Comptroller's Licensing Manual

Forms and Documents

Document	Type	Status	Availability
Reduction in Permanent Capital	Form	Unchanged	Available
Comptroller's Licensing Manual	Form and Instruction	Unchanged	Available
1557-0014 Supporting Statement DIMIA Final Rule.docx	Supporting Statement A	Uploaded 2019-10-01	Available

IC Document Collections

IC ID	Collection	Type	Status	Form
226304	Reduction in Permanent Capital	Form	Unchanged
19996	Comptroller's Licensing Manual	Form and Instruction	Unchanged

ICR Details

OMB Control No: 1557-0014	ICR Reference No: 201910-1557-001
Status: Historical Active	Previous ICR Reference No: 201811-1557-008
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: 12/31/2019
	Date Received in OIRA: 10/10/2019
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	12/31/2022	36 Months From Approved	02/28/2021
Responses	3,715	0	3,717
Time Burden (Hours)	12,539	0	12,534
Cost Burden (Dollars)	0	0	0

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Abstract: The Comptroller's Licensing Manual (Manual) explains the OCC's policies and procedures for the formation of a new national bank or Federal savings association, entry into the banking system by other institutions, and corporate expansion and structural changes by existing national banks and Federal savings associations. This ICR contains updates to a number of forms included in the Manual. The OCC, the Board of Governors of the Federal Reserve System, and the Federal Deposit Insurance Corporation (Agencies) issued a final rule that increases the major assets prohibition thresholds for management interlocks in the Agencies’ rules implementing the Depository Institution Management Interlocks Act. The agencies have raised the major assets prohibition thresholds to $10 billion to account for changes in the United States banking market since the thresholds were established. With the increase in the major assets threshold, the Agencies anticipate fewer filings under their rules. The Agencies are also taking this opportunity to align the burden across the agencies.

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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-AE22	Final or interim final rulemaking	84 FR 54465	10/10/2019

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Federal Register Notices & Comments

Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 2

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, 1639, 1584, 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, 1680, 1681, 1682, 1683, 1561, 1622, 1583, 1582, 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, N/A, N/A, N/A, N/A, N/A, 1623, 1623, 138, 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, N/A, N/A, N/A, N/A, N/A, N/A, N/A	Application for Increase ,   130-131-132 - Management Interlocks Application ,   Application to Issue Subordinated Debt ,   Application to Prepay Subordinated Debt ,   Notice of Debt Issuance ,   138 - Voluntary Liquidation Final Report ,   139 - Notice of Intent of Conversion Out ,   Public Notice of Voluntary Liquidation ,   141 - Voluntary Liquidation - Board of Directors' and Shareholders' Resolution ,   142 - Voluntary Liquidation - Report of Condition at Commencement of Liquidation ,   143 - Voluntary Liquidation - Annual Report ,   144 - Final Notice - Expedited Liquidation ,   145 - Notice of Intent - Expedited Liquidation ,   146 - Final Notice of Conversion Out ,   147 - Final Notice of Merger or Consolidation Out and Notice of Intent - Merger or Consolidation ,   148 - Notice upon Commencement of Voluntary Liquidation ,   149 - Notice of Intent - Voluntary Liquidation ,   Application to Establish an Initial-Additional Federal Branch or Agency ,   Financial Data ,   Request for After-the-Fact Approval ,   Request for After-the-Fact Notice Acquisitions ,   After-the-Fact Notice Acquisitions ,   Application to Acquire a Federal Branch or Agency ,   Subsidiary Redesignation Notice Federal Savings Association ,   Other Equity Investments—National Banks Pass-Through Investments—Federal Savings Associations Application ,   Equity Investment in Statutory Subsidiary—National Banks After-the-Fact Notice ,   Merger of a National Bank With a Nonbank Affiliate Resulting in a Nonbank Affiliate Application ,   Agency Office Additional Services Application ,   After the Fact Notice: FSA Branch/Relocation ,   Individual Oath of FSA Director ,   Reduction of Permanent Capital and Capital Distribution Notice - FSA ,   Reduction of Permanent Capital or Dividends Payable in Property Application ,   Interagency Change in Director and Senior Executive Officer ,   Change in Assets Application ,   Background Investigations ,   Consent Form for DEA Background Investigations ,   Interagency Biographical and Financial Report ,   Corporate Background & Financial Report ,   Appointment of Agent ,   Application for a Change of Status of an Office of a Foreign Bank ,   Federal Branch & Agency Relocation Application ,   Notice of Effective Date for Relocation ,   Senior Management Resolution on Surrender of Fiduciary ,   Notice Letter - Standard Voluntary Liquidation ,   Resolution to Voluntary Liquidate ,   Voluntary Liquidation - Sample Public Notice ,   IRS Tax Check Waiver ,   Investments in Subsidiaries & Equities ,   After-the-Fact Notice-Subsidiary ,   Charter Application ,   First Meeting of Organizers ,   Articles of Association ,   Organization Certificate ,   Contact Person ,   Waiver of Notice of Organizing Board's First Meeting ,   Organizing Board's First Meeting ,   Individual Oath of Bank Director ,   Joint Oath of Bank Directors ,   Bylaws ,   Subscription ,   Capital Stock Payment Certificate ,   Corporate Resolution ,   Proxy Card ,   Notice of First Shareholder's Meeting ,   Minutes of the First Shareholder's 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 ,   After-the-Fact Notice-Equity Investment ,   Opening Date for Relocation of Main Office to Branch Site within the Same Town, City or Village ,   41 - Conversion Application ,   Authority for Conversion to National Bank ,   Letter Certifying Conversion Completion to National Bank ,   Letter Certifying Conversion Completion of Conversion to FSA ,   Oaths of Bank Directors ,   Organization Certificate ,   Bylaws ,   Branch and Relocation Application ,   Main Office Relocation to Existing Branch Site within the Same City ,   Opening Date of Branch Office ,   Business Combination Application - Checklist and Community Reinvestment Commitments ,   Business Combination Application - Streamlined ,   Interagency Bank Merger Act Application ,   Branches Requiring Authorization ,   Bank Merger Screen ,   Merger with Nonbank Subsidiary or Affliliate ,   Application - Interim National Bank Charter ,   Application - Reorganization - Subsidiary of a BHC ,   Stock Payment Certificate and Oaths of Directors and Officers ,   Shareholders' Waiver of Notice of Shareholders' Meeting and Written Consent of Business Combination ,   Board of Directors' Waiver of Notice of Board Meeting and Written Consent of Business Combination ,   Emergency Processing Request ,   Notice of Consummation ,   Notice of Shareholders' Meeting to Vote on Combination ,   Secretary's Certificate of Board of Directors' Approval of Combination ,   Secretary's Certificate of Shareholders' Approval of Combination ,   Application ,   After-the-Fact Notice ,   Surrender of Fiduciary Powers ,   Commencement of Fiduciary Activities Notice ,   Annual Report on Operating Subsidiaries ,   Operating Subsidiary Application ,   Bank Service Company Application ,   Financial Subsidiary Notice ,   Financial Subsidiary Certification ,   Financial Subsidiary Notice & Certification ,   Advance Branch Closing & Downgrade Notice ,   Final Branch Closing Notice ,   Sample Customer Notice of Branch Closing ,   Application - Increase in Capital for Other than Cash ,   Application - Reduction of Permanent Capital ,   Application - Quasi-Reorganization ,   Application - Reverse Stock Split ,   Notice - Increase in Stock for Cash ,   Affidavit ,   Interagency Notice of Change in Control ,   Notification of Change of Corporate Title ,   Change of Address ,   124 - Citizenship Waiver Request ,   Liquidation - Interim Progress Report ,   Liquidation - Final Report ,   Capital Equivalency Deposit Agreement ,   Notice of a Change in Activities or Operations ,   Notice for a Change in Control ,   Senior Management Resolution or Conversion of a Federal Branch or Agency to a State-Licensed Operation of a Foreign Bank ,   Non-Controlling Equity Investment Application ,   Interagency Charter and Federal Deposit Insurance Application ,   Interagency Biographical and Financial Report ,   Mutual to Stock Conversion Application ,   Interagency Bank Merger Act Application ,   Notice of Filing Pursuant to 12 CFR Section 563.22(c) for Institutions that Qualify for Expedited Treatment ,   Notice for Issuance of Subordinated Debt or Mandatorily Redeemable Preferred Stock ,   125 - Residency Waiver Request ,   Investment in Bank Premises ,   After the Fact Notice ,   Interagency Notice of Change in Control ,   Application for Conversion of a Depository Institution to a Federal Stock or Mutual Savings Association ,   Notice or Application for Capital Distribution ,   Charter - Federal Stock Association ,   Interagency Biographical and Financial Report ,   Bylaws - Mutual Savings Associations ,   Charter - Federal Mutual Association ,   Bylaws - Federal Stock Association ,   Charter and Bylaw Amendments ,   Voluntary Liquidation - Liquidation Plan ,   After-the-Fact Notice—Satisfaction of DPC Other Equity Investments—National Banks Pass-Through Investments—Federal Savings Associations ,   12 USC 1828(m) Investment Application Federal Savings Associations
Reduction in Permanent Capital	N/A	Reduction of Permanent Capital and Capital Distribution Notice

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ICR Summary 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	3,715	3,717	0	0	-2	0
Annual Time Burden (Hours)	12,539	12,534	0	-5	10	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: Changing Regulations

Short Statement: The burden decreased due to the reduction in the number of filings and increased due to the alignment of the burden across the Agencies, resulting in an overall burden increase.

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Annual Cost to Federal Government: $0

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

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     No

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

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: 10/10/2019

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