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Regulation U Policy

$175.00

The purpose of this Regulation U Policy Template is to address how a financial institution adheres to Regulation U – “Credit by Banks and Persons Other than Brokers or Dealers for the Purpose of Purchasing or Carrying Margin Stock”.  In general, Regulation U imposes credit restrictions upon persons other than brokers or dealers (referred to within the regulation as “Lenders”) that extend credit for the purpose of buying or carrying margin stock if the credit is secured directly or indirectly by margin stock.

Description

Regulation U Policy

The purpose of this Regulation U Policy Template is to address how a financial institution adheres to Regulation U – “Credit by Banks and Persons Other than Brokers or Dealers for the Purpose of Purchasing or Carrying Margin Stock”. In general, Regulation U imposes credit restrictions upon persons other than brokers or dealers (referred to within the regulation as “Lenders”) that extend credit for the purpose of buying or carrying margin stock if the credit is secured directly or indirectly by margin stock.

Table of Contents

  • Purpose and Contents – Topic 1
  • Policy Statement – Topic 2
  • Definitions – Topic 3
  • General Requirements – Topic 4
  • Employee Stock Option, Purchase, and Ownership Plans – Topic 5
  • Special Purpose Loans to Brokers and Dealers – Topic 6
  • Exempted Transactions – Topic 7
  • Maximum Loan Value of Margin Stock and Other Collateral – Topic 8
  • Staff Training – Topic 9
  • Audit Policy – Topic 10
  • Staff Training – Topic 11
  • Retention of Documentation – Topic 12

This Regulation U Policy Template (approximately 21 pages) is available to purchase from BankPolicies.com in Microsoft® Word format for $175.00.

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