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Asset Management Issuances

Comptroller's Handbook Booklets, Asset Management Series

Other Comptroller's Handbook Booklets

Comptroller's Licensing Manual

Laws & Regulations

OCC Chief Counsel's Interpretation on National Trust Banks(PDF)

Requests Under 716(f) of the Dodd-Frank Act

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Register for Monthly Schedule of Short-Term Investment Funds

Register as a Transfer Agent

OCC Bulletins

DateIDTitle
06/06/2023OCC 2023-17[Third-Party Relationships: Interagency Guidance on Risk Management](/news-issuances/bulletins/2023/bulletin-2023-17/)
03/23/2020OCC 2020-22Short-Term Investment Funds: Interim Final Rule and Order
06/07/2018OCC 2018-15[T+2 Securities Transaction Settlement Cycle: Final Rule](/static/rescinded-bulletins/bulletin-2018-15.pdf/)
05/08/2017OCC 2017-16Fiduciary Powers: Revised Comptroller’s Licensing Manual Booklet
01/24/2017OCC 2017-7[Third-Party Relationships: Supplemental Examination Procedures](/news-issuances/bulletins/2017/bulletin-2017-7/)
12/20/2016OCC 2016-46[Receiverships for Uninsured National Banks: Final Rule](/static/rescinded-bulletins/bulletin-2016-46.pdf/)
05/19/2016OCC 2016-17[Money Market Funds: Compliance With SEC Money Market Fund Rules by Bank Fiduciaries, Deposit Sweep Arrangements, and Bank Investments](/news-issuances/bulletins/2016/bulletin-2016-17/)
02/10/2015OCC 2015-12[Personal Fiduciary Activities: Revised Comptroller's Handbook Booklet](/news-issuances/bulletins/2015/bulletin-2015-12/)
01/14/2015OCC 2015-3[Conflicts of Interest: Revised Comptroller's Handbook Booklet and Rescissions](/news-issuances/bulletins/2015/bulletin-2015-3/)
01/14/2015OCC 2015-2Retail Nondeposit Investment Products: Revised Comptroller's Handbook Booklet and Rescissions
05/28/2014OCC 2014-25[Collective Investment Funds: Comptroller's Handbook Booklet Revision and Rescission](/news-issuances/bulletins/2014/bulletin-2014-25/)
02/12/2014OCC 2014-3[Retirement Plan Products and Services: Comptroller's Handbook Revisions and Rescissions](/news-issuances/bulletins/2014/bulletin-2014-3/)
12/17/2013OCC 2013-39[Social Media: Consumer Compliance Risk Management Guidance: Final Supervisory Guidance](/news-issuances/bulletins/2013/bulletin-2013-39/)
03/05/2013OCC 2013-8[Short-Term Investment Funds Reporting Requirements: Monthly Disclosures](/news-issuances/bulletins/2013/bulletin-2013-8/)
10/10/2012OCC 2012-31[Short-Term Investment Funds: Final Rule](/static/rescinded-bulletins/bulletin-2012-31.pdf/)
08/23/2012OCC 2012-22Unique and Hard-to-Value Assets: New Comptroller’s Handbook Booklet
09/12/2011OCC 2011-38[Retail Foreign Exchange Transactions: Interim Final Rule](/static/rescinded-bulletins/bulletin-2011-38.pdf/)
07/28/2011OCC 2011-34[Retail Foreign Exchange Transactions: Final Rule](/static/rescinded-bulletins/bulletin-2011-34.pdf/)
04/04/2011OCC 2011-12[Sound Practices for Model Risk Management: Supervisory Guidance on Model Risk Management](/news-issuances/bulletins/2011/bulletin-2011-12/)
03/29/2011OCC 2011-11[Risk Management Elements: Collective Investment Funds and Outsourced Arrangements](/news-issuances/bulletins/2011/bulletin-2011-11/)
09/20/2010OCC 2010-37[Fiduciary Activities of National Banks: Self-Deposit of Fiduciary Funds](/news-issuances/bulletins/2010/bulletin-2010-37/)
06/30/2010OCC 2010-24[Incentive Compensation: Interagency Guidance on Sound Incentive Compensation Policies](/news-issuances/bulletins/2010/bulletin-2010-37/)
