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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
04/19/2012  NR 2012-64, Volcker Rule Conformance Period Clarified
03/20/2012  NR 2012-48, OCC Reports Fourth Quarter Trading Revenue of $2.5 Billion
01/24/2012  NR 2012-11, Acting Comptroller Talks About Securitization and Derivatives at the American Securitization Forum