Comptroller of the Currency, Administrator of National Banks Ensuring a Safe and Sound National Banking System for all Americans
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Corporate Applications:

Please read the appropriate booklets before using these sample documents. Downloading tips are available if you run into trouble.

Please note: The following booklets are not listed because they do not contain downloadable samples: A Guide to the National Banking System and A Guide to Tribal Ownership of a National Bank.

OMB No. 1557-0014, Expiration Date:  February 28, 2011.

Application Documents
General Policies and Procedures
Change In Assets Applications
Survey Letter

Significant Deviation Policy
Background Investigations
Consent Form for DEA Background Investigations
WORD or PDF
Interagency Biographical and Financial Report
WORD or PDF (273KB)
Corporate Background and Financial Report
Appointment of Agent
IRS Tax Check Waiver
Charters
Charter Application
Business Plan
Financial Projections
Application Amendments

Public Notice Sample

Minority-Owned National Banks Policy Statement
PDF
First Meeting of Organizers
Articles of Association
Instructions - Articles of Association
Organization Certificate
Contact Person
Waiver of Notice of Organizing Board's First Meeting
Organizing Board's First Meeting
Individual Oath of Bank Director
Joint Oath of Bank Directors
Oaths of  Bank Directors Instructions
Bylaws
Subscription
Capital Stock Payment Certificate
Corporate Resolution
Proxy Card
Notice of First Shareholders' Meeting
Minutes of the First Shareholders' Meeting
Minutes of Subsequent Organizing Board Meetings
Waiver of Notice of the First Board Meeting
First Meeting of Directors
Organization Completed
Preopening Checklist for Organizers
Conversions
Conversion Application
Authority for Conversion to National Bank
Letter Certifying Conversion Completion
Oaths of Bank Directors
Instructions - Organization Certificate
Organization Certificate
Articles of Association
Bylaws
Branches and Relocations
Branch and Relocation Application
WORD or PDF (421KB)
Main Office Relocation to Existing Branch Site within the Same City, Town or Village
Opening Date of Branch Office
Opening Date for Relocation of Main Office to Branch Site within the Same City, Town, or Village
Business Combinations
Business Combination Application - Checklist and Community Reinvestment Commitments
Business Combination Application-Streamlined
WORD or PDF (208KB)
Interagency Bank Merger Act Application
Branches Requiring Authorization
Bank Merger Screen
Merger With Nonbank Subsidiary or Affiliate
Application: Interim National Bank Charter

