Comptroller's Licensing Manual

Forms and Documents

Document	Type	Status	Availability
Reduction in Permanent Capital	Form	Unchanged	Repair queued
1557-0014 Supporting Statement LICManualBusinessComb Under the BMA Final Rule (Final).docx	Supporting Statement A	Uploaded 2024-12-05	Repair queued

IC Document Collections

IC ID	Collection	Type	Status	Form
245709	Disclosure of OCC Authority to Limit Distributions		Unchanged
245708	Prior Approval: Prepayment in the Form of a Call Option		Unchanged
226304	Reduction in Permanent Capital	Form	Unchanged
19996	Comptroller's Licensing Manual	Other-Booklet	Modified

ICR Details

OMB Control No: 1557-0014	ICR Reference No: 202412-1557-001
Status: Received in OIRA	Previous ICR Reference No: 202405-1557-003
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	Date Submitted to OIRA: 12/05/2024

	Requested	Previously Approved
Expiration Date	36 Months From Approved	02/28/2026
Responses	3,926	3,926
Time Burden (Hours)	12,741	12,741
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 is being filed in connection with a final rule that increases the transparency of the standards that apply to the agency’s review of business combinations involving national banks and Federal savings associations.

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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-AF24	Final or interim final rulemaking	89 FR 78207	09/25/2024

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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: 4

IC Title	Form No.	Form Name
Comptroller's Licensing Manual	N/A, 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, 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, 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	Consent Form for DEA Background Investigations ,   Interagency Biographical and Financial Report ,   Corporate Background & Financial Report ,   Appointment of Agent ,   IRS Tax Check Waiver ,   First Meeting of Organizers ,   Articles of Association ,   Contact Person ,   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 ,   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 ,   Main Office Relocation to Existing Branch Site within the Same City ,   Opening Date of Branch Office ,   Opening Date for Relocation of Main Office to Branch Site within the Same Town, City or Village ,   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 ,   After-the-Fact Notice-Subsidiary ,   After-the-Fact Notice-Equity Investment ,   Annual Report on Operating Subsidiaries ,   Operating Subsidiary Application ,   Bank Service Company Application ,   Financial Subsidiary Certification and Application ,   Financial Subsidiary Certification ,   Financial Subsidiary National Bank Application ,   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 ,   Increase in Permanent Capital Notice ,   Interagency Notice of Change in Control ,   Notification of Change of Corporate Title ,   Change of Address ,   After the Fact Notice ,   Management Interlocks Application ,   Application to Issue Subordinated Debt ,   Prepayment of or Material Changes to Existing Subordinated Debt Application ,   Notice of Debt Issuance ,   Notice of Standard Voluntary Liquidation ,   Voluntary Liquidation - Board of Directors' and Shareholders' Resolution ,   Voluntary Liquidation - Report of Condition at Commencement of Liquidation ,   Annual Report - Progress of Liquidation ,   Final Notice - Expedited Liquidation ,   Notice of Intent - Expedited Liquidation ,   Final Notice of Conversion Out ,   Final Notice of Merger or Consolidation Out and Notice of Intent - Merger or Consolidation ,   Notice upon Commencement of Voluntary Liquidation ,   Notice of Intent - Voluntary Liquidation ,   Application to Establish an Initial-Additional Federal Branch or Agency ,   Financial Data ,   Request for After-the-Fact Approval ,   Application to Acquire a Federal Branch or Agency ,   Notice of Effective Date for Relocation ,   Senior Management Resolution on Surrender of Fiduciary Powers ,   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 Change in Activities or Operations ,   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 ,   Charter - Federal Stock Association ,   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 ,   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 ,   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 ,   Form AC - Application for Conversion from Mutual to Stock Form ,   Application for Issuance of Subordinated Debt and Inclusion in Tier 2 Capital ,   FSA Service Corporation Application ,   Application for Charter or Bylaw Amendment ,   Issuance of, or Prepayment of, or Material Changes to Subordinated Debt After-the-Fact Notice ,   Federal Branch and Agency Relocation Application
Disclosure of OCC Authority to Limit Distributions
Prior Approval: Prepayment in the Form of a Call Option
Reduction in Permanent Capital	N/A	Reduction of Permanent Capital and Capital Distribution Notice

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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	3,926	0	0	0	0
Annual Time Burden (Hours)	12,741	12,741	0	0	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: No

Burden Reduction Due to:

Short Statement:

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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: 12/05/2024

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