Americas Two Exchanges SEC Regulated USD

Stock Loans Against United States-Listed Equity

Institutional securities-backed lending against shares listed on United States’s principal equity exchanges — for controlling shareholders, founders, and family offices holding positions on the SEC-regulated market.

01 · The Country

Americas

United States equity markets.

The firm structures stock loans against shares listed on United States’s two principal cash equity venues. The instrument allows founders, family offices, controlling shareholders, and concentrated single-stock holders to release liquidity against their United States-listed position — without selling, and without disturbing voting control or the share register. Beneficial ownership remains with the borrower throughout. The full position is recovered on repayment.

Indicative terms are calibrated to the specific position. Loan-to-value is set against the underlying’s single-stock liquidity and free float. Tenor typically runs twelve to thirty-six months for institutional transactions. Recourse profiles span non-recourse, limited-recourse, and full-recourse — chosen against the borrower’s downside-protection objectives. Loans can be denominated in USD or in cross-currency structures (USD, EUR, GBP, or another major currency) depending on the borrower’s redeployment requirements.

United States stock loans at a glance:

Listed venues	New York Stock Exchange (NYSE), Nasdaq Stock Market (Nasdaq)
Regulator	U.S. Securities and Exchange Commission (SEC)
Currency	USD, with cross-currency options
Principal indices	S&P 500, Dow Jones Industrial Average, NYSE Composite
Tenor	12–36 months (institutional)
Recourse profile	Non-recourse, limited-recourse, or full-recourse
Loan-to-value	Calibrated per position

Regulatory references for any specific transaction are mapped at the structuring stage with the borrower’s chosen counsel. The information above is published for general orientation and is not legal advice.

02 · Exchanges

Two Venues

Each United States exchange, covered.

NYSE · New York

New York Stock Exchange

Auction-and-electronic hybrid market with a Designated Market Maker assigned to every listed security. The deepest pool of listed corporate equity in the world by aggregate market capitalisation.

View NYSE stock loans → Nasdaq · New York

Nasdaq Stock Market

The first fully electronic stock market, today the principal listing venue for technology, biotechnology, and growth issuers. Three tiers calibrate listing standards to issuer maturity.

View Nasdaq stock loans →

03 · FAQ

United States Stock Loans

What people most often ask about United States.

Q · 01 Which United States exchanges does the firm cover for stock loans?

The firm covers New York Stock Exchange (NYSE) and Nasdaq Stock Market (Nasdaq). Stock loans (securities-backed lending) are structured against shares listed on either, with the choice of execution venue depending on the issuer’s primary listing, the position’s liquidity profile, and the shareholder’s regulatory standing. Eligibility is assessed case by case.

Q · 02 What is the typical loan-to-value for a stock loan against United States-listed equity?

LTV is calibrated to the specific position. The principal variables are the underlying’s free float, average daily trading volume, implied and realised volatility, sector concentration, and the borrower’s regulatory profile. A position in a large-cap with deep free float supports a higher LTV than a thinly-traded mid-cap; a non-recourse structure runs at lower LTV than a full-recourse structure on the same underlying. There is no published rate sheet; indicative ratios are issued only after a review of the specific position.

Q · 03 Which currency can a United States stock loan be denominated in?

The default is USD, the listing currency. Cross-currency structures — for example, financing a USD-denominated position with a USD or EUR loan — are common and routinely available. The cross-currency element introduces hedging, settlement, and tax considerations that are addressed expressly in the documentation.

Q · 04 Who regulates stock-loan transactions in United States?

U.S. Securities and Exchange Commission (SEC) is the principal regulator across United States cash equity markets. The firm operates as an introducer and arranger; activities requiring a regulatory licence are conducted through, or in collaboration with, entities holding the appropriate licence or registration in United States.

04 · Other Americas

Adjacent Markets

Countries adjacent to United States.

Canada · Brazil · Mexico

All countries →

A specific United States position to discuss?

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