Comptroller's Licensing Manual

Forms and Documents

Document Name	Status
Reduction in Permanent Capital Form	Unchanged
Comptroller's Licensing Manual Form	Unchanged
Justification for No Material Change.docx Justification for No Material/Nonsubstantive Change	2021-02-09
1557-0014 Supporting Statement Part 5 Final Rule 9-16-20.docx Supporting Statement A	2020-12-08

IC Document Collections

IC ID	Document Title	Status
245709	Disclosure of OCC Authority to Limit Distributions	New
245708	Prior Approval: Prepayment in the Form of a Call Option	New
226304	Reduction in Permanent Capital Form	Unchanged
19996	Comptroller's Licensing Manual Form	Unchanged

ICR Details

OMB Control No: 1557-0014	ICR Reference No: 202102-1557-001
Status: Received in OIRA	Previous ICR Reference No: 202012-1557-001
Agency/Subagency: TREAS/OCC	Agency Tracking No:
Title: Comptroller's Licensing Manual
Type of Information Collection: No material or nonsubstantive change to a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular	Date Submitted to OIRA: 02/09/2021

	Requested	Previously Approved
Expiration Date	01/31/2024	01/31/2024
Responses	3,926	3,700
Time Burden (Hours)	12,741	12,481
Cost Burden (Dollars)	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. This non-material change merges OMB Control No. 1557-0320 into this collection.

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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:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	85 FR 18728	04/20/2020
30-day Notice:	Federal Register Citation:	Citation Date:
	85 FR 80404	12/11/2020
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 4

