Securities Filings Instructions and Content
National banks and Federal Savings Associations (FSA) file securities registration and disclosure documents with the OCC. Securities offering registration statements are filed under OCC Part 16. National banks and FSAs that exceed certain asset and shareholder thresholds must also make Securities Exchange Act filings with the OCC under OCC Part 11.
These documents are available in the FOIA Reading Room listed under Securities Filings.
To access filings:
- Use this link to go to the FOIA Reading Room. A new "Freedom of Information Act (FOIA)" browser window will open.
- In the left navigation click on "FOIA Reading Room." A search box will appear in the main content area to the right.
- Leave the "Document Name" field as is (with the asterisk entered) so that all Securities Filings documents will appear in your search results.
- In the "Document Type" field scroll down to "Securities Filings" and click on it once to make this your search criteria.
- Choose "Published Dates" if you know the timeframe you want to search. Otherwise leave these fields blank.
- Click the "Search" button and your search results will be displayed. Click on the PDF icon for the desired filing in order to open the document.