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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
03/19/2019  OCC 2019-14, Margin and Capital Requirements for Covered Swap Entities: Interim Final Rule
03/15/2019  NR 2019-26, Agencies Adopt Interim Final Rule to Facilitate Transfers of Legacy Swaps
02/25/2019  OCC 2019-9, Volcker Rule: Notice of Proposed Rulemaking