Câu 120: CRCM: Certified Regulatory Compliance Manager

In evaluating the coverage of a bank's Regulation U compliance for loans to purchase or carry margin stocks, which of the following securities is NOT covered in the regulatory definition of "margin stock"?

1. A. Any OTC stock
2. B. A security issued by an investment company that is licensed under the Small Business Administration Act — đáp án hiện tại
3. C. A warrant or right to subscribe to, or purchase, a margin stock
4. D. An equity security registered, or having unlisted trading privileges, on a national exchange