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Alphabetical Listing


Comptroller's 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.

The OCC recommends reading the booklet before accessing the sample documents.


Booklets 

Title Bank / Filer Date
Articles of Association, Charter, and Bylaw Amendments Forms 06/2017
Background Investigations Forms 11/2017
Branch Closings Forms 06/2017
Branches and Relocations Forms 11/2017
Business Combinations Forms 11/2017
Capital and Dividends Forms 11/2007
Change in Bank Control Forms 09/2017
Changes in Directors and Senior Executive Officers Forms 02/2017
Changes of Corporate Title and Address Forms 01/2017
Charters Forms 09/2016
Conversions to Federal Charter Forms 01/2017
Failure Acquisitions N/A 08/2017
Federal Branches and Agencies Forms 10/2017
Fiduciary Powers Forms 05/2017
General Policies and Procedures Forms 07/2017
Management Interlocks Forms 01/2017
National Bank Director Waivers Forms 04/2017
Public Notice and Comments N/A 11/2017
Subordinated Debt Forms 11/2017
Subsidiaries and Equity Investments Forms 10/2017
Substantial Asset Changes, Including Changes in Charter Purpose Forms 08/2017
Termination of Federal Charter Forms 06/2017

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
Comptroller’s Licensing Manual Draft Supplement: Evaluating Charter Applications From Financial Technology Companies 03/2017

Historical Federal Savings Association Booklets 

On July 1, 2015, final rules integrating policies and procedures for corporate activities and transactions involving national banks and FSAs went into effect. Booklets produced by the former Office of Thrift Supervision pertaining to FSA licensing activities have been rescinded. Applicable content from rescinded FSA licensing-related booklets will be incorporated into updated booklets of the Comptroller's Licensing Manual. For information on the integrated rules, see the corresponding link. If you have any questions, contact the appropriate Director for District Licensing.

Rescinded FSA booklets have been archived and are available here.

Number Title Comment
010 Application Filing Requirements 12 CFR 5.4
020 Publication Forms 12 CFR 5.8
050 Appeals Process 12 CFR 5.13(f)
100 Branching Activities 12 CFR 5.31 (Establishment, acquisition and relocation of a branch and establishment of agency office)
12 CFR 5.40 (Change in location of home office)
210 Conversion to a National or State Bank 12 CFR 5.24 (Conversion to a national bank)
12 CFR 5.25 (Conversion to a state bank or state savings association)
220 Combination with a National or State Bank 12 CFR 5.33
230 Merger with FDIC-insured Depository Institutions and Non-FDIC Insured Entities in which a Savings Institution Survives 12 CFR 5.33
240 Purchase or Sale of Assets and/or Transfer of Liabilities by a Savings Institution from FDIC-Insured and Non-FDIC Insured Depository Institutions 12 CFR 5.33
12 CFR 5.53
310 Change in Control 12 CFR 5.50
320 Rebuttal of Control 12 CFR 5.50
410 Charter and Bylaw Amendments 12 CFR 5.21 (Federal mutual savings association)
12 CFR 5.22 (Federal stock savings association)
420 Conversion of OTS Regulated Savings Institutions to a Federal Charter 12 CFR 5.23
430 Conversion of Bank or Credit Union to a Federal Charter 12 CFR 5.23
450 Conversion of Savings Institution from the Mutual Form of Organization to the Stock Form of Organization 12 CFR 192
460 Voluntary Dissolution 12 CFR 5.48
605 Subordinate Organizations 12 CFR 5.35 (Bank service companies)
12 CFR 5.38 (Operating subsidiaries)
12 CFR 5.58 (Pass-through investments)
12 CFR 5.59 (Service corporations)
610 Subordinated Debt and Mandatorily Redeemable Preferred Stock 12 CFR 5.56
620 Fiduciary Powers 12 CFR 5.26
625 Business Plan Guidelines See Link
635 Capital Distributions 12 CFR 5.55
640 Modifications of Conditions of Approval See General Policies and Procedures Booklet
645 Expansion of Business Activities 12 CFR 5.53
710 FDIC Resolution Procedures Contact the local Director for District Licensing
840 Regulatory Waivers Contact HQ Licensing

Historical Federal Savings Association Forms 

Form Number Title Comment
1240 Application for Fiduciary Powers Replaced by Fiduciary Powers Application
1344 Subordinated Debt Securities Issuances - Application Replaced by Issuance of Sub Debt Application
1450 Application to Establish Branch Office, Change of Location of an Office, or Redesignation of Home and Branch Office Replaced by Branch and Relocation Application
1495 Interim Thrift Institution, Application to Establish and Merge Replaced by Interim Bank Charter Application
1502-E Charter, Federal Stock Association Replaced by Model Stock FSA Charter
1502-F Charter, Federal Mutual Association Replaced by Model Mutual FSA Charter
1518 Bylaws, Model for Stock Associations Replaced by Model Stock FSA Bylaws
1522 Mutual Holding Company Reorganization, MHC- 1 Filing Requirement No Longer with the OCC. See Federal Reserve.gov
1523 Minority Stock Issuance by a Savings Association Subsidiary of a Mutual Holding Company, MHC-2 Filing Requirement No Longer with the OCC. See Federal Reserve.gov
1558 Establish or Change of Location of an Office - Notice Replaced by Branch and Relocation Application
1560 Higher Lending Limitations Outdated
1561 Subordinated Debt or Mandatory Redeemable Preferred Stock Issuances - Notice Replaced by Issuance of Subordinated Debt Notice
1562 Service Corporation Activity Securities Brokerage Replaced by Service Corporation Application
1563 Charter and Bylaw Amendments Replaced by FSA Charter Bylaw Amendments Notice
1564 Prescribed Services or Activities for S&L Holding Companies, Notice to Commence Activities Filing Requirement No Longer with the OCC.
1566 Preapproved Service Corporation Activity Replaced by Service Corporation Application
1577 Bylaws, Model for Mutual Savings Associations Replaced by Model Mutual FSA Bylaws
1579 Establish an Operating Subsidiary Replaced by Operating Subsidiary Application
1582 Conversion of a Depository Institution to a Federal Stock or Mutual Savings Association Replaced by Conversion Application
1583 Capital Distribution

Replaced by Reduction of Permanent Capital and Capital Distribution Notice or Reduction of Permanent Capital/Dividends Payable in Property Other Than Cash Application

1584 Notice filing pursuant to 12 CFR Section 563.22(c) for Institutions that Qualify for Expedited Treatment Replaced by Change in Assets Application
1585 Conversions to or Combinations with a Bank Depending on the activity, replaced by Notice of Intent of Conversion Out; Conversion Application; or Notice of Intent to Merger or Consolidation Out
1589 Transfer Application Replaced by Change in Assets Application
1606 Applicant Certification Outdated
AC Application for Conversion No Change
H-(e) Holding Company Applications/Information Filing Filing Requirement No Longer with the OCC. See Federal Reserve.gov.