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BankNet

BankNet
More resources for national banks

Sample Filing Forms

Please read the appropriate booklets before using these 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.

This collection of information has been approved by the Office of Management and Budget (OMB) under control number 1557-0014 (expires January 31, 2017). 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.


 

Application Documents

 General Policies and Procedures
Change In Assets ApplicationsWord or PDF
Significant Deviation PolicyWord or PDF
 Background Investigations
Consent Form for DEA Background InvestigationsWord or PDF
Interagency Biographical and Financial ReportWord or PDF
Corporate Background and Financial ReportWord or PDF
Appointment of AgentWord or PDF
IRS Tax Check WaiverWord or PDF
 Charters
Charter ApplicationWord or PDF
Business PlanWord or PDF
Financial ProjectionsWord or PDF
Application AmendmentsWord or PDF
Public Notice SampleWord or PDF
Minority-Owned National Banks Policy StatementPDF
First Meeting of OrganizersWord or PDF
Articles of AssociationWord or PDF
Instructions - Articles of AssociationWord or PDF
Organization CertificateWord or PDF
Contact PersonWord or PDF
Waiver of Notice of Organizing Board's First MeetingWord or PDF
Organizing Board's First MeetingWord or PDF
Individual Oath of Bank DirectorWord or PDF
Joint Oath of Bank DirectorsWord or PDF
Oaths of Bank Directors InstructionsWord or PDF
BylawsWord or PDF
SubscriptionWord or PDF
Capital Stock Payment CertificateWord or PDF
Corporate ResolutionWord or PDF
Proxy CardWord or PDF
Notice of First Shareholders' MeetingWord or PDF
Minutes of the First Shareholders' MeetingWord or PDF
Minutes of Subsequent Organizing Board MeetingsWord or PDF
Waiver of Notice of the First Board MeetingWord or PDF
First Meeting of DirectorsWord or PDF
Organization CompletedWord or PDF
Preopening Checklist for OrganizersWord or PDF
 Conversions
Conversion ApplicationWord or PDF
Authority for Conversion to National BankWord or PDF
Letter Certifying Conversion CompletionWord or PDF
Oaths of Bank DirectorsWord or PDF
Instructions - Organization CertificateWord or PDF
Organization CertificateWord or PDF
Articles of AssociationWord or PDF
BylawsWord or PDF
 Branches and Relocations
Branch and Relocation ApplicationWord or PDF
Main Office Relocation to Existing Branch Site within the Same City, Town or VillageWord or PDF
Opening Date of Branch OfficeWord or PDF
Opening Date for Relocation of Main Office to Branch Site within the Same City, Town, or VillageWord or PDF
 Business Combinations
Business Combination Application - Checklist and Community Reinvestment CommitmentsWord or PDF
Business Combination Application-StreamlinedWord or PDF
Interagency Bank Merger Act ApplicationWord or PDF
Branches Requiring AuthorizationWord or PDF
Bank Merger ScreenWord or PDF
Merger With Nonbank Subsidiary or AffiliateWord or PDF
Application: Interim National Bank CharterWord or PDF
Application: Reorganization - Subsidiary of a BHCWord or PDF
Stock Payment Certificate and Oaths of Directors and OfficersWord or PDF
Shareholders' Waiver of Notice of Shareholders' Meeting and Written Consent of Business CombinationWord or PDF
Board of Directors' Waiver of Notice of Board Meeting and Written Consent of Business CombinationWord or PDF
Emergency Processing RequestWord or PDF
Notice of ConsummationWord or PDF
Notice of Shareholders' Meeting to Vote on CombinationWord or PDF
Public Notice and InstructionsWord or PDF
Secretary's Certificate of Board of Directors' Approval of CombinationWord or PDF
Secretary's Certificate of Shareholders' Approval of CombinationWord or PDF
