Regulation U: Margin Stock

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This online course provides a detailed overview of Regulation U, including its application, proper documentation of transactions, and which loans are exempt from its requirements. Regulation U, issued under the Securities Exchange Act of 1934, was created in response to the 1929 stock market crash. It sets the rules banks must follow when extending credit secured, directly or indirectly, by margin stock. Bank employees will learn how Regulation U helps reduce financial risk by limiting the use of credit for purchasing or carrying margin stock. The course also covers purpose statements, exempted borrowers, and how Regulation U interacts with other lending regulations. Show more