Regulation O: Lending Restrictions and Disclosure Requirements

Regulation O: Overview and Coverage

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Question

Regulation O both restricts lending to insiders and requires that certain loans to insiders be disclosed. Each banking agency has adopted the provisions of

Regulation O for administrative enforcement purposes. These were not found to be useful in preventing insider lending abuse. Regulation O governs which of the following areas major areas:

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Explanations

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A. B. C. D.

C

Regulation O is a regulation that governs lending practices between banks and their insiders, including executive officers, directors, and principal shareholders of the bank. The regulation aims to prevent insider abuse by restricting the amount of credit that banks can extend to insiders and requiring disclosure of certain loans made to insiders.

Specifically, Regulation O limits the amount of credit that a bank may extend to insiders to an aggregate amount equal to the bank's unimpaired capital and surplus. In addition, the regulation requires that any loans made to insiders that exceed $10,000 be disclosed to the bank's board of directors and recorded in the bank's minutes.

Each banking agency has adopted the provisions of Regulation O for administrative enforcement purposes, meaning that they can use the regulation as a tool to ensure that banks are complying with the law. However, despite these efforts, insider lending abuse has still occurred.

To answer the question, Regulation O governs both lending to insiders and disclosures of loans made to insiders. Therefore, the correct answer is C: Both of these.