IC Title	Form No.	Form Name
Comptroller's Licensing Manual	N/A, 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, 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, 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, Form AC, 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, 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	141 - Voluntary Liquidation - Board of Directors' and Shareholders' Resolution ,   Application for Conversion of a Depository Institution to a Federal Stock or Mutual Savings Association ,   Advance Branch Closing & Downgrade Notice ,   Application - Reverse Stock Split ,   Notice of Debt Issuance ,   Senior Management Resolution on Surrender of Fiduciary ,   Notice Letter - Standard Voluntary Liquidation ,   Resolution to Voluntary Liquidate ,   Voluntary Liquidation - Sample Public Notice ,   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 ,   Bylaws ,   Subscription ,   Opening Date for Relocation of Main Office to Branch Site within the Same Town, City or Village ,   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 ,   Opening Date of Branch Office ,   After-the-Fact Notice-Equity Investment ,   Annual Report on Operating Subsidiaries ,   Operating Subsidiary Application ,   Organization Completed ,   Capital Stock Payment Certificate ,   Branch and Relocation Application ,   Investments in Subsidiaries & Equities ,   Financial Subsidiary Notice & Certification ,   138 - Voluntary Liquidation Final Report ,   Public Notice of Voluntary Liquidation ,   Notification of Change of Corporate Title ,   Change of Address ,   124 - Citizenship Waiver Request ,   125 - Residency Waiver Request ,   Senior Management Resolution or Conversion of a Federal Branch or Agency to a State-Licensed Operation of a Foreign Bank ,   Final Branch Closing Notice ,   Sample Customer Notice of Branch Closing ,   Application - Increase in Capital for Other than Cash ,   Subsidiary Redesignation Notice Federal Savings Association ,   Equity Investment in Statutory Subsidiary—National Banks After-the-Fact Notice ,   Charter - Federal Stock Association ,   Bylaws - Federal Stock Association ,   Charter and Bylaw Amendments ,   After-the-Fact Notice—Satisfaction of DPC Other Equity Investments—National Banks Pass-Through Investments—Federal Savings Associations ,   Application - Reduction of Permanent Capital ,   Application - Quasi-Reorganization ,   Notice - Increase in Stock for Cash ,   Minutes of Subsequent Organizing Board Meetings ,   Voluntary Liquidation - Liquidation Plan ,   Merger of a National Bank With a Nonbank Affiliate Resulting in a Nonbank Affiliate Application ,   Bylaws - Mutual Savings Associations ,   Charter - Federal Mutual Association ,   Business Combination Application - Streamlined ,   Investment in Bank Premises ,   After the Fact Notice ,   Application for Increase ,   130-131-132 - Management Interlocks Application ,   Application to Issue Subordinated Debt ,   Application to Prepay Subordinated Debt ,   139 - Notice of Intent of Conversion Out ,   Articles of Association ,   Contact Person ,   Individual Oath of FSA Director ,   First Meeting of Organizers ,   Organizing Board's First Meeting ,   Joint Oath of Bank Directors ,   Interagency Bank Merger Act Application ,   Notice of Filing Pursuant to 12 CFR Section 563.22(c) for Institutions that Qualify for Expedited Treatment ,   Application - Reorganization - Subsidiary of a BHC ,   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 ,   Notice of Consummation ,   Application ,   Surrender of Fiduciary Powers ,   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 ,   Commencement of Fiduciary Activities Notice ,   Bank Service Company Application ,   Federal Branch and Agency Relocation Application - Redlined ,   Application to Establish and Initial or Additional Federal Branch or Agency ,   Financial Subsidiary Certification ,   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 ,   12 USC 1828(m) Investment Application Federal Savings Associations ,   Other Equity Investments—National Banks Pass-Through Investments—Federal Savings Associations Application ,   Application for a Change of Status of an Office of a Foreign Bank ,   Non-Controlling Equity Investment Application ,   Change in Assets Application ,   After-the-Fact Notice-Subsidiary ,   Interagency Biographical and Financial Report ,   Interagency Biographical and Financial Report ,   Application for Conversion from Mutual to Stock Form ,   Federal Branch and Agency Relocation Application ,   Branch and Relocation Application - Redlined ,   Branch and Relocation Application ,   Application to Establish an Initial or Additional Federal Branch or Agency - Redlined ,   Agency Office Additional Services Application ,   After the Fact Notice: FSA Branch/Relocation ,   First Meeting of Directors ,   Preopening Checklist for Organizers ,   41 - Conversion Application ,   Letter Certifying Conversion Completion to National Bank ,   Organization Certificate ,   Background Investigations ,   Corporate Background & Financial Report ,   Appointment of Agent ,   Charter Application ,   Mutual to Stock Conversion Application ,   Notice for Issuance of Subordinated Debt or Mandatorily Redeemable Preferred Stock ,   Interagency Notice of Change in Control ,   Notice or Application for Capital Distribution ,   Interagency Charter and Federal Deposit Insurance Application ,   Main Office Relocation to Existing Branch Site within the Same City ,   Authority for Conversion to National Bank ,   Consent Form for DEA Background Investigations ,   IRS Tax Check Waiver ,   Financial Subsidiary Notice ,   Bylaws ,   Business Combination Application - Checklist and Community Reinvestment Commitments ,   Interagency Bank Merger Act Application ,   Merger with Nonbank Subsidiary or Affliliate ,   Branches Requiring Authorization ,   Stock Payment Certificate and Oaths of Directors and Officers ,   Proxy Card ,   Bank Merger Screen ,   Letter Certifying Conversion Completion of Conversion to FSA ,   Oaths of Bank Directors ,   Application - Interim National Bank Charter ,   Emergency Processing Request ,   Secretary's Certificate of Board of Directors' Approval of Combination ,   Interagency Biographical and Financial Report ,   Notice of Shareholders' Meeting to Vote on Combination ,   Secretary's Certificate of Shareholders' Approval of Combination ,   After-the-Fact Notice ,   Waiver of Notice of Organizing Board's First Meeting ,   Organization Certificate ,   Corporate Resolution ,   Waiver of Notice of the First Board Meeting ,   Individual Oath of Bank Director ,   Notice of First Shareholder's Meeting ,   Minutes of the First Shareholder's Meeting ,   Federal Branch & Agency Relocation Application ,   Notice of Effective Date for Relocation ,   Affidavit ,   Interagency Notice of Change in Control
Reduction in Permanent Capital	N/A	Reduction of Permanent Capital and Capital Distribution Notice
Prior Approval: Prepayment in the Form of a Call Option
Disclosure of OCC Authority to Limit Distributions

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ICR Summary of Burden

	Total Request	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	3,926	3,700	0	226	0	0
Annual Time Burden (Hours)	12,741	12,481	0	260	0	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

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

Burden Increase Due to: Miscellaneous Actions

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

Burden Reduction Due to:

Short Statement: The increase in burden is due to merging OMB Control No. 1557-0320 into this collection.

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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? No

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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: 02/09/2021

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