06/17/2009OCC 2009-19[Revision to FDIC Rule 12 CFR 360: New Notice Requirements for Sweep Accounts](/news-issuances/bulletins/2009/bulletin-2009-19/)
03/27/2008OCC 2008-10[Fiduciary Activities of National Banks: Annual Reviews of Fiduciary Accounts Pursuant to 12 CFR 9.6(c)](/news-issuances/bulletins/2008/bulletin-2008-10/)
03/06/2008OCC 2008-5[Conflicts of Interest: Risk Management Guidance-Divestiture of Certain Asset Management Businesses](/news-issuances/bulletins/2008/bulletin-2008-5/)
10/29/2007OCC 2007-42Bank Securities Activities: SEC’s and Federal Reserve’s Final Regulation R
06/26/2007OCC 2007-21[Supervision of National Trust Banks: Revised Guidance: Capital and Liquidity](/news-issuances/bulletins/2007/bulletin-2007-21/)
02/05/2007OCC 2007-7[Soft Dollar Guidance: Use of Commission Payments by Fiduciaries](/news-issuances/bulletins/2007/bulletin-2007-7/)
01/25/2007OCC 2007-6[Registered Transfer Agents: Transfer Agent Registration, Annual Reporting, and Withdrawal from Registration](/static/rescinded-bulletins/bulletin-2007-6.pdf/)
09/01/2006OCC 2006-39[Automated Clearing House Activities: Risk Management Guidance](/news-issuances/bulletins/2006/bulletin-2006-39/)
08/15/2006OCC 2006-35[Authentication in an Internet Banking Environment](/static/rescinded-bulletins/bulletin-2005-35.pdf/): Frequently Asked Questions
06/01/2006OCC 2006-24[Interagency Agreement on ERISA Referrals: Information Sharing Between the FFIEC Agencies and the DOL](/news-issuances/bulletins/2006/bulletin-2006-24/)
12/14/2005OCC 2005-44[Small Entity Compliance Guide: Information Security](/news-issuances/bulletins/2005/bulletin-2005-44/)
10/12/2005OCC 2005-35Authentication in an Internet Banking Environment
05/10/2004OCC 2004-20Risk Management of New, Expanded, or Modified Bank Products and Services: Risk Management Process
01/05/2004OCC 2004-2Banks/Thrifts Providing Financial Support to Funds Advised by the Banking Organization or its Affiliates
04/23/2004OCC 2003-15[Weblinking: Identifying Risks and Risk Management Techniques](/news-issuances/bulletins/2003/bulletin-2003-15/)
10/16/2002OCC 2002-39[Investment Portfolio Credit Risks: Safekeeping Arrangements](/news-issuances/bulletins/2002/bulletin-2002-39/)
05/15/2002OCC 2002-16Bank Use of Foreign-Based Third-Party Service Providers
07/18/2002OCC 2001-35Examination Procedures to Evaluate Compliance with the Guidelines to Safeguard Customer Information
02/28/2001OCC 2001-12[Bank-Provided Account Aggregation Services: Guidance to Banks](/news-issuances/bulletins/2001/bulletin-2001-12/)
02/15/2001OCC 2001-8[Guidelines Establishing Standards for Safeguarding Customer Information](/static/rescinded-bulletins/bulletin-2001-8.pdf/)
10/16/2002OCC 1998-32[Civil Money Penalties: Interagency Statement](/news-issuances/bulletins/2002/bulletin-2002-39/)
05/15/1997OCC 1997-22[Fiduciary Activities of National Banks, Questions and Answers 12 CFR 9](/news-issuances/bulletins/1997/bulletin-1997-22/)
04/30/1996OCC 1996-25Fiduciary Risk Management of Derivatives & Mortgage-backed Securities
09/22/1995OCC 1995-52[Retail Sales of Nondeposit Investment Products: Clarification of Interagency Guidelines](/news-issuances/bulletins/1995/bulletin-1995-52/)
04/14/1995OCC 1995-20[Tying Restrictions: Guidance on Tying](/news-issuances/bulletins/1995/bulletin-1995-20/)
02/24/1994OCC 1994-13[Nondeposit Investment Sales Examination Procedures: Interagency Statement](/news-issuances/bulletins/1994/bulletin-1994-13/)

