January 2019
Licensing Filings
This publication is part of:
Collection: Comptroller's Licensing Manual & Forms
The OCC recommends reading the appropriate Licensing Manual booklet before accessing the sample documents.
Note: A Guide to the National Banking System and A Guide to Tribal Ownership of a National Bank are not listed because they do not contain downloadable samples.
Application Documents
This collection of information has been approved by the Office of Management and Budget (OMB) under control number 1557-0014 (expires February 29, 2028). Under the Paperwork Reduction Act, an agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid OMB control number.
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Articles of Association, Charter, and Bylaw Amendments
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National Bank Forms
| Title | Forms |
|---|---|
| Articles of Association | Word |
| Articles of Association - Instructions | |
| Bylaws | Word |
FSA Forms
| Title | Forms |
|---|---|
| Application for Charter and Bylaw Amendments | Fillable PDF |
| Notice for Charter and Bylaw Amendments | Fillable PDF |
| Model Mutual FSA Bylaws | Word |
| Model Mutual FSA Charter | Word |
| Model Stock FSA Bylaws | Word |
| Model Stock FSA Charter | Word |
Background Investigations
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Combined Forms (Applicable to Both)
| Title | Forms |
|---|---|
| Appointment of Agent | Word |
| Consent Form for Background Investigations | Fillable PDF |
| Corporate Background and Financial Report | Fillable PDF |
| Interagency Biographical and Financial Report | Fillable PDF |
Branch Closings
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Combined Forms (Applicable to Both)
| Title | Forms |
|---|---|
| Advance Branch Closing and Downgrade Notice | Fillable PDF |
| Final Branch Closing, Consolidation, Relocation, or Downgrade Notice | Fillable PDF |
| Sample Customer Notice of Branch Closing | Word |
Branches and Relocations
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Combined Forms (Applicable to Both)
| Title | Forms |
|---|---|
| Branch and Relocation Application | Fillable PDF |
National Bank Forms
| Title | Forms |
|---|---|
| Main Office Relocation to Existing Branch Site within the Same City, Town or Village | Word |
| Opening Date of Branch Office | Word |
FSA Forms
| Title | Forms |
|---|---|
| Agency Office Additional Services Application | Fillable PDF |
| Branch and Relocation After the Fact Notice | Fillable PDF |
Business Combinations
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Combined Forms (Applicable to Both)
| Title | Forms |
|---|---|
| Business Combination Application - Checklist and Covered Agreements | |
| Business Combination Application-Streamlined | Fillable PDF |
| Interagency Bank Merger Act Application | |
| Interim Bank Charter Application | Word |
National Bank Forms
| Title | Forms |
|---|---|
| Bank Merger Screen | Word |
| Board of Directors' Waiver of Notice of Board Meeting and Written Consent of Business Combination | Word |
| Branches Requiring Authorization | Word |
| Emergency Processing Request | Word |
| Streamlined Organizational Certificate, Articles and Oaths – For Interims | Word |
| Merger of NB with Nonbank Affiliate - NB Results Application | Fillable PDF |
| Merger of NB with Nonbank Affiliate - Nonbank Results Application | Fillable PDF |
| Notice of Consummation | Word |
| Notice of Shareholders' Meeting to Vote on Combination | Word |
| Public Notice and Instructions | Word |
| Reorganization of a NB to a Subsidiary of BHC Application | Word |
| Sample Agreement - Purchase and Assumption | Word |
| Sample Agreements - Consolidation | Word |
| Sample Agreements - Merger | Word |
| Secretary's Certificate of Board of Directors' Approval of Combination | Word |
| Secretary's Certificate of Shareholders' Approval of Combination | Word |
| Shareholders' Waiver of Notice of Shareholders' Meeting and Written Consent of Business Combination | Word |
| Stock Payment Certificate and Oaths of Directors and Officers | Word |
Capital and Dividends
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Combined Forms (Applicable to Both)
| Title | Forms |
|---|---|
| Increase in Permanent Capital Application(Replaces applications for: Increase in Capital for Other Than Cash; Increase in Capital for Material Noncash Contribution; and Notice for Preferred Stock Terms.) | Fillable PDF |
| Increase in Permanent Capital Notice(Replaces notices for: Increase in Stock for Cash; Increase in Stock for Property; Noncash Contribution to Surplus; Par Value Change; Conversion of Preferred Stock; and Stock Dividend.) | Fillable PDF |