Sample Agreements - ConsolidationWord or PDF
Sample Agreements - MergerWord or PDF
Sample Agreement - Purchase and AssumptionWord or PDF
 Fiduciary Powers
ApplicationWord or PDF
After-the-Fact NoticeWord or PDF
Surrender of Fiduciary PowersWord or PDF
Fiduciary Operating Plan-InstructionsWord or PDF
Commencement of Fiduciary Activities NoticeWord or PDF
 Investment in Subsidiaries and Equities
After-the-Fact Notice-SubsidiaryWord or PDF
After-the-Fact Notice- Bank Service CompanyWord or PDF
After-the-Fact Notice-Equity InvestmentWord or PDF
Annual Report on Operating SubsidiariesWord or PDF
Annual Report on Operating Subsidiaries GuidelinesWord or PDF
Operating Subsidiary ApplicationWord or PDF
Bank Service Company ApplicationWord or PDF
Financial Subsidiary NoticeWord or PDF
Financial Subsidiary CertificationWord or PDF
Financial Subsidiary Notice and CertificationWord or PDF
 Branch Closings
Advance Branch Closing and Downgrade NoticeWord or PDF
Final Branch Closing, Consolidation, Relocation, or Downgrade NoticeWord or PDF
Sample Customer Notice of Branch ClosingWord or PDF
 Capital and Dividends
Application: Increase in Capital for Other Than CashWord or PDF
Application: Increase in Capital for Material Noncash ContributionWord or PDF
Application: Reduction of Permanent CapitalWord or PDF
Application: Quasi-ReorganizationWord or PDF
Application: Dividend-In-KindWord or PDF
Application: Dividend Exceeding 12 USC 60 LimitsWord or PDF
Application: Reverse Stock SplitWord or PDF
Notice: Increase in Stock for CashWord or PDF
Notice: Preferred Stock TermsWord or PDF
Notice: Increase in Stock for PropertyWord or PDF
Notice: Noncash Contribution to SurplusWord or PDF
Notice: Par Value ChangeWord or PDF
Notice: Conversion of Preferred StockWord or PDF
Notice: Reduction of Permanent CapitalWord or PDF
Notice: Stock DividendWord or PDF
Pro Forma Balance SheetWord or PDF
Projected Regulatory Capital ScheduleWord or PDF
 Change in Bank Control
AffidavitWord or PDF
Interagency Notice of Change in ControlWord or PDF
Publication NoticeWord or PDF
 Changes in Directors and Senior Executive Officers
Interagency Notice of Change in Director or Senior Executive OfficerWord or PDF
 Changes in Corporate Title and Address
Notification of Change of Corporate TitleWord or PDF
Change of AddressWord or PDF
 Director Waivers
Request for Citizenship WaiverWord or PDF
Request for Residency WaiverWord or PDF
 Investment in Bank Premises
After-the-Fact NoticeWord or PDF
Application for IncreaseWord or PDF
 Management Interlocks
Exemption - Diversified Savings and Loan Holding CompanyWord or PDF
General Exemption - No PresumptionWord or PDF
General Exemption - Presumption ApplicableWord or PDF
 Subordinated Debt
Application to Issue Subordinated DebtWord or PDF
Application to Prepay Subordinated DebtWord or PDF
Notice of Debt IssuanceWord or PDF
 Termination of National Bank Status
Public Notice of Voluntary LiquidationWord or PDF
Shareholders' ResolutionWord or PDF
Report of Condition at Commencement of LiquidationWord or PDF
Report of Progress of LiquidationWord or PDF
Expedited Liquidation Final NoticeWord or PDF
Expedited Liquidation Preliminary NoticeWord or PDF
Conversion NoticeWord or PDF
Merger or Consolidation NoticeWord or PDF
Voluntary Liquidation NoticeWord or PDF
Voluntary Liquidation Preliminary NoticeWord or PDF
 Federal Branches and Agencies
Initial and Additional Establishments
Application to Establish an Initial/Additional Federal Branch or Agency w/ InstructionsPDF
Initial and Additional Establishments - Sample Public NoticeWord or PDF
Financial DataWord or PDF
Cover Letter for Initial/