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Resources for bankers

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
03/23/2018  NR 2018-30, OCC Reports Fourth Quarter 2017 Bank Trading Revenue
02/05/2018  NR 2018-12, Agencies Seek Comment on Proposed Amendments to Swap Margin Rule
01/31/2018  OCC 2018-3, Municipal Securities Rulemaking Board Rules: Updated Comptroller’s Handbook Booklet