Banking Circulars

DateIDTitle
10/27/1993BC-277[Risk Management of Financial Derivatives](/static/news-issuances/bulletins/pre-1994/banking-circulars/bc-1993-277.pdf/)
09/03/1993BC-275[Free Riding in Custody Accounts](/static/news-issuances/bulletins/pre-1994/banking-circulars/bc-1993-275.pdf/)
05/10/1989BC-235[International Payment Systems Risk](/static/news-issuances/bulletins/pre-1994/banking-circulars/bc-1989-235.pdf/)
05/07/1985BC-196FFIEC Supervisory Policy—Securities Lending

Interpretive Letters

DateIDTitle
07/22/2020IL 1170[Authority of a National Bank to Provide Cryptocurrency Custody Services for Customers](/topics/charters-and-licensing/interpretations-and-actions/2020/int1170.pdf/)
09/25/2015IL 1154[Request to Operate a Special Exemption Fund Pursuant to Section 9.18(c)(5)](/topics/charters-and-licensing/interpretations-and-actions/2015/int1154.pdf/)
03/08/2010IL 1126[Purchase of Auction Rate Securities](/topics/charters-and-licensing/interpretations-and-actions/2010/int1126.pdf/)
09/19/2009IL 1121[Real Estate Fund Withdrawal Requirements](/topics/charters-and-licensing/interpretations-and-actions/2009/int1121.pdf/)
02/20/2009IL 1120[Model-Driven Fund Fees and Conflicts](/topics/charters-and-licensing/interpretations-and-actions/2009/int1120.pdf/)
08/01/2009IL 1119Index & Model-drive CIF - Benchmarks
04/03/2009IL 1115Purchase of Auction Rate Securities
09/09/2008IL 1111[Waiver from 12 CFR 12 Confirmation Requirement](/topics/charters-and-licensing/interpretations-and-actions/2009/int1111.pdf/)
10/10/2008IL 1106[Fiduciary Activities in the states of Georgia, South Carolina and Florida](/topics/charters-and-licensing/interpretations-and-actions/2008/int1106.pdf/)
09/18/2008IL 1103[Fiduciary Activities in the state of North Carolina](/topics/charters-and-licensing/interpretations-and-actions/2008/int1103.pdf/)
04/04/2007IL 1080[Fiduciary Powers in state of Missouri](/topics/charters-and-licensing/interpretations-and-actions/2007/int1080.pdf/)
04/19/2007IL 1078[Custody Trust Ledger Deposit Account Program](/topics/charters-and-licensing/interpretations-and-actions/2007/int1078.pdf/)
11/08/2005IL 1066[Risk based capital treatment for certain securities lending transactions](/topics/charters-and-licensing/interpretations-and-actions/2006/int1066.pdf/)
04/24/2006IL 1062[Reporting of Personal Transactions in Securities](/topics/charters-and-licensing/interpretations-and-actions/2006/int1062.pdf/)
12/20/2005IL 1047[Authority of a National Bank Trust Company to Sponsor a Closed-end Fund and Investment in Fund Shares under 12 CFR 1.3(h)(2)](/topics/charters-and-licensing/interpretations-and-actions/2006/int1047.pdf/)
08/09/2005IL 1037[Authority to Hedge Investment Advisory Fees](/topics/charters-and-licensing/interpretations-and-actions/2005/int1037.pdf/)
06/01/2005IL 1031[Creation of a trust to hold investments](/topics/charters-and-licensing/interpretations-and-actions/2005/int1031.pdf/)
05/23/2005IL 1029[Waiver of certain Provisions of 12 CFR 12](/topics/charters-and-licensing/interpretations-and-actions/2005/int1029.pdf/)
04/27/2005IL 1026[Securities Conduit Lending Services](/topics/charters-and-licensing/interpretations-and-actions/2005/int1026.pdf/)
01/28/2005IL 1017[Interest on Lawyers Trust Account](/topics/charters-and-licensing/interpretations-and-actions/2005/int1017.pdf/)
01/14/2005IL 1016[Preemption of State Laws](/topics/charters-and-licensing/interpretations-and-actions/2005/int1016.pdf/)
10/04/2004IL 1011[Waiver of Beneficial Owner Reporting under 12 CFR 12](/topics/charters-and-licensing/interpretations-and-actions/2004/int1011.pdf/)
06/22/2004IL 995[Multi-state Fiduciary Activities](/topics/charters-and-licensing/interpretations-and-actions/2004/int995.pdf/)
08/12/2003IL 973[Federal trust powers of a national bank](/topics/charters-and-licensing/interpretations-and-actions/2003/int973.pdf/)
06/16/2003IL 971[OCC supervision of operating subsidiaries](/topics/charters-and-licensing/interpretations-and-actions/2003/int971.pdf/)
04/28/2003IL 969[Collective Fund Limited to Funds Awaiting Investment or Distribution](/topics/charters-and-licensing/interpretations-and-actions/2003/int969.pdf/)
06/06/2003IL 967Insurance Subsidiaries & Risk Management Services
05/22/2002IL 936[Limitations on Collective Fund Withdrawals](/topics/charters-and-licensing/interpretations-and-actions/2002/int936.pdf/)
12/02/2001IL 920[Frequency of Collective Fund Admissions and Withdrawals](/topics/charters-and-licensing/interpretations-and-actions/2001/int920.pdf/)
11/09/2001IL 919[Allocation of Costs by Model-Driven Funds to Participants Admitted to or Withdrawing From Collective Funds](/topics/charters-and-licensing/interpretations-and-actions/2001/int919.pdf/)
01/13/2000IL 884[Investing Employee Benefit Plan Accounts Held by a National Bank as Directed Agent or Nondiscretionary Custodian in a Collective Fund](/topics/charters-and-licensing/interpretations-and-actions/2000/int884.pdf/)
05/26/1999IL 865[Pooling of Securities Lending Collateral Held Pursuant to Securities Lending Agreements Qualifies for Common Trust Fund Treatment](/topics/charters-and-licensing/interpretations-and-actions/1999/int865.pdf/)
01/27/1999IL 850[Proposed Investment Advisory Program](/topics/charters-and-licensing/interpretations-and-actions/1999/int850.pdf/)
09/21/1998IL 841Common Trust Funds – Method of Distribution
04/09/1996IL 829[Different Fund Management Fees to Collective Fund Participants](/topics/charters-and-licensing/interpretations-and-actions/1998/int829.pdf/)
03/12/1996IL 722[Investment of Collective Fund Assets in Mutual Funds and Receipt of Fees](/topics/charters-and-licensing/interpretations-and-actions/1996/int722.pdf/)
12/21/1995IL 716[Valuation Requirements for GICs and SICs held in Collective Funds](/topics/charters-and-licensing/interpretations-and-actions/1996/int716.pdf/)

Other References