| Quasi-Reorganization Application | Fillable PDF |
| Reduction of Permanent Capital/Dividends Payable in Property Other Than Cash Application | Fillable PDF |
| Reverse Stock Split Application | Fillable PDF |
FSA Forms
| Title | Forms |
|---|---|
| Reduction of Permanent Capital and Capital Distribution Application | Fillable PDF |
Change in Bank Control
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Combined Forms (Applicable to Both)
| Title | Forms |
|---|---|
| Interagency Notice of Change in Control | |
| Publication Notice | Word |
Changes in Directors and Senior Executive Officers
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Combined Forms (Applicable to Both)
| Title | Forms |
|---|---|
| Interagency Notice of Change in Director or Senior Executive Officer | Fillable PDF |
Changes of Corporate Title and Address
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Combined Forms (Applicable to Both)
| Title | Forms |
|---|---|
| Change of Address | Fillable PDF |
| Change of Corporate Title | Fillable PDF |
Charters
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Combined Forms (Applicable to Both)
| Title | Forms |
|---|---|
| Business Plan | |
| Capital Stock Payment Certificate | Word |
| Charter Application | Fillable PDF |
| Corporate Resolution | Word |
| First Meeting of Directors | Word |
| First Meeting of Organizers | Word |
| Minutes of the First Shareholders' Meeting | Word |
| Minutes of Subsequent Organizing Board Meetings | Word |
| Notice of First Shareholders' Meeting | Word |
| Organization Completed | Word |
| Organizing Board's First Meeting | Word |
| Preopening Checklist for Organizers | Word |
| Proxy Card | Word |
| Public Notice Sample | Word |
| Subscription | Word |
| Waiver of Notice of Organizing Board's First Meeting | Word |
National Bank Forms
| Title | Forms |
|---|---|
| Application Amendments | Word |
| Articles of Association | Word |
| Articles of Association - Instructions | |
| Bylaws | Word |
| Contact Person | Word |
| Financial Projections | |
| Individual Oath of Bank Director | Word |
| Joint Oath of Bank Directors | Word |
| Minority-Owned National Banks Policy Statement | |
| Oaths of Bank Directors - Instructions | |
| Organization Certificate | Word |
| Waiver of Notice of the First Board Meeting | Word |
FSA Forms
| Title | Forms |
|---|---|
| Application for Conversion | |
| Individual Oath of FSA Director | Word |
| Notice for Charter and Bylaw Amendments | Fillable PDF |
| Model Mutual FSA Bylaws | Word |
| Model Mutual FSA Charter | Word |
| Model Stock FSA Bylaws | Word |
| Model Stock FSA Charter | Word |
Conversions
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Combined Forms (Applicable to Both)
| Title | Forms |
|---|---|
| Conversion Application | Fillable PDF |
National Bank Forms
| Title | Forms |
|---|---|
| Articles of Association | Word |
| Authority for Conversion to National Bank | Word |
| Bylaws | Word |
| Conversion to NB Completion Certification | Word |
| Individual Oath of Bank Director | Word |
| Joint Oath of Bank Directors | Word |
| Oaths of Bank Directors Instructions | |
| Organization Certificate | Word |
FSA Forms
| Title | Forms |
|---|---|
| Certification of Application for Conversion to a FSA | Word |
| Conversion to FSA Completion Certification | Word |
| Individual Oath of FSA Director | Word |
| Notice for Charter and Bylaw Amendments | Fillable PDF |
| Model Mutual FSA Bylaws | Word |
| Model Stock FSA Bylaws | Word |
| Model Mutual FSA Charter | Word |
| Model Stock FSA Charter | Word |
Federal Branches and Agencies
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Initial and Additional Establishments
| Title | Forms |
|---|---|
| Application to Establish an Initial/Additional Federal Branch or Agency w/ Instructions | |
| Initial and Additional Establishments - Sample Public Notice | Word |
| Financial Data | Word |
| Cover Letter for Initial/Additional Establishment Application |
Acquisitions
| Title | Forms |
|---|---|
| Request for After-the-Fact Approval | |
| Application to Acquire a Federal Branch or Agency | |
| Acquisitions - Sample Public Notice | Word |
| Acquisitions Cover Letter | Word |
Conversion or Contraction of Operations
| Title | Forms |
|---|---|
| Application for a Change of Status of an Office of a Foreign Bank | |
| Application Cover Letter (State-to-Federal License) | Word |
| Application Cover Letter (Federal Agency or Limited Federal Branch Conversion) | Word |
| Notice of Contraction of Activities | Word |
Relocations
| Title | Forms |
|---|---|
| Federal Branch and Agency Relocation Application | |
| Relocations - Sample Public Notice | Word |
| Cover Letter for Relocation Application | Word |
