Securities Act of 1933: Primary federal legislation governing the registration and distribution of securities, requiring full disclosure of material information about securities being offered for public sale
Securities Exchange Act of 1934: Federal law establishing the SEC and regulating secondary market trading of securities, including provisions for securities lending activities
Regulation T: Federal Reserve regulation governing margin requirements and securities lending activities by broker-dealers
SEC Rule 15c3-3: Customer Protection Rule requiring broker-dealers to properly handle and segregate customer securities and maintain adequate reserves
SEC Rule 10b-5: Anti-fraud provisions prohibiting deceptive practices in securities transactions, including lending arrangements
Regulation W: Federal Reserve regulation governing transactions between banks and their affiliates, including securities lending activities
IRC Section 1058: Internal Revenue Code section specifically addressing tax treatment of securities lending transactions
UCC Article 8: Uniform Commercial Code provisions governing investment securities, including transfer and pledging of securities
UCC Article 9: Uniform Commercial Code provisions governing secured transactions, including collateral arrangements in securities lending
Dodd-Frank Act: Post-2008 financial reform legislation imposing reporting requirements and risk management provisions for securities lending
Investment Company Act: Federal legislation governing registered investment companies' participation in securities lending activities
FINRA Rules: Self-regulatory organization rules governing broker-dealer conduct in securities lending transactions
State Blue Sky Laws: State-specific securities regulations that may impact securities lending activities within particular jurisdictions
MSLA: Master Securities Lending Agreement - Industry standard agreement template by SIFMA for domestic securities lending transactions
GMSLA: Global Master Securities Lending Agreement - International standard agreement template for securities lending transactions
