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Agency Lending Disclosure


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Agency Lending Disclosure

Follow the links below to view the documents in SIFMA's Municipal Securities Markets Standard Forms and Documentation Library.

A-Z Guide to Agency Lending Disclosure  

A comprehensive set of guidelines for broker-dealers and agent lenders participating in securities lending on an agency basis.

  • A-Z Guide to Agency Lending Disclosure (Word) 
  • Testing Guide for Agency Lending Disclosure Compliance (Word) 
  • Basic Set Up Instructions for Agent Lenders (Word) 
  • Basic Set Up Instructions for Broker-Dealers (Word) 

 

Additional Forms and Documents 

Appendices to the A-Z Guide to Agency Lending Disclosure 

  • 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 (PPT) 
  • Escalation Process Flows for Broker-Dealers (PPT) 
  • 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 Testing Guide for Agency Lending Disclosure Compliance  

  • Daily Files Testing Issues Log (Excel)
  • Daily Files Testing Issues Log with Sample Data (Excel) 
  • Daily Loan Files Scenarios (Excel) 


 

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