Skip navigation
Ensuring a Safe and Sound Federal Banking System for All Americans Site Map | Text Size: S M L


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.

In This Section

Related News and Issuances
Publish DateIdentifierTitle
08/04/2015  OCC 2015-35, Risk Management of Financial Derivatives: Quantitative Limits on Physical Commodity Transactions
03/18/2015  NR 2015-37, Comptroller of the Currency Issues Statement Regarding Bank Investment in the Municipal Securities Market
01/26/2015  OCC 2015-6, Changes to the Regulatory Capital and Liquidity Rules: Interim Final Rule