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For each Initial Covered Securities Loan and Loan Modification reported to SLATE on a given business day, no later than the morning of the next business day, FINRA will make publicly available:
(1) for an Initial Covered Securities Loan, the unique identifier assigned by FINRA to the Covered Securities Loan;
(2) for a Loan Modification, the unique identifier assigned by FINRA to the Covered Securities Loan if reported to SLATE or otherwise identified by FINRA;
(3) the security identifier(s) specified in Rule 6530(a)(2)(A) or (B) that FINRA determines is appropriate to disseminate; and
(4)(A) for each Initial Covered Securities Loan, all other Data Elements reported to SLATE, except the amount of Reportable Securities loaned; or
(B) for each Loan Modification reported pursuant to Rule 6530(b)(2)(E)(i), the modified Data Elements reported to SLATE, except the amount of Reportable Securities loaned; or
(C) for each Loan Modification reported pursuant to Rule 6530(b)(2)(E)(ii), all other Data Elements reported to SLATE, except the amount of Reportable Securities loaned.
For each Initial Covered Securities Loan and Loan Modification reported to SLATE, 20 business days after the date on which the Initial Covered Securities Loan was effected or the loan was modified, FINRA will make publicly available:
(1) for an Initial Covered Securities Loan, the unique identifier assigned by FINRA to the Covered Securities Loan;
(2) for a Loan Modification, the unique identifier assigned by FINRA to the Covered Securities Loan if reported to SLATE or otherwise identified by FINRA;
(3) the security identifier(s) specified in Rule 6530(a)(2)(A) or (B) that FINRA determines is appropriate to disseminate; and
(4) the amount of Reportable Securities loaned reported to SLATE.
For each Reportable Security for which an Initial Covered Securities Loan or Loan Modification is reported to SLATE on a given business day, no later than the morning of the next business day, FINRA will disseminate the security identifier specified in Rule 6530(a)(2)(A) or (B) that FINRA determines is appropriate to identify the relevant Reportable Security and information pertaining to the distribution of loan rebate rates and lending fees or rates, as applicable, including:
(A) the highest rebate rate, lowest rebate rate, and volume weighted average of the rebate rates by U.S. currency and non-U.S. currency, as applicable, reported for Initial Covered Securities Loans collateralized by cash and for Loan Modifications collateralized by cash (where the Loan Modification involved a change to the rebate rate); and
(B) the highest lending fee or rate, lowest lending fee or rate, and volume weighted average of the lending fees or rates reported for Initial Covered Securities Loans not collateralized by cash and for Loan Modifications not collateralized by cash (where the Loan Modification involved a change to the lending fee or rate).
• • • Supplementary Material: --------------
.01 De Minimis Loan Transaction Activity. Notwithstanding paragraph (c)(1) of this Rule, FINRA will not include aggregate volume information for a Reportable Security unless there were reports submitted to SLATE on the prior business day for at least ten distinct Covered Securities Loans in the Reportable Security (represented by different FINRA-assigned unique loan identifiers).
.02 Means of Data Dissemination. FINRA will make the data pursuant to this Rule available on its website free of charge for personal, non-commercial purposes only. Nothing in this Rule shall prohibit FINRA from also publishing or distributing SLATE data for fees that have been filed with the SEC pursuant to Rule 19b-4 under the Exchange Act.
| Adopted by SR-FINRA-2024-007 eff. April 2, 2026. |