<
 
 
 
 
×
>
hide
You are viewing a Web site, archived on 11:51:15 Oct 15, 2004. It is now a Federal record managed by the National Archives and Records Administration.
External links, forms, and search boxes may not function within this collection.

Skip to quick links of this areaSkip to main contentOCC Logo Comptroller of the Currency, Administrator of national Banks

| | | | | |

Corporate Applications


Search this Site:

Search Tips

What's New
About the OCC
Banker Education
Careers at the OCC
Community Affairs
Corporate Applications
  • Bank Activities
  • Contacts
  • Licensing Manual
  • Corporate Regulations
  • Application Documents
  • Electronic Banking
  • Published Corporate
           Decisions
  • Availability of Filed
           Applications
  • Filing Fees
  • Weekly Bulletin
  • Search Weekly Bulletin
  • Download a Weekly Bulletin
  • Skip to main content
    CRA Information
    Consumer Complaints
    and Assistance
    Electronic Banking
    FOIA
    Issuances
    Legal and Regulatory
    News Releases
    Publications
    Public Information
    Related Sites
    Speeches
    Treasury Homepage
    National BankNet for Chartered National Banks
    FirstGov

    End of Left Navigation links group


    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: The Internet and the National Bank Charter, A Guide to the National Banking System, and A Guide to Tribal Ownership of a National Bank.

    OMB No. 1557-0014, Expiration Date:  May 31, 2005.

    Application Documents

    General Policies and Procedures
    Survey Letter

    Significant Deviation Policy

    WORDor PDF
    Background Investigations
    Interagency Biographical and Financial Report Form
    Corporate Background and Financial Report Form
    WP or PDF
    Foreign Certification
    WP or PDF
    Appointment of Agent
    WP or PDF
    IRS Tax Check Waiver
    WP or PDF
    Charters
    Charter Application
    WORD or PDF
    Business Plan
    Financial Projections
    Application Amendments
    WPor PDF

    Public Notice Sample

    WORDor PDF
    First Meeting of Organizers
    WP or PDF
    Articles of Association
    Instructions - Articles of Association
    Organization Certificate
    WP or PDF
    Spokesperson Designation
    WP or PDF
    Waiver of Notice of Organizing Board’s First Meeting
    WP or PDF
    Organizing Board’s First Meeting
    WP or PDF
    Individual Oath of Bank Director
    Joint Oath of Bank Directors
    Oaths of  Bank Directors Instructions
    Bylaws
    Subscription
    Capital Stock Payment Certificate
    WP or PDF
    Corporate Resolution
    WP or PDF
    Proxy Card
    Notice of First Shareholders’ Meeting
    WP or PDF
    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
    WP or PDF
    Branches and Relocations
    Branch and Relocation Application
    Main Office Relocation to Existing Branch Site within the Same City, Town or Village
    WP or PDF
    Main Office Relocation to Other Than an Existing Branch Site in the Same City, Town, or Village
    Opening Date of Branch Office
    WP or PDF
    Opening Date for Relocation of Main Office to Branch Site within the Same City, Town, or Village
    WP or PDF
    Business Combinations
    Business Combination Application – Checklist and Community Reinvestment Commitments
    WP or PDF
    Business Combination Application—Streamlined
    Interagency Bank Merger Act Application
    Branches Requiring Authorization
    WP or PDF
    Bank Merger Screen
    WP or PDF
    Merger With Nonbank Subsidiary or Affiliate
    WORD or PDF
    Application: Interim National Bank Charter
    Stock Payment Certificate and Oaths of Directors and Officers
    Shareholders’ Waiver of Notice of Shareholders’ Meeting and Written Consent of Business Combination
    WP or PDF
    Board of Directors’ Waiver of Notice of Board Meeting and Written Consent of Business Combination
    WP or PDF
    Emergency Processing Request
    WP or PDF
    Notice of Consummation
    WP or PDF
    Notice of Shareholders’ Meeting to Vote on Combination
    WP or PDF
    Instructions and Sample Public Notice
    WP or PDF
    Secretary’s Certificate of Board of Directors’ Approval of Combination
    WP or PDF
    Secretary’s Certificate of Shareholders’ Approval of Combination
    WP or PDF
    Sample Agreements — Consolidation
    WP or PDF
    Sample Agreements — Merger
    WP or PDF
    Sample Agreement — Purchase and Assumption
    WP or PDF

