This Regulation U: Margin Stock online training course explores the requirements banks must follow if Regulation U applies to the types of credit it extends. Regulation U was passed by the Federal Reserve according to the Security and Exchange Act of 1934 as the result of the stock market crash in 1929. Regulation U sets the requirements to help minimize the risk of extending credit for the purpose of buying or carrying margin stock if the credit is secured directly or indirectly by margin stock.
Course Learning Objectives
By taking this online Regulation U: Margin Stock course, the user will learn:
- The requirements of Regulation U
- How proper documentation is obtained from the borrower
- To recognize which transactions are exempt from the requirements
Course Outline
This online Regulation U: Margin Stock course is made up of the following sections:
- Definitions
- General Requirements
- Purpose Statement
- Single Credit Rule; Exempted Borrowers; Withdrawals and Substitutions
- Transfers of Credit
- Employee Stock Option Plans and Special Purpose Loans
- Exempted Transactions
- Relationship to Other Regulations
Course Audience
This Regulation U: Margin Stock online training course was designed for employees responsible of lending and compliance.
If you have any concerns as to whether this course is appropriate for you or your industry, please browse our full selection of online courses.
| Course Language |
English |
| Length Range |
31 - 60 Minutes |
| Length (Hours) |
0.25 |
| Course Features |
Audio, Mobile, Accessible, Video |
| Module Number(s) |
41623EN |
