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Alphabetical Listing

Publications by Topic


Publications by Type

Licensing Manuals

The Comptroller’s Licensing Manual consists of a series of booklets that explain the OCC’s policies and procedures on key licensing topics.

Each booklet includes sample filing forms and sample agency response documents, if applicable. The OCC recommends reading the booklet before accessing the sample documents.


National Bank Licensing Booklets

 
TitleBank / FilerDate
Background InvestigationsSamples04/2009
Branch ClosingsSamples04/2003
Branches and RelocationsSamples12/2003
Business CombinationsSamples01/2004
Capital and DividendsSamples06/2003
Change in Bank ControlSamples04/2003
Changes of Corporate Title and AddressSamples10/2009
Changes in Directors and Senior Executive OfficersSamples10/2009
ChartersSamples01/2005
Comments to Other AgenciesN/A09/2002
ConversionsSamples04/2010
Director WaiversSamples06/2002
Failure AcquisitionsN/A04/1998
Federal Branches and AgenciesSamples12/1999
Fiduciary PowersSamples06/2002
General Policies and ProceduresSamples01/2005
Investment in Bank PremisesSamples09/2003
Investment in Subsidiaries and EquitiesSamples08/2005
Management InterlocksSamples10/2009
Public Notice and CommentsN/A02/2003
Subordinated DebtSamples11/2003
Termination of National Bank StatusSamples04/1998

Companion Publications

 
TitleDate
A Guide to the National Banking System05/1999
A Guide to Tribal Ownership of a National Bank09/2002
Becoming a National Bank02/2011

National Bank Sample Documents

 
TitleDate
Acknowledgement Letter10/2010
Denial Letter10/2010
Ineligible for Expedited Review Letter10/2010
Information Request Letter10/2010
No Objection Letter10/2010

Thrift Application Handbook

 
NumberTitleDate
010Application Filing Requirements04/2001
020Publication Forms01/2007
050Appeals Process04/2001
100Branching Activities04/2001
210Conversion to a National or State Bank04/2001
220Combination with a National or State Bank04/2001
230Mergers with FDIC-Insured Depository Institutions and Non-FDIC Insured Entities in which a Savings Institution Survives04/2001
240Purchase or Sale of Assets and/or Transfer of Liabilities by a Savings Institution from FDIC-Insured and Non-FDIC Insured Depository Institutions04/2001
310Change in Control04/2001
320Rebuttal of Control04/2001
410Charter and Bylaw Amendments04/2001
420Conversion of OTS Regulated Savings Institution to a Federal Charter04/2001
430Conversion of Bank or Credit Union to a Federal Charter04/2001
440Permission to Organize a Federal Savings Institution04/2001
450Conversion of Savings Institution from the Mutual Form of Organization to the Stock Form of Organization04/2001
460Voluntary Dissolution04/2001
605Subordinate Organizations04/2001
610Subordinated Debt and Mandatorily Redeemable Preferred Stock04/2001
620Fiduciary Powers09/2006
625Business Plan Guidelines04/2001
635Capital Distributions04/2001
640Modifications of Conditions of Approval04/2001
645Expansion of Business Activities04/2001
710FDIC Resolution Procedures04/2001
810Management Interlocks04/2001
840Regulatory Waivers04/2001

Thrift Application Forms

 
NumberTitleDate
138Interagency Charter and Federal Deposit Insurance Application03/2008
1240Application for Fiduciary Powers05/2008
1344Subordinated Debt Securities Issuances11/2008
1450Permission to Establish Branch Office, Change of Location of an Office, or Redesignation of Home and Branch Office06/2011
1495Interim Thrift Institution, Application to Establish and Merge03/2009
1502-ECharter, Federal Stock Association09/2011
1502-FCharter, Federal Mutual Association09/2011
1518Bylaws, Model for Stock Associations03/2009
1522Mutual Holding Company Reorganization, MHC- 106/2008
1523Minority Stock Issuance by a Savings Association Subsidiary of a Mutual Holding Company, MHC-206/2008
1558Establish or Change of Location of an Office06/2011
1560Higher Lending Limitations03/2009
1561Subordinated Debt or Mandatory Redeemable Preferred Stock Issuances11/2008
1562Service Corporation Activity Securities Brokerage06/2008
1563Charter and Bylaw Amendments09/2011
1564Prescribed Services or Activities for S&L Holding Companies, Notice to Commence Activities09/2008
1566Preapproved Service Corporation Activity06/2011
1577Bylaws, Model for Mutual Savings Associations03/2009
1579Establish an Operating Subsidiary02/2008
1582Conversion of a Depository Institution to a Federal Stock or Mutual Savings Association03/2007
1583Capital Distribution04/2012
1584Notice filing pursuant to 12 CFR Section 563.22(c) for Institutions that Qualify for Expedited Treatment05/2008
1585Conversions to or Combinations with a Bank05/2008
1589Transfer Application05/2008
1606Applicant Certification03/2008
1622Interagency Notice of Change in Control02/2009
1623Interagency Biographical and Financial Report10/2008
1624Interagency Notice of Change in Director or Senior Executive Officer03/2008
1639Interagency Merger Application10/2008
ACApplication for Conversion06/2008
H-(e)Holding Company Applications/Information Filing06/2008