OMB control number

Reporting of Securities Loans

OMB 3235-0788 · SEC.

OMB 3235-0788

The Securities and Exchange Commission (“SEC” or “Commission”) is adopting a new rule under the Securities Exchange Act of 1934 (“Exchange Act”) to increase the transparency and efficiency of the securities lending market by requiring certain persons to report information about securities loans to a registered national securities association (“RNSA”). The new rule also requires certain confidential information to be reported to an RNSA to enhance an RNSA’s oversight and enforcement functions. Further, the new rule requires that an RNSA make certain information it receives, along with daily information pertaining to the aggregate transaction activity and distribution of loan rates for each reportable security, available to the public.

The latest form for Reporting of Securities Loans expires 2026-12-31 and is listed under ICR 202311-3235-002.

Latest Forms, Documents, and Supporting Material

Latest forms, documents, and information collections
Document	Type
88 FR 75644.pdf	Supporting Statement B
Adopting Release Supporting Statement (3235-0788).pdf	Supporting Statement A
RNSA: Implement and maintain infrastructure for information collection and reporting-Ongoing Burden	Information collection
Reporting Agents: Systems Development and Monitoring-Ongoing Burden	Information collection
Non-providing Covered Person: Systems Development and Monitoring-Ongoing Burden	Information collection
Providing Covered Person: Systems Development and Monitoring-Ongoing Burden	Information collection
RNSA Retention of Collected Information	Information collection
RNSA: Implement and maintain infrastructure for information collection and reporting-Initial Burden	Information collection
Lenders Directly Employing a Reporting Agent: Entering into a Written Agreement with a Reporting Agent	Information collection
Lenders Directly Employing a Reporting Agent: Systems Development and Monitoring	Information collection
Lenders not Employing a Lending Agent – Self-Providing Lenders: Systems Development and Monitoring	Information collection
Reporting Agents: Record Preservation Requirement	Information collection
Reporting Agents: Entering into Written Agreement with RNSA	Information collection
Reporting Agents: Entering into Agreements with Non-Providing Covered Persons	Information collection
Reporting Agents: Systems Development and Monitoring-Initial Burden	Information collection
Non-providing Covered Person: Entering into Written Agreement with Reporting Agent	Information collection
Non-providing Covered Person: Systems Development and Monitoring-Initial Burden	Information collection
Providing Covered Person: Systems Development and Monitoring-Initial Burden	Information collection

All Historical Document Collections

Historical document collections
Reference	Filing	Received	Concluded	Action
202311-3235-002	Existing collection in use without an OMB Control Number	2023-11-06		Approved without change
202203-3235-012	New collection (Request for a new OMB Control Number)	2022-03-22		Comment filed on proposed rule

OMB Details

Providing Covered Person: Systems Development and Monitoring-Initial Burden

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight