Reporting Form FR G-4 Annual Report for Persons Registered Pursuant to Regulation U

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Reporting Form

FR G-4 Annual Report for Persons Registered Pursuant to Regulation U

Description:

All FR G-1 filers are required to file the FR G-4, an annual report on their loans secured by margin stock collateral. Lenders report the total amount of credit secured directly or indirectly by margin stock outstanding as of June 30; the amount of credit secured directly or indirectly by margin stock extended during the year; whether the loans involved are purpose or nonpurpose also; and whether the credit is used to fund employee stock option, purchase, or ownership plans. Those lenders funding stock option, purchase, and ownership plans must specify whether the credit was extended pursuant to the special provisions set forth in section 221.4 of Regulation U, which authorizes employers to extend credit to employees and ESOPs with no specified margin.

Subjects:

Securities Regulations

Audiences:

Financial Institutions

Form and Instructions: Offsite

Current and historical versions of this form and their instructions are maintained on the Board of Governors' website in PDF format.

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