Investment Securities

Overview

This booklet addresses investment securities purchased by a national bank for its own account. It discusses regulatory limitations on a national bank's holdings and other regulatory requirements as well as risk management practices.

Applicability

This booklet applies to the OCC's supervision of national banks. References to national banks in this booklet also generally apply to federal branches and agencies of foreign banking organizations. Refer to 12 USC 3102(b) and the "Federal Branches and Agencies Supervision" booklet of the Comptroller's Handbook for more information. For information applicable to federal savings associations, refer to former Office of Thrift Supervision Examination Handbook section 230, "Equity Investments," and section 540, "Investment Securities."