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

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