Regulation U Policy

Table of Contents

Purpose and Contents - Topic 1
Policy Statement - Topic 2
Definitions - Topic 3
General Requirements - Topic 4
Employee Stock Option, Purchase, and Ownership Plans - Topic 5
Special Purpose Loans to Brokers and Dealers - Topic 6
Exempted Transactions - Topic 7
Maximum Loan Value of Margin Stock and Other Collateral - Topic 8
Federal Reserve Board Interpretational Reference - Topic 9
Audit Policy - Topic 10
Staff Training - Topic 11
Retention of Documentation - Topic 12

This policy template (approximately 21 pages) is in Microsoft® Word format.

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