Application: Reorganization - Subsidiary of a BHC
Stock Payment Certificate and Oaths of Directors and Officers
Shareholders' Waiver of Notice of Shareholders' Meeting and Written Consent of Business Combination
Board of Directors' Waiver of Notice of Board Meeting and Written Consent of Business Combination
Emergency Processing Request
Notice of Consummation
Notice of Shareholders' Meeting to Vote on Combination
Public Notice and Instructions
Secretary's Certificate of Board of Directors' Approval of Combination
Secretary's Certificate of Shareholders' Approval of Combination
Sample Agreements - Consolidation
Sample Agreements - Merger
Sample Agreement - Purchase and Assumption
Fiduciary Powers
Application
After-the-Fact Notice
Surrender of Fiduciary Powers
Fiduciary Operating Plan-Instructions
Commencement of Fiduciary Activities Notice
Investment in Subsidiaries and Equities
After-the-Fact Notice-Subsidiary
After-the-Fact Notice- Bank Service Company
After-the-Fact Notice-Equity Investment
Annual Report on Operating Subsidiaries
Annual Report on Operating Subsidiaries Guidelines
Operating Subsidiary Application
Bank Service Company Application
Financial Subsidiary Notice
Financial Subsidiary Certification
Financial Subsidiary Notice and Certification
Branch Closings
Advance Branch Closing and Downgrade Notice
Final Branch Closing, Consolidation, Relocation, or Downgrade Notice
Sample Customer Notice of Branch Closing
Capital and Dividends
Application: Increase in Capital for Other Than Cash
Application: Increase in Capital for Material Noncash Contribution
Application: Reduction of Permanent Capital
Application: Quasi-Reorganization
Application: Dividend-In-Kind
Application: Dividend Exceeding 12 USC 60 Limits
Application: Reverse Stock Split
Notice: Increase in Stock for Cash
Notice: Preferred Stock Terms
Notice: Increase in Stock for Property
Notice: Noncash Contribution to Surplus
Notice: Par Value Change
Notice: Conversion of Preferred Stock
Notice: Reduction of Permanent Capital
Notice: Stock Dividend
Pro Forma Balance Sheet
Projected Regulatory Capital Schedule
Change in Bank Control
Affidavit
Interagency Notice of Change in Control
Publication Notice
Changes in Directors and Senior Executive Officers
Interagency Notice of Change in Director or Senior Executive Officer
Changes in Corporate Title and Address
Notification of Change of Corporate Title
Change of Address
Director Waivers
Request for Citizenship Waiver
Request for Residency Waiver
Investment in Bank Premises
After-the-Fact Notice
Application for Increase
Management Interlocks
General Exemption - No Presumption
General Exemption - Presumption Applicable
Subordinated Debt
Application to Issue Subordinated Debt
Application to Prepay Subordinated Debt
Notice of Debt Issuance
Termination of National Bank Status
Public Notice of Voluntary Liquidation
Shareholders' Resolution
Report of Condition at Commencement of Liquidation
Report of Progress of Liquidation
Expedited Liquidation Final Notice
Expedited Liquidation Preliminary Notice
Conversion Notice
Merger or Consolidation Notice
Voluntary Liquidation Notice
Voluntary Liquidation Preliminary Notice
Federal Branches and Agencies
    Initial and Additional Establishments
    Application to Establish an Initial/Additional Federal Branch or Agency w/ Instructions
    Initial and Additional Establishments -- Sample Public Notice
    Financial Data
    Cover Letter for Initial/Additional Establishment Application
    Acquisitions
    Request for After-the-Fact Approval
    Application to Acquire a Federal Branch or Agency
    Acquisitions -- Sample Public Notice
    Acquisitions Cover Letter
    Conversion or Contraction of Operations
    Application for a Change of Status of an Office of a Foreign Bank
    Application Cover Letter (State-to-Federal License)
    Application Cover Letter (Federal Agency or Limited Federal Branch Conversion)
    Notice of Contraction of Activities
    Relocations
    Federal Branch and Agency Relocation Application
    Relocations -- Sample Public Notice
    Cover Letter for Relocation Application
    Notice of Effective Date for Relocation
    Fiduciary Powers
    Application Letter -- Fiduciary Powers
    Fiduciary Operating Plan -- Instructions
    Notice of Commencement of Fiduciary Activities
    Senior Management Resolution on Surrender of Fiduciary Powers
    Voluntary Liquidation
    Notice Letter -- Standard Voluntary Liquidation
    Resolution to Voluntarily Liquidate
    Voluntary Liquidation -- Sample Public Notice
    Liquidation -- Interim Progress Report
    Liquidation -- Final Report
    Capital Equivalency Deposit
    Capital Equivalency Deposit Agreement
    Request to Change Depository Bank
    Request for Reduction in CED Account Balance
    Other Changes in Activities and Operations
    Notice of Change in Activities or Operations
    Cover Letter for a Change in Control
    Senior Management Resolution or Conversion of a Federal Branch or Agency to a State-Licensed Operation of a Foreign Bank

OCC Sample Documents
 

General Policies and Procedures

<          Acknowledgment Letter

<          Acknowledgment - Public Comment

<          Approval-Conditional Approval: Asset Sale or Disposition Only

<          Approval-Conditional Approval: Change in Assets & Other Filing
Confidential Memorandum
Denial Letter
Eligible Bank Acknowledgment and Decision Letter
Response to Public Request
Ineligible for Expedited Review
Information Request Letter
Initial Reviewer's Recommendation for HQ LIC Cases
Interested Persons Letter
National Historic Preservation Act Letter
OCC Recommendations
Other Recommendations for LOPS Cases
Background Investigations
Adverse Information Letter

