Comptroller's Licensing Manual

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Interagency Bank Merger Act Application	Form and Instruction	Modified	Available
After-the-Fact Notice - Equity Investment	Form	Modified	Available
Operating Subsidiary Application	Form	Modified	Available
Financial Subsidiary Combined Certification and Notice	Form	Modified	Available
Financial Subsidiary Notice	Form	Modified	Available
Financial Subsidiary Certification (Subsequent Notice)	Form	Modified	Available
Bank Service Company Application	Form	Modified	Available
After-the-Fact Notice - Subsidiary or Service Company	Form	Modified	Available
IRS Tax Check Waiver	Form	Modified	Available
Notice of Change in Chief Executive Officer or Director	Form	Modified	Available
Termination of National Bank Status	Form	Modified	Available
Subordinated Debt	Form	Modified	Available
Management Interlocks	Form	Modified	Available
Investment in Subsidiaries and Equities	Form	Modified	Available
Investment in Bank Premises	Form	Modified	Available
Fiduciary Powers	Form	Modified	Available
Federal Branches and Agencies	Form	Modified	Available
Failure Acquisitions	Form	Modified	Available
Director Waivers	Form	Modified	Available
Conversions	Form	Modified	Available
Comments to Other Agencies	Form	Modified	Available
Charters	Form	Modified	Available
Changes in Corporate Title and Address	Form	Modified	Available
Changes in Directors and Senior Executive Officers	Form	Modified	Available
Change in Bank Control	Form	Modified	Available
Capital and Dividends	Form	Modified	Available
Business Combinations	Form	Modified	Available
Branches and Relocations	Form	Modified	Available
Branch Closings	Form	Modified	Available
Interagency Biographical and Financial Report	Form	Modified	Available
Background Investigations	Form	Modified	Available
Intrastate Main Office Relocation Application	Form	Modified	Available
Intrastate or Interstate Main Office Relocation Application	Form	Modified	Available
Branch Establishment	Form	Modified	Available
Sale of Capital Stock for Other Than Cash Application	Form	Modified	Available
Reverse Stock Split Application	Form	Modified	Available
Retirement of Capital Stock Acquisition of Treasury Stock	Form	Modified	Available
Reduction of Permanent Capital Application	Form and Instruction	Modified	Available
Quasi Reorganization Application	Form	Modified	Available
Preferred Stock Terms Notice	Form	Modified	Available
Official 90 Day Advance Branch Closing and Downgrade Notice	Form	Modified	Available
Notification of Change in Main Office Address	Form	Modified	Available
Notification of Change in Corporate Title	Form	Modified	Available
Material Noncash Contribution to Surplus Application	Form	Modified	Available
Final Branch Closing/Consolidation/Relocation Downgrade Notice	Form	Modified	Available
Dividend in Kind Application	Form	Modified	Available
1557-0014bma.doc	Supporting Statement B	Uploaded 2008-01-02	Available
1557-0014.doc	Supporting Statement A	Uploaded 2007-06-14	Available
List of Forms.doc	Supplementary Document	Uploaded 2007-06-13	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
19996	Comptroller's Licensing Manual	Form and Instruction	Modified	Interagency Bank Merger Act Application
19996	Comptroller's Licensing Manual	Form	Modified	After-the-Fact Notice - Equity Investment
19996	Comptroller's Licensing Manual	Form	Modified	Operating Subsidiary Application
19996	Comptroller's Licensing Manual	Form	Modified	Financial Subsidiary Combined Certification and Notice
19996	Comptroller's Licensing Manual	Form	Modified	Financial Subsidiary Notice
19996	Comptroller's Licensing Manual	Form	Modified	Financial Subsidiary Certification (Subsequent Notice)
19996	Comptroller's Licensing Manual	Form	Modified	Bank Service Company Application
19996	Comptroller's Licensing Manual	Form	Modified	After-the-Fact Notice - Subsidiary or Service Company
19996	Comptroller's Licensing Manual	Form	Modified	IRS Tax Check Waiver
19996	Comptroller's Licensing Manual	Form	Modified	Notice of Change in Chief Executive Officer or Director
19996	Comptroller's Licensing Manual	Form	Modified	Termination of National Bank Status
19996	Comptroller's Licensing Manual	Form	Modified	Subordinated Debt
19996	Comptroller's Licensing Manual	Form	Modified	Management Interlocks
19996	Comptroller's Licensing Manual	Form	Modified	Investment in Subsidiaries and Equities
19996	Comptroller's Licensing Manual	Form	Modified	Investment in Bank Premises
19996	Comptroller's Licensing Manual	Form	Modified	Fiduciary Powers
19996	Comptroller's Licensing Manual	Form	Modified	Federal Branches and Agencies
19996	Comptroller's Licensing Manual	Form	Modified	Failure Acquisitions
19996	Comptroller's Licensing Manual	Form	Modified	Director Waivers
19996	Comptroller's Licensing Manual	Form	Modified	Conversions
19996	Comptroller's Licensing Manual	Form	Modified	Comments to Other Agencies
19996	Comptroller's Licensing Manual	Form	Modified	Charters
19996	Comptroller's Licensing Manual	Form	Modified	Changes in Corporate Title and Address
19996	Comptroller's Licensing Manual	Form	Modified	Changes in Directors and Senior Executive Officers
19996	Comptroller's Licensing Manual	Form	Modified	Change in Bank Control
19996	Comptroller's Licensing Manual	Form	Modified	Capital and Dividends
19996	Comptroller's Licensing Manual	Form	Modified	Business Combinations
19996	Comptroller's Licensing Manual	Form	Modified	Branches and Relocations
19996	Comptroller's Licensing Manual	Form	Modified	Branch Closings
19996	Comptroller's Licensing Manual	Form	Modified	Interagency Biographical and Financial Report
19996	Comptroller's Licensing Manual	Form	Modified	Background Investigations
19996	Comptroller's Licensing Manual	Form	Modified	Intrastate Main Office Relocation Application
19996	Comptroller's Licensing Manual	Form	Modified	Intrastate or Interstate Main Office Relocation Application
19996	Comptroller's Licensing Manual	Form	Modified	Branch Establishment
19996	Comptroller's Licensing Manual	Form	Modified	Sale of Capital Stock for Other Than Cash Application
19996	Comptroller's Licensing Manual	Form	Modified	Reverse Stock Split Application
19996	Comptroller's Licensing Manual	Form	Modified	Retirement of Capital Stock Acquisition of Treasury Stock
19996	Comptroller's Licensing Manual	Form and Instruction	Modified	Reduction of Permanent Capital Application
19996	Comptroller's Licensing Manual	Form	Modified	Quasi Reorganization Application
19996	Comptroller's Licensing Manual	Form	Modified	Preferred Stock Terms Notice
19996	Comptroller's Licensing Manual	Form	Modified	Official 90 Day Advance Branch Closing and Downgrade Notice
19996	Comptroller's Licensing Manual	Form	Modified	Notification of Change in Main Office Address
19996	Comptroller's Licensing Manual	Form	Modified	Notification of Change in Corporate Title
19996	Comptroller's Licensing Manual	Form	Modified	Material Noncash Contribution to Surplus Application
19996	Comptroller's Licensing Manual	Form	Modified	Final Branch Closing/Consolidation/Relocation Downgrade Notice
19996	Comptroller's Licensing Manual	Form	Modified	Dividend in Kind Application
19996	Comptroller's Licensing Manual	Instruction	Modified

