circumstances of any particular individual or entity. Although we endeavor to provide accurate and timely information, there can be no guarantee that such information is accurate as of the date it is received or that it will continue to be accurate in the future. No one should act upon such information without appropriate professional advice after a thorough examination of the particular situation. KPMG LLP does not provide legal services.

The information contained herein is not intended to be “written advice concerning one or more Federal tax matters” subject to the requirements of section 10.37(a)(2) of Treasury Department Circular 230.

© 2025 KPMG LLP, a Delaware limited liability partnership and a member firm of the KPMG global organization of independent member firms affiliated with KPMG International Limited, a private English company limited by guarantee. All rights reserved.

For more detail about the structure of the KPMG global organization please visit https://home.kpmg/governance.

Thank you!

Thank you for contacting KPMG. We will respond to you as soon as possible.

Contact KPMG

Use this form to submit general inquiries to KPMG. We will respond to you as soon as possible.

By submitting, you agree that KPMG LLP may process any personal information you provide pursuant to KPMG LLP's . Privacy Statement

An error occurred. Please contact customer support.

Job seekers

Visit our careers section or search our jobs database.

Search now!

Submit RFP

Use the RFP submission form to detail the services KPMG can help assist you with.

Submit

Office locations

View locations

International hotline

You can confidentially report concerns to the KPMG International hotline

Learn more

Press contacts

Do you need to speak with our Press Office? Here's how to get in touch.

Contact

Headline