12 CFR Part 221 - CREDIT BY BANKS AND PERSONS OTHER THAN BROKERS OR DEALERS FOR THE PURPOSE OF PURCHASING OR CARRYING MARGIN STOCK (REGULATION U)
- § 221.1 — Authority, purpose, and scope.
- § 221.2 — Definitions.
- § 221.3 — General requirements.
- § 221.4 — Employee stock option, purchase, and ownership plans.
- § 221.5 — Special purpose loans to brokers and dealers.
- § 221.6 — Exempted transactions.
- § 221.7 — Supplement: Maximum loan value of margin stock and other collateral.
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Interpretations
- § 221.101 — Determination and effect of purpose of loan.
- § 221.102 — Application to committed credit where funds are disbursed thereafter.
- § 221.103 — Loans to brokers or dealers.
- § 221.104 — Federal credit unions.
- § 221.105 — Arranging for extensions of credit to be made by a bank.
- § 221.106 — Reliance in “good faith” on statement of purpose of loan.
- § 221.107 — Arranging loan to purchase open-end investment company shares.
- § 221.108 — Effect of registration of stock subsequent to making of loan.
- § 221.109 — Loan to open-end investment company.
- § 221.110 — Questions arising under this part.
- § 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.
- § 221.112 — Loans by bank in capacity as trustee.
- § 221.113 — Loan which is secured indirectly by stock.
- § 221.114 — Bank loans to purchase stock of American Telephone and Telegraph Company under Employees' Stock Plan.
- § 221.115 — Accepting a purpose statement through the mail without benefit of face-to-face interview.
- § 221.116 — Bank loans to replenish working capital used to purchase mutual fund shares.
- § 221.117 — When bank in “good faith” has not relied on stock as collateral.
- § 221.118 — Bank arranging for extension of credit by corporation.
- § 221.119 — Applicability of plan-lender provisions to financing of stock options and stock purchase rights qualified or restricted under Internal Revenue Code.
- § 221.120 — Allocation of stock collateral to purpose and nonpurpose credits to same customer.
- § 221.121 — Extension of credit in certain stock option and stock purchase plans.
- § 221.122 — Applicability of margin requirements to credit in connection with Insurance Premium Funding Programs.
- § 221.123 — Combined credit for exercising employee stock options and paying income taxes incurred as a result of such exercise.
- § 221.124 — Purchase of debt securities to finance corporate takeovers.
- § 221.125 — Credit to brokers and dealers.
Authority:
Source:
Reg. U, 63 FR 2827, Jan. 16, 1998, unless otherwise noted.
Title 12 published on 2012-01-01
no entries appear in the Federal Register after this date.
This is a list of United States Code sections, Statutes at Large, Public Laws, and Presidential Documents, which provide rulemaking authority for this CFR Part.
This list is taken from the Parallel Table of Authorities and Rules provided by GPO [Government Printing Office].
It is not guaranteed to be accurate or up-to-date, though we do refresh the database weekly. More limitations on accuracy are described at the GPO site.
