Issued by FDIC
Regulation U - Credit by Banks and Persons other than Brokers or Dealers for the Purpose of Purchasing or Carrying Margin Stock
FRB Letter Classification:
- 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.
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