12 CFR Part 221 - PART 221—CREDIT BY BANKS AND PERSONS OTHER THAN BROKERS OR DEALERS FOR THE PURPOSE OF PURCHASING OR CARRYING MARGIN STOCK (REGULATION U)

  1. § 221.1 Authority, purpose, and scope.
  2. § 221.2 Definitions.
  3. § 221.3 General requirements.
  4. § 221.4 Employee stock option, purchase, and ownership plans.
  5. § 221.5 Special purpose loans to brokers and dealers.
  6. § 221.6 Exempted transactions.
  7. § 221.7 Supplement: Maximum loan value of margin stock and other collateral.
  8. Interpretations (§§ 221.101 - 221.125)
    1. § 221.101 Determination and effect of purpose of loan.
    2. § 221.102 Application to committed credit where funds are disbursed thereafter.
    3. § 221.103 Loans to brokers or dealers.
    4. § 221.104 Federal credit unions.
    5. § 221.105 Arranging for extensions of credit to be made by a bank.
    6. § 221.106 Reliance in “good faith” on statement of purpose of loan.
    7. § 221.107 Arranging loan to purchase open-end investment company shares.
    8. § 221.108 Effect of registration of stock subsequent to making of loan.
    9. § 221.109 Loan to open-end investment company.
    10. § 221.110 Questions arising under this part.
    11. § 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.
    12. § 221.112 Loans by bank in capacity as trustee.
    13. § 221.113 Loan which is secured indirectly by stock.
    14. § 221.114 Bank loans to purchase stock of American Telephone and Telegraph Company under Employees' Stock Plan.
    15. § 221.115 Accepting a purpose statement through the mail without benefit of face-to-face interview.
    16. § 221.116 Bank loans to replenish working capital used to purchase mutual fund shares.
    17. § 221.117 When bank in “good faith” has not relied on stock as collateral.
    18. § 221.118 Bank arranging for extension of credit by corporation.
    19. § 221.119 Applicability of plan-lender provisions to financing of stock options and stock purchase rights qualified or restricted under Internal Revenue Code.
    20. § 221.120 Allocation of stock collateral to purpose and nonpurpose credits to same customer.
    21. § 221.121 Extension of credit in certain stock option and stock purchase plans.
    22. § 221.122 Applicability of margin requirements to credit in connection with Insurance Premium Funding Programs.
    23. § 221.123 Combined credit for exercising employee stock options and paying income taxes incurred as a result of such exercise.
    24. § 221.124 Purchase of debt securities to finance corporate takeovers.
    25. § 221.125 Credit to brokers and dealers.
Authority:
15 U.S.C. 78c, 78g, 78q, and 78w.
Source:
Reg. U, 63 FR 2827, Jan. 16, 1998, unless otherwise noted.

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Washington