US securities based lending: Reg T and Reg U intent versus reality

Securities based lending products have gained popularity in the US under the auspices of Reg T and Reg U, two of the core regulations governing securities transactions. These regulations are artifacts of post-crash reform… no, not our century’s crash, but the Crash of 1929. Reg T primarily governs the extension of credit to a margin customer by a broker dealer, while Reg U addresses the potential “loophole” of an investor utilizing commercial bank credit to finance trading activities.

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