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More resources for national banks

Financial Markets

Financial Markets include any place or system that provides buyers and sellers the means to trade financial instruments, including bonds, equities, the various international currencies, and derivatives. Financial markets facilitate the interaction between those who need capital with those who have capital to invest. In addition to making it possible to raise capital, financial markets allow participants to transfer risk (generally through derivatives) and promote commerce.

Although regulations and best practices guide financial market transactions, these transactions entail a certain degree of risk. The OCC provides guidance and resources for national banks engaged in financial market activities.

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Related News and Issuances
Publish DateIdentifierTitle
07/24/2014  OCC 2014-36, Municipal Securities Rulemaking Board Rules: New Comptroller's Handbook Booklet and Rescissions
06/12/2014  OCC 2014-27, Volcker Rule: Interim Examination Procedures
03/28/2014  NR 2014-46, OCC Reports Fourth Quarter 2013 Trading Revenue of $2.9 Billion