Issued by FDIC
Regulation U - Credit by Banks and Persons other than Brokers or Dealers for the Purpose of Purchasing or Carrying Margin Stock
- Sec. 221.1 Authority, purpose, and scope.
- Sec. 221.2 Definitions.
- Sec. 221.3 General requirements.
- Sec. 221.4 Employee stock option, purchase, and ownership plans.
- Sec. 221.5 Special purpose loans to brokers and dealers.
- Sec. 221.6 Exempted transactions.
- Sec. 221.7 Supplement: Maximum loan value of margin stock and other collateral.
- Sec. 221.101 Determination and effect of purpose of loan.
- Sec. 221.103 Loans to brokers or dealers.
- Sec. 221.104 Federal credit unions.
- Sec. 221.106 Reliance in ‘‘good faith’’ on statement of purpose of loan.
- Sec. 221.107 Arranging loan to purchase open-end investment company shares.
- Sec. 221.108 Effect of registration of stock subsequent to making of loan.
- Sec. 221.109 Loan to open-end investment company.
- Sec. 221.110 Questions arising under this part.
- Sec. 221.111 Contribution to joint venture as extension of credit when the contribution is disproportionate to the contributor’s share in the venture’s profits or losses.
- Sec. 221.112 Loans by bank in capacity as trustee.
- Sec. 221.113 Loan which is secured indirectly by stock.
- Sec. 221.114 Bank loans to purchase stock of American Telephone and Telegraph Company under Employees’ Stock Plan.
- Sec. 221.115 Accepting a purpose statement through the mail without benefit of face-to-face interview.
- Sec. 221.116 Bank loans to replenish working capital used to purchase mutual fund shares.
- Sec. 221.117 When bank in ‘‘good faith’’ has not relied on stock as collateral.
- Sec. 221.118 Bank arranging for extension of credit by corporation.
- Sec. 221.119 Applicability of plan-lender provisions to financing of stock options and stock purchase rights qualified or restricted under Internal Revenue Code.
- Sec. 221.120 Allocation of stock collateral to purpose and nonpurpose credits to same customer.
- Sec. 221.121 Extension of credit in certain stock option and stock purchase plans.
- Sec. 221.122 Applicability of margin requirements to credit in connection with Insurance Premium Funding Programs.
- Sec. 221.123 Combined credit for exercising employee stock options and paying income taxes incurred as a result of such exercise.
- Sec. 221.124 Purchase of debt securities to finance corporate takeovers.
- Sec. 221.125 Credit to brokers and dealers.
A collection of useful resources for various areas of the bank which have been developed by members of the BankersOnline staff or have been created and contributed by users of the BankersOnline site.Banker Tools
From training, policies, forms, and publications, to office products and occasional gifts, it’s available here:Banker Store