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Alphabetical Listing

Licensing Manual

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 07/2015
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