Margin Credit Reports

OMB 7100-0011

OMB 7100-0011

The Securities Exchange Act of 1934 (the Act) authorizes the Board to regulate securities credit extended by brokers, dealers, banks, and other lenders. The FR T-4, FR U-1, and FR G-3 are recordkeeping requirements for brokers and dealers, banks, and other lenders, respectively. The FR G-3 and FR U-1 document the purpose of loans secured by margin stock. For purposes of these forms, margin stock is defined as (1) stocks that are registered on a national securities exchange or any over-the-counter security designated for trading in the National Market System, (2) debt securities (bonds) that are convertible into such stocks, and (3) shares of most mutual funds. The FR T-4 documents the purpose of credit being extended when that credit is not to purchase, carry, or trade in securities and the credit is in excess of that otherwise permitted under Regulation T , Credit by Brokers and Dealers. Lenders that are not brokers, dealers, and banks making loans secured by margin stock must register and deregister with the Federal Reserve using the FR G-1 and FR G-2, respectively, and must file an annual report (FR G-4) while registered. The Federal Reserve uses the data collected by the FR G-1, FR G-2, and FR G-4 to identify lenders subject to the Board’s Regulation U (Credit by Banks or Persons other than Brokers or Dealers for the Purpose of Purchasing or Carrying Margin Stocks) to verify their compliance with the regulation, and to monitor margin credit.

The latest form for Margin Credit Reports expires 2021-06-30 and can be found here.

Latest Forms, Documents, and Supporting Material
Document
Name
Form and Instruction
Form and Instruction
Form and Instruction
Form and Instruction
Form and Instruction
Form and Instruction
Justification for No Material/Nonsubstantive Change
Supporting Statement A
All Historical Document Collections
Approved without change
No material or nonsubstantive change to a currently approved collection 2021-06-09
Approved without change
Revision of a currently approved collection 2018-06-21
Approved without change
Extension without change of a currently approved collection 2015-01-29
Approved without change
No material or nonsubstantive change to a currently approved collection 2014-09-12
Approved without change
Extension without change of a currently approved collection 2011-01-24
Approved without change
No material or nonsubstantive change to a currently approved collection 2010-10-12
Approved without change
Extension without change of a currently approved collection 2008-03-03
Approved without change
No material or nonsubstantive change to a currently approved collection 2007-12-11
Approved without change
Extension without change of a currently approved collection 2005-03-01
Approved without change
No material or nonsubstantive change to a currently approved collection 2005-01-10
Approved without change
Extension without change of a currently approved collection 2002-04-17
Approved without change
No material or nonsubstantive change to a currently approved collection 2001-11-28
Approved without change
Extension without change of a currently approved collection 1999-04-15
Approved with change
No material or nonsubstantive change to a currently approved collection 1998-11-13
Approved without change
Revision of a currently approved collection 1995-07-19
Approved with change
No material or nonsubstantive change to a currently approved collection 1995-05-22
Approved without change
Revision of a currently approved collection 1992-03-31
Approved with change
No material or nonsubstantive change to a currently approved collection 1992-02-11
Approved without change
Revision of a currently approved collection 1989-05-22
Approved with change
No material or nonsubstantive change to a currently approved collection 1989-01-13
Approved without change
Revision of a currently approved collection 1986-06-26
Approved with change
No material or nonsubstantive change to a currently approved collection 1985-11-07
Approved with change
No material or nonsubstantive change to a currently approved collection 1983-09-09
Approved without change
Revision of a currently approved collection 1983-07-28
Approved without change
Revision of a currently approved collection 1983-04-05
Approved without change
Extension without change of a currently approved collection 1980-05-19
Approved without change
New collection (Request for a new OMB Control Number) 1977-05-09
OMB Details

Reporting - Registration Statement for Persons Who Extend Credit Secured by Margin Stock (Other Than Banks, Brokers, or Dealers)

Federal Enterprise Architecture: Economic Development - Financial Sector Oversight

Form FR G-1Registration Statement for Persons Who Extend Credit Secured by Margin Stock (Other Than Banks, Brokers, or Dealers)www.federalreserve.gov/apps/reportforms/default.aspxForm and instruction

Review document collections for all forms, instructions, and supporting documents - including paper/printable forms.


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