Regulation U
Course Description
Regulation U is a set of rules that banks and other lenders must follow when they lend money for buying or holding margin stocks. This course reviews the lending restrictions, applicability, registration, reporting, and other requirements of the regulation.
30 Minutes
Series: Enterprise Risk Management & Compliance for Banks, Enterprise Risk Management & Compliance for Credit Unions
Roles: Asset Management, Board of Directors, Commercial, Compliance - External Audit, Compliance - Internal Audit, Human Resources, Mortgage Professionals, Operations & IT, Wholesale Banking
Course Format: E3
Package: Breakthrough, Expansion
Request more info
An investment in your employees is an investment in the health of your financial institution.
Let us create a unique online training program for you. Fill out the form to be contacted by a Sales Representative.
How can we reach you?
View Related Series
Enterprise Risk Management & Compliance for Banks
These courses cover a variety of risk and compliance management topics that effect an institution and its operations, including interest rate risk, ADA, CRA, identity theft and more.
Enterprise Risk Management & Compliance for Credit Unions
These courses cover a variety of risk and compliance management topics that affect an institution and its operations, including interest rate risk, ADA, CRA, identity theft and more.
Foreign Branch Office (FBO) for Banks
The Foreign Branch Office (FBO) series of courses covers key compliance topics that are must haves for employees of Foreign Branch Offices within the United States.
