Title 12, Part 221 — Credit by Banks and Persons Other Than Brokers or Dealers for the Purpose of Purchasing or Carrying Margin Stock (Regulation U)
32 sections
Section 221.1
Authority, purpose, and scope.
Section 221.2
Definitions.
Section 221.3
General requirements.
Section 221.4
Employee stock option, purchase, and ownership plans.
Section 221.5
Special purpose loans to brokers and dealers.
Section 221.6
Exempted transactions.
Section 221.7
Supplement: Maximum loan value of margin stock and other collateral.
Section 221.101
Determination and effect of purpose of loan.
Section 221.102
Application to committed credit where funds are disbursed thereafter.
Section 221.103
Loans to brokers or dealers.
Section 221.104
Federal credit unions.
Section 221.105
Arranging for extensions of credit to be made by a bank.
Section 221.106
Reliance in “good faith” on statement of purpose of loan.
Section 221.107
Arranging loan to purchase open-end investment company shares.
Section 221.108
Effect of registration of stock subsequent to making of loan.
Section 221.109
Loan to open-end investment company.
Section 221.110
Questions arising under this part.
Section 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.
Section 221.112
Loans by bank in capacity as trustee.
Section 221.113
Loan which is secured indirectly by stock.
Section 221.114
Bank loans to purchase stock of American Telephone and Telegraph Company under Employees' Stock Plan.
Section 221.115
Accepting a purpose statement through the mail without benefit of face-to-face interview.
Section 221.116
Bank loans to replenish working capital used to purchase mutual fund shares.
Section 221.117
When bank in “good faith” has not relied on stock as collateral.
Section 221.118
Bank arranging for extension of credit by corporation.
Section 221.119
Applicability of plan-lender provisions to financing of stock options and stock purchase rights qualified or restricted under Internal Revenue Code.
Section 221.120
Allocation of stock collateral to purpose and nonpurpose credits to same customer.
Section 221.121
Extension of credit in certain stock option and stock purchase plans.
Section 221.122
Applicability of margin requirements to credit in connection with Insurance Premium Funding Programs.
Section 221.123
Combined credit for exercising employee stock options and paying income taxes incurred as a result of such exercise.
Section 221.124
Purchase of debt securities to finance corporate takeovers.
Section 221.125
Credit to brokers and dealers.