Word or PDF
Background Investigation Checklist

Word or PDF
Contacts at Other Agencies

Word or PDF
Enforcement Action Report System Entry Request

Word or PDF
FBI Adverse Information Letter-Change in Bank Control

Word or PDF
FBI Adverse Information Letter-Standard

Word or PDF
Japanese National Request Letter

Word or PDF
Use of OCC Form CC-9020-01

Word or PDF
No Objection Letter to Proposed Management Official

Word or PDF
Objection Letter to Proposed Management Official

Word or PDF
Reconfirmation of Objection to Management Official
Word or PDF
Charters
Acknowledgment of Articles of Association and Organization Certificate Letter
Capital Extension
Charter Handoff Checklist
Charter Handoff Package
Conditional No Objection to Significant Deviation
Denial Letter
Extension to Open
Final Approval
Interested Persons Notification Letter
Minimum Policies and Procedures
Word or PDF (714KB)
No Objection to Significant Deviation
Objection to Significant Deviation
Preliminary Conditional Approval Letter
Preopening Examination Notification
Release of Escrow Funds
Repayment of Escrow Funds
Standard Requirements
Comments to Other Agencies
Advisory Memorandum
Request for Commitment for 30-day Prior Notice of Change of Business Plan
Conversions
Letter Advising of Examination Fee
Agreement to Pay Examination Fee
Memorandum Requesting Exam Fee Invoice
Letter Forwarding Examination Fee Invoice
Conversion Completion Acknowledgment
Confidential Memorandum for Nonconforming Assets
Approval or Conditional Approval Letter
Minimum Policies and Procedures
Word or PDF (714KB)
Handoff Package
Branches and Relocations
Acknowledgment/Auto Approval
Approval-CondApproval-Authorization Letter
Branch Decision Document
Certification Letter for MO Relocation
Main Office Relocation to Other Than an Existing Branch Site in the Same City, Town, or Village
Mobile Branch Approval
Section 327 Request
Temporary Branch Approval
Temporary Branch Authorization Letter
Business Combinations

Acknowledgment of Receipt Letter

Anti-money Laundering Efforts Request

Anti-money Laundering E-mail Language

Approval or Conditional Approval Letter

Approval or Conditional Approval Letter - HC Reorganization

Approval or Conditional Approval Letter - Nonbank Affiliate

Certification of Combination

Competitive Factor Request to DOJ

Decision Document

DOJ Notice of Approval

Emergency - Approval Letter

Emergency - Disapproval Letter

Emergency - Internal Comment Request

Emergency - Primary Supervisory Agency Comment Request

Examination Fee Letter

Examination - Agreement to Pay Cost

Expedited Business Reorganization Decision

HC Reorganization Checklist

Prospective Competitive Factor Report Processing

Acknowledgment to Dissenting Shareholder

Appraisal Value to Dissenting Shareholder

Appraisal Value to Surviving Entity

Request to Bank for Dissenting Rights

Perfection of Dissenting Shareholder Rights Checklist

Riegle-Neal (R-N) Supplement

Fiduciary Powers
Approval/Conditional Approval Letter
Termination of Fiduciary Powers Certification Letter
Investment in Subsidiaries and Equities
Acknowledgment--After-the-fact Notice, Operating Subsidiary
Approval Letter--Operating Subsidiary Application
Approval Letter--Sale of Insurance and Annuity Products
Acknowledgment--After-the-fact Notice, Noncontrolling
Acknowledgment--Financial Subsidiary Certification
Acknowledgment--Financial Subsidiary Notice
Acknowledgment--Financial Subsidiary Certification and Notice
Notice to State Insurance Commissioner
Branch Closings
Branch Closing Acknowledgment
Word or PDF 
Branch Consolidation/Short-Distance Relocation Acknowledgment
Word or PDF 
Branch Downgrade Acknowledgment
Word or PDF 
Acknowledgment of Comment on Branch Closing
Word or PDF 
Capital and Dividends
Acknowledgment Letter: Preferred Stock
Word or PDF 
Approval Letter
Word or PDF 
Approval Letter: Quasi-reorganization
Word or PDF 
Certification of Permanent Capital Increase
Word or PDF 
Capital Decrease Acknowledgment Letter
Word or PDF 
Innovative Capital Approval Letter
Word or PDF 

Change in Bank Control

Additional Information Request
Additional Information Received and Target Date Extension
Thirty-day Extension Letter
First 45-day Extension Letter
Second 45-day Extension Letter
Technically Complete Notice
Rebuttal Response Letter
No Objection Letter
Disapproval Letter
Failure Acquisitions
Director Waivers
Citizenship Waiver Approval Letter
Citizenship Waiver Disapproval Letter
Individual Residency Waiver Approval Letter
Multiple Residency Waiver Approval Letter
Residency Waiver Disapproval Letter
Investment in Bank Premises
Approval/Conditional Approval Letter
Public Notice and Comments

<          Acknowledgment - Public Comment
Notice of Public Hearing
Management Interlocks
Approval Letter for Continuation of Management Interlock
Approval Letter for General Exemptions
Subordinated Debt
Termination of National Bank Status
Acknowledgment Letter - Conversion or Merger
Acknowledgment Letter - Expedited Liquidation
Acknowledgment Letter - Voluntary Liquidation
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The Office of the Comptroller of the Currency was created by Congress to charter national banks, to oversee a nationwide system of banking institutions, and to assure that national banks are safe and sound, competitive and profitable, and capable of serving in the best possible manner the banking needs of their customers.

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