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Trading and Capital-Markets Activities Manual binder cover

Trading and Capital-Markets Activities Manual

Provides guidance on trading operations and related capital-markets banking activities. Details sound management practices and key examination and review considerations for trading and capital-markets activities. Includes discussions of a wide range of risk management issues encountered in trading and dealer operations, including market risk, counterparty credit risk, legal risk, financial reporting, accounting, and ethics. Profiles thirty-five specific financial instruments commonly encountered in trading and capital-markets-related activities.

Updated semiannually
Last update: July 2011

Entire manual (2.49 MB PDF)

Manual by Section

Manual Ordering Information (1 KB PDF)

Supplements (88.3 KB PDF)

Preface and Table of Contents (15.2 KB PDF)

Section 1000   Examination Policy (36.3 KB PDF)

Section 2000   Trading Activities

2000-2060 (323 KB PDF)

2070-2150 (369 KB PDF)

Section 3000   Capital-Markets Activities

3000-3005 (418 KB PDF)

3010-3020 (434 KB PDF)

3030-3040 (187 KB PDF)

Section 4000   Instrument Profiles

4000-4250 (373 KB PDF)

4255-4355 (394 KB PDF)

Subject Index (23.5 KB PDF)