| Notice of Effective Date for Relocation | Word |
Fiduciary Powers
| Title | Forms |
|---|---|
| Application Letter - Fiduciary Powers | Word |
| Fiduciary Operating Plan - Instructions | |
| Notice of Commencement of Fiduciary Activities | Word |
| Senior Management Resolution on Surrender of Fiduciary Powers |
Voluntary Liquidation
| Title | Forms |
|---|---|
| Notice Letter - Standard Voluntary Liquidation | Word |
| Resolution to Voluntarily Liquidate | Word |
| Voluntary Liquidation - Sample Public Notice | Word |
| Liquidation - Interim Progress Report | Word |
| Liquidation - Final Report | Word |
Capital Equivalency Deposit
| Title | Forms |
|---|---|
| Request to Change Depository Bank | Word |
| Request for Reduction in CED Account Balance | Word |
Other Changes in Activities and Operations
| Title | Forms |
|---|---|
| Notice of Change in Activities or Operations | Word |
| Cover Letter for a Change in Control | Word |
| Senior Management Resolution or Conversion of a Federal Branch or Agency to a State-Licensed Operation of a Foreign Bank | Word |
Fiduciary Powers
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Combined Forms (Applicable to Both)
| Title | Forms |
|---|---|
| Commencement of Fiduciary Activities Notice | Fillable PDF |
| Fiduciary Operating Plan-Instructions | |
| Fiduciary Powers After the Fact Notice | Fillable PDF |
| Fiduciary Powers Application | Fillable PDF |
| Surrender of Fiduciary Powers Notice | Fillable PDF |
General Policies and Procedures
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National Bank Forms
| Title | Forms |
|---|---|
| Significant Deviation Policy |
Management Interlocks
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Combined Forms (Applicable to Both)
| Title | Forms |
|---|---|
| Management Interlocks Application |
Mutual to Stock Conversions
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Form AC (Applicable to FSAs Only)
| Title | Forms |
|---|---|
| Application for Conversion | Word |
National Bank Director Waivers
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National Bank Forms
| Title | Forms |
|---|---|
| Citizenship Waiver Request | Fillable PDF |
| Residency Waiver Request | Fillable PDF |
Subordinated Debt
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Combined Forms (Applicable to Both)
| Title | Forms |
|---|---|
| Issuance of Subordinated Debt Application | Fillable PDF |
| Issuance of Subordinated Debt Notice | Fillable PDF |
| Prepayment of Subordinated Debt Application | Fillable PDF |
Subsidiaries and Equity Investments
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Combined Forms (Applicable to Both)
| Title | Forms |
|---|---|
| Bank Service Company Notice | Fillable PDF |
| Operating Subsidiary Application | Fillable PDF |
| Other Equity or Pass-Through Investments After the Fact Notice | Fillable PDF |
| Other Equity or Pass-Through Investments Application | Fillable PDF |
| Satisfaction of DPC After the Fact Notice | Fillable PDF |
National Bank Forms
| Title | Forms |
|---|---|
| Equity Investment in Statutory Subsidiary After the Fact Notice | Fillable PDF |
| Financial Subsidiary Certification | Fillable PDF |
| Financial Subsidiary Certification and Application | Fillable PDF |
| Financial Subsidiary Application | Fillable PDF |
| Operating Subsidiary After the Fact Notice | Fillable PDF |
FSA Forms
| Title | Forms |
|---|---|
| 12 USC 1828(m) Investment Application | Fillable PDF |
| Service Corporation Application | Fillable PDF |
| Subsidiary Redesignation Notice | Fillable PDF |
Substantial Asset Change
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Combined Forms (Applicable to Both)
| Title | Forms |
|---|---|
| Substantial Asset Change Application | Fillable PDF |
Termination of Charter
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Combined Forms (Applicable to Both)
| Title | Forms |
|---|---|
| Annual Report of Progress of Liquidation | Word |
| Board of Directors' and Shareholders' Resolution | Word |
| Conversions Out Final Notice | Fillable PDF |
| Expedited Liquidation Final Notice | Fillable PDF |
| Final Report Voluntary Liquidation | Word |
| Merger or Consolidation Out Final Notice | Fillable PDF |
| Notice of Intent of Conversion Out | Fillable PDF |
| Notice of Intent of Expedited Liquidation | Fillable PDF |
| Notice of Intent to Merge or Consolidate Out | Fillable PDF |
| Notice of Intent of Voluntary Liquidation | Word |
| Notice Upon Commencing of Voluntary Liquidation | Word |
| Public Notice of Voluntary Liquidation | Word |
| Voluntary Liquidation Plan | Word |
| Voluntary Liquidation Report of Condition at Commencement of Liquidation | Word |