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Licensing Filings

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 28, 2023). 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.

National Bank Forms

Title Forms
Articles of Association Word
Articles of Association - Instructions PDF
Bylaws Word

FSA Forms

Title Forms
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

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
IRS Tax Check Authorization Fillable PDF

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

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
Opening Date for Relocation of Main Office to Branch Site within the Same City, Town, or Village Word

FSA Forms

Title Forms
Agency Office Additional Services Application Fillable PDF
Branch and Relocation After the Fact Notice Fillable PDF

Combined Forms (Applicable to Both)

Title Forms
Business Combination Application - Checklist and Community Reinvestment Commitments Word
Business Combination Application-Streamlined Fillable PDF
Interagency Bank Merger Act Application PDF
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

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 Notice Fillable PDF

Combined Forms (Applicable to Both)

Title Forms
Affidavit Word
Interagency Notice of Change in Control PDF
Publication Notice Word

Combined Forms (Applicable to Both)

Title Forms
Interagency Notice of Change in Director or Senior Executive Officer Fillable PDF

Combined Forms (Applicable to Both)

Title Forms
Change of Address Fillable PDF
Change of Corporate Title Fillable PDF

Combined Forms (Applicable to Both)

Title Forms
Business Plan PDF
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 PDF
Bylaws Word
Contact Person Word
Financial Projections PDF
Individual Oath of Bank Director Word
Joint Oath of Bank Directors Word
Minority-Owned National Banks Policy Statement PDF
Oaths of Bank Directors - Instructions PDF
Organization Certificate Word
Waiver of Notice of the First Board Meeting Word

FSA Forms

Title Forms
Application for Conversion PDF
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

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
Instructions - Organization Certificate Word
Joint Oath of Bank Directors Word
Oaths of Bank Directors Instructions PDF
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

Initial and Additional Establishments

Title Forms
Application to Establish an Initial/Additional Federal Branch or Agency w/ Instructions PDF
Initial and Additional Establishments - Sample Public Notice Word
Financial Data Word
Cover Letter for Initial/Additional Establishment Application PDF

Acquisitions

Title Forms
Request for After-the-Fact Approval PDF
Application to Acquire a Federal Branch or Agency PDF
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 PDF
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 PDF
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 PDF
Notice of Commencement of Fiduciary Activities Word
Senior Management Resolution on Surrender of Fiduciary Powers PDF

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
Capital Equivalency Deposit Agreement Word
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

Combined Forms (Applicable to Both)

Title Forms
Commencement of Fiduciary Activities Notice Fillable PDF
Fiduciary Operating Plan-Instructions PDF
Fiduciary Powers After the Fact Notice Fillable PDF
Fiduciary Powers Application Fillable PDF
Surrender of Fiduciary Powers Notice Fillable PDF

National Bank Forms

Title Forms
Significant Deviation Policy PDF

Combined Forms (Applicable to Both)

Title Forms
Management Interlocks Application Word

Form AC (Applicable to FSAs Only)

Title Forms
Application for Conversion Word

National Bank Forms

Title Forms
Citizenship Waiver Request Fillable PDF
Residency Waiver Request Fillable PDF

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

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
Annual Report on Operating Subsidiaries Fillable PDF
Equity Investment in Statutory Subsidiary After the Fact Notice Fillable PDF
Financial Subsidiary Certification Fillable PDF
Financial Subsidiary Certification and Notice Fillable PDF
Financial Subsidiary Notice 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

Combined Forms (Applicable to Both)

Title Forms
Substantial Asset Change Application Fillable PDF

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