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Alphabetical Listing

Licensing Manual

“Effective July 1, 2015, the Office of the Comptroller of the Currency adopted a final rule to integrate its rules relating to policies and procedures for corporate activities and transactions involving national banks and Federal savings associations.  The Licensing Manual and Sample Filing Forms are in the process of update to reflect the final rule.   Until the new forms are public and available for use, applicants may continue to use the current forms as a guide but are advised to review the final rule and to contact their District Licensing Office for questions or further guidance.  Applications or notices submitted on or after July 1 must meet the requirements in the final rule.”

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

Title Bank / Filer Date
Background Investigations Samples 04/2009
Branch Closings Samples 04/2003
Branches and Relocations Samples 10/2009
Business Combinations Samples 12/2006
Capital and Dividends Samples 11/2007
Change in Bank Control Samples 01/2007
Changes of Corporate Title and Address Samples 10/2009
Changes in Directors and Senior Executive Officers Samples 10/2009
Charters Samples 02/2009
Comments to Other Agencies N/A 11/2006
Conversions Samples 04/2010
Director Waivers Samples 03/2008
Failure Acquisitions N/A 04/1998
Federal Branches and Agencies Samples 11/2014
Fiduciary Powers Samples 06/2002
General Policies and Procedures Samples 03/2008
Investment in Bank Premises Samples 12/2005
Investment in Subsidiaries and Equities Samples 07/2008
Management Interlocks Samples 10/2009
Public Notice and Comments N/A 03/2007
Subordinated Debt - Booklet under revision-please see new guidelines Samples 11/2003
Termination of National Bank Status Samples 04/1998

Companion Publications

Title Date
A Guide to the National Banking System 04/2008
A Guide to Tribal Ownership of a National Bank 09/2002
Becoming a National Bank 02/2011

Thrift Application Handbook

Number Title Date
010 Application Filing Requirements 04/2001
020 Publication Forms 01/2007
050 Appeals Process 04/2001
100 Branching Activities 04/2001
210 Conversion to a National or State Bank 04/2001
220 Combination with a National or State Bank 04/2001
230 Mergers with FDIC-Insured Depository Institutions and Non-FDIC Insured Entities in which a Savings Institution Survives 04/2001
240 Purchase or Sale of Assets and/or Transfer of Liabilities by a Savings Institution from FDIC-Insured and Non-FDIC Insured Depository Institutions 04/2001
310 Change in Control 04/2001
320 Rebuttal of Control 04/2001
410 Charter and Bylaw Amendments 04/2001
420 Conversion of OTS Regulated Savings Institution to a Federal Charter 04/2001
430 Conversion of Bank or Credit Union to a Federal Charter 04/2001
440 Permission to Organize a Federal Savings Institution 04/2001
450 Conversion of Savings Institution from the Mutual Form of Organization to the Stock Form of Organization 04/2001
460 Voluntary Dissolution 04/2001
605 Subordinate Organizations 04/2001
610 Subordinated Debt and Mandatorily Redeemable Preferred Stock - Booklet under revision-please see new guidelines 04/2001
620 Fiduciary Powers 09/2006
625 Business Plan Guidelines 04/2001
635 Capital Distributions 04/2001
640 Modifications of Conditions of Approval 04/2001
645 Expansion of Business Activities 04/2001
710 FDIC Resolution Procedures 04/2001
810 Management Interlocks 04/2001
840 Regulatory Waivers 04/2001

Thrift Application Forms

Number Title Date
138 Interagency Charter and Federal Deposit Insurance Application 03/2013
1240 Application for Fiduciary Powers 05/2008
1344 Subordinated Debt Securities Issuances 11/2008
1450 Permission to Establish Branch Office, Change of Location of an Office, or Redesignation of Home and Branch Office 06/2011
1495 Interim Thrift Institution, Application to Establish and Merge 03/2009
1502-E Charter, Federal Stock Association 09/2011
1502-F Charter, Federal Mutual Association 09/2011
1518 Bylaws, Model for Stock Associations 03/2009
1522 Mutual Holding Company Reorganization, MHC- 1 06/2008
1523 Minority Stock Issuance by a Savings Association Subsidiary of a Mutual Holding Company, MHC-2 06/2008
1558 Establish or Change of Location of an Office 06/2011
1560 Higher Lending Limitations 03/2009
1561 Subordinated Debt or Mandatory Redeemable Preferred Stock Issuances 11/2008
1562 Service Corporation Activity Securities Brokerage 06/2008
1563 Charter and Bylaw Amendments 09/2011
1564 Prescribed Services or Activities for S&L Holding Companies, Notice to Commence Activities 09/2008
1566 Preapproved Service Corporation Activity 06/2011
1577 Bylaws, Model for Mutual Savings Associations 03/2009
1579 Establish an Operating Subsidiary 02/2008
1582 Conversion of a Depository Institution to a Federal Stock or Mutual Savings Association 03/2007
1583 Capital Distribution 04/2012
1584 Notice filing pursuant to 12 CFR Section 563.22(c) for Institutions that Qualify for Expedited Treatment 05/2008
1585 Conversions to or Combinations with a Bank 05/2008
1589 Transfer Application 05/2008
1606 Applicant Certification 03/2008
1622 Interagency Notice of Change in Control 03/2013
1623 Interagency Biographical and Financial Report 02/2013
1624 Interagency Notice of Change in Director or Senior Executive Officer 02/2013
1639 Interagency Merger Application 03/2013
AC Application for Conversion 06/2008
H-(e) Holding Company Applications/Information Filing 06/2008