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ARCHIVED VIDEO WEBCAST

Securities Lending and Short Sale Roundtable

Originally broadcast live on:
Tuesday, September 29, 2009 and Wednesday, September 30, 2009


The Commission held a roundtable on September 29 and September 30, 2009 to discuss securities lending and short sale issues.   The roundtable was held in the auditorium of the Commission’s headquarters at 100 F Street, NE in Washington, DC between approximately 9:30 am and 4:00 pm on September 29th and between approximately 9:30 am and 12:30 pm on September 30th.  The roundtable event was comprised of six separate panel discussions, four of which covered securities lending topics and the other two panels focused on short sale issues.  The panels included corporate issuers, financial services firms, beneficial owner lenders, lending agents, borrowers of securities, self-regulatory organizations, international regulators and the academic community. 


VIEW THE ARCHIVED WEBCASTS:


Tuesday, September 29, 2009

Panel One: Overview of Securities Lending: Participants; Process; Benefits and Pitfalls

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Panel Two: Securities Lending and Investor Protection Concerns: Cash Collateral Reinvestment; Default; Lending Agent Compensation and Fee Splits; Proxy Voting.

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Panel Three: Improving Securities Lending for the Benefit of Investors: Transparency; Electronic Platforms; Central Counterparties; Accountability.

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Panel Four: The Future of Securities Lending and Potential Regulatory Solutions: Market Evolution; SEC's Role; Assessing any Regulatory Gaps.

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Wednesday, September 30, 2009

Panel One: Controls on "Naked" Short Selling: Examination of Pre-Borrow and Hard Locate Requirements.

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Panel Two: Making Short Sale Disclosure More Meaningful: Public versus Non-Public Reporting; Consolidated Tape Disclosure; Timeliness of Information.

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Captioned Version: WindowsMedia | RealMedia

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Modified: 9/30/2009