ICR Details

OMB Control No: 1557-0014	ICR Reference No: 200801-1557-001
Status: Historical Active	Previous ICR Reference No: 200506-1557-002
Agency/Subagency: TREAS/OCC	Agency Tracking No:
Title: Comptroller's Licensing Manual
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 02/01/2008
Retrieve Notice of Action (NOA)	Date Received in OIRA: 01/02/2008
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	02/28/2011	36 Months From Approved	01/31/2008
Responses	5,894	0	7,840
Time Burden (Hours)	18,069	0	25,547
Cost Burden (Dollars)	0	0	0

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Abstract: The Comptroller's Licensing Manual explains the OCC's policies and procedures for the formation of a new national bank, entry into the national banking system by other institutions, and corporate expansion and structural changes by existing national banks.

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Authorizing Statute(s): US Code: 12 USC 1 et. seq. Name of Law: National Bank Act
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
1557-AC79	Final or interim final rulemaking	72 FR 36550	07/02/2007

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	72 FR 44220	08/07/2007
30-day Notice:	Federal Register Citation:	Citation Date:
	73 FR 187	01/02/2008
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 1

table that charts list of burden

IC Title	Form No.	Form Name
Comptroller's Licensing Manual	N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, N/A, None	Dividend in Kind Application ,   Final Branch Closing/Consolidation/Relocation Downgrade Notice ,   Material Noncash Contribution to Surplus Application ,   Notification of Change in Corporate Title ,   Notification of Change in Main Office Address ,   Official 90 Day Advance Branch Closing and Downgrade Notice ,   Preferred Stock Terms Notice ,   Quasi Reorganization Application ,   Reduction of Permanent Capital Application ,   Retirement of Capital Stock Acquisition of Treasury Stock ,   Reverse Stock Split Application ,   Sale of Capital Stock for Other Than Cash Application ,   Branch Establishment ,   Intrastate or Interstate Main Office Relocation Application ,   Intrastate Main Office Relocation Application ,   Background Investigations ,   Interagency Biographical and Financial Report ,   Branch Closings ,   Branches and Relocations ,   Business Combinations ,   Capital and Dividends ,   Change in Bank Control ,   Changes in Directors and Senior Executive Officers ,   Changes in Corporate Title and Address ,   Charters ,   Comments to Other Agencies ,   Conversions ,   Director Waivers ,   Failure Acquisitions ,   Federal Branches and Agencies ,   Fiduciary Powers ,   Investment in Bank Premises ,   Investment in Subsidiaries and Equities ,   Management Interlocks ,   Subordinated Debt ,   Termination of National Bank Status ,   Notice of Change in Chief Executive Officer or Director ,   IRS Tax Check Waiver ,   After-the-Fact Notice - Subsidiary or Service Company ,   Bank Service Company Application ,   Financial Subsidiary Certification (Subsequent Notice) ,   Financial Subsidiary Notice ,   Financial Subsidiary Combined Certification and Notice ,   Operating Subsidiary Application ,   After-the-Fact Notice - Equity Investment ,   Interagency Bank Merger Act Application

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ICR Summary of Burden

table that charts list of burden

	Total Approved	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	5,894	7,840	0	-1,946	0	0
Annual Time Burden (Hours)	18,069	25,547	0	-7,478	0	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion: Yes

Burden Reduction Due to: Cutting Redundancy

Short Statement: The NPRM issued sets forth a number of amendments to the rules, policies, and procedures for national banks' corporate activities and corporate structure. The proposed revisions would streamline application processes and procedures and reduce regulatory burden. The changes to the Bank Merger Act Application removed outdated statutory references.

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Annual Cost to Federal Government: $0

Does this IC contain surveys, censuses, or employ statistical methods? No

Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002? No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? Uncollected

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? Uncollected

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? Uncollected

Is this ICR related to the Pandemic Response? Uncollected

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Common Form ICR:  No

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On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

(iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and

(vi) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.

Certification Date: 01/02/2008

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