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17a-4’s Collateral Administration Services Evolve with Fully Paid Securities Lending

May 21, 2025

According to S&P Global Market Intelligence, revenues from the securities lending industry increased 4% year-on-year (YoY) to US$1,079 million for April.[1] As the fully paid securities lending (FPL) market grows due to investor appetite for yield-enhancement strategies, the associated regulatory scrutiny for industry participants will continue to be a key area of regulatory focus.  To […]

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Fully Paid Lending Compliance

October 19, 2023

Over the past three years, 17a-4 LLC has worked extensively with Broker-dealers to provide 3rd Party Collateral Administration services in support of their Fully Paid Stock Lending (“FPL”) programs. We continue to strengthen our compliance services to Broker Dealer FPL Programs and partner custodian banks to ensure regulatory compliance with SEC Rule 15c3-3. On July […]

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