    Reorganization--Subsidiary of a BHC

    Fiduciary Powers
    Application
    WP or PDF
    After-the-Fact Notice
    WP or PDF
    Surrender of Fiduciary Powers
    WP or PDF
    Fiduciary Operating Plan—Instructions
    WP or PDF
    Commencement of Fiduciary Activities Notice
    WP or PDF
    Investment in Subsidiaries and Equities
    After-the-Fact Notice—Subsidiary or Service Company
    After-the-Fact Notice—Equity Investment
    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
    WP or PDF
    Final Branch Closing, Consolidation, Relocation, or Downgrade Notice
    WP or PDF
    Sample Customer Notice of Branch Closing
    WP or PDF
    Capital and Dividends
    Application: Increase in Capital for ther Than Cash
    WP or PDF
    Application: Increase in Capital for Material Noncash Contribution
    WP or PDF
    Application: Reduction of Permanent Capital
    WP or PDF
    Application: Quasi-Reorganization
    WP or PDF
    Application: Dividend-In-Kind
    WP or PDF
    Application: Dividend Exceeding 12 USC 60 Limits
    WP or PDF
    Application: Retirement of Capital Stock/Acquisition of Treasury Stock
    WP or PDF
    Application: Reverse Stock Split
    WP or PDF
    Notice: Increase in Stock for Cash
    WP or PDF
    Notice: Preferred Stock Terms
    WP or PDF
    Notice: Increase in Stock for Property
    WP or PDF
    Notice: Noncash Contribution to Surplus
    WP or PDF
    Notice: Par Value Change
    WP or PDF
    Notice: Conversion of Preferred Stock
    WP or PDF
    Notice: Reduction of Permanent Capital
    WP or PDF
    Notice: Stock Dividend
    WP or PDF
    Pro Forma Balance Sheet
    WP or PDF
    Change in Bank Control
    Interagency Notice of Change in Control
    WORD or PDF
    Publication Notice
    WP or PDF
    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
    WP or PDF
    Notification of Change of Address
    WP or PDF
    Director Waivers
    Request for Citizenship Waiver
    WP or PDF
    Request for Residency Waiver
    WP or PDF
    Investment in Bank Premises
    After-the-Fact Notice
    WP or PDF
    Application for Increase
    Management Interlocks
    General Exemption - No Presumption
    General Exemption - Presumption Applicable
    Subordinated Debt
    Application to Issue Subordinated Debt
    WP or PDF
    Application to Prepay Subordinated Debt
    WP or PDF
    Notice of Debt Issuance
    WP or PDF
    Termination of National Bank Status
    Initial Notice Voluntary Liquidation
    WP or PDF
    Public Notice of Voluntary Liquidation
    WP or PDF
    Shareholders’ Resolution
    WP or PDF
    Report of Condition at Commencement of Liquidation
    WP or PDF
    Report of Progress of Liquidation
    WP or PDF
    Expedited Liquidation Notice
    WP or PDF
    Conversion Notice
    WP or PDF
    Merger or Consolidation Notice
    WP or PDF
    Voluntary Liquidation Notice
    WP or PDF
    Federal Branches and Agencies
      Initial and Additional Establishments
      Application to Establish an Initial/Additional Federal Branch or Agency w/ Instructions
      WP or PDF
      Initial and Additional Establishments -- Sample Data Notice
      WP or PDF
      Financial Data
      WP or PDF
      Cover Letter for Initial/Additional Establishment Application
      WP or PDF
      Acquisitions
      Request for After-the-Fact Approval
      WP or PDF
      Application to Acquire a Federal Branch or Agency
      WP or PDF
      Acquisitions -- Sample Public Notice
      WP or PDF
      Application Cover Letter
      WP or PDF
      Change of Status
      Application for a Change of Status of an Office of a Foreign Bank
      WP or PDF
      Application Cover Letter (State-to-Federal License)
      WP or PDF
      Application Cover Letter (Expansion of Activities)
      WP or PDF
      Notice of Contraction of Activities
      WP or PDF
      Relocations
      Federal Branch and Agency Relocation Application
      WP or PDF
      Relocations -- Sample Public Notice
      WP or PDF
      Cover Letter for Relocation Application
      WP or PDF
      Notice of Effective Date for Relocation
      WP or PDF
      Fiduciary Powers
      Application Letter -- Fiduciary Powers
      WP or PDF
      Fiduciary Operating Plan -- Instructions
      WP or PDF
      Notice of Commencement of Fiduciary Activities
      WP or PDF
      Senior Management Resolution on Surrender of Fiduciary Powers
      WP or PDF
      Voluntary Liquidation
      Notice Letter -- Standard Voluntary Liquidation
      WP or PDF
      Resolution to Voluntarily Liquidate
      WP or PDF
      Public Notice of Voluntary Liquidation
      WP or PDF
      Liquidation -- Interim Progress Report
      WP or PDF
      Liquidation -- Final Report
      WP or PDF
      Capital Equivalency Deposit
      Capital Equivalency Deposit Agreement
      WP or PDF
      Request to Change Depository Bank
      WP or PDF
      Request for Reduction in CED Account Balance
      WP or PDF
      Other Changes in Activities and Operations
      Notice of Change in Activities or Operations
      WP or PDF
      Cover Letter for a Change in Control
      WP or PDF
      Senior Management Resolution or Conversion of a Federal Branch or Agency to a State-Licensed Operation of a Foreign Bank
      WP or PDF

