Agency Lending Disclosure

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

• Basic Set Up Instructions for Agent Lenders (Word)

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

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