     
    OCC Sample Documents
     

    General Policies and Procedures

                Acknowledgment Letter

    Confidential Memorandum
    Decision
    Decision for HQ LIC Cases
    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
    Acceptance of Articles of Association and Organization Certificate Letter
    Capital Extension
    Charter Handoff Checklist
    Charter Handoff Package
    Conditional No Objection to Significant Deviation
    Disapproval Letter
    Extension to Open
    Disapproval Letter
    Final Approval
    Interested Persons Notification Letter
    Minimum Policies and Procedures
    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 Opinion Memorandum -- Change in Bank Control
    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
    Handoff Package
    Branches and Relocations
    Acknowledgment/Auto Approval
    Approval-CondApproval-Authorization Letter
    Branch Decision Document
    Certification Letter for MO Relocation
    Mobile Branch Approval
    Section 327 Request
    Temporary Branch Approval
    Business Combinations
     

    Acknowledgment of Receipt Letter

    Anti-money Laundering Efforts Request

    Approval or Conditional Approval Letter

    Approval or Conditional Approval Letter - HC Reorganization

    Approval or Conditional Approval Letter - Uninsured

    Certification of Combination

    Competitive Factors Request to Other Federal Agencies

    Decision Page

    Decision Document

    Decision Document - Emergency

    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

    Oakar - 30-day Extension Letter

    Oakar - Time Period Expiring, Disapproval

    Prospective Competitive Factor Report Processing

    Fiduciary Powers
    Approval/Conditional Approval Letter
    Termination of Fiduciary Powers Certification Letter
    Investment in Subsidiaries and Equities
    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 
    Capital Increase Certification Letter
    Word or PDF 
    Capital Decrease Acknowledgment Letter
    Word or PDF 
    Innovative Capital Approval Letter
    Word or PDF 

    Change in Bank Control

    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
    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

      This page may contain PDF documents
      Download Adobe Acrobat Reader 5.0

      You are entering an official United States government system, which may be used only for authorized purposes. Unauthorized modification of any information stored on this system may result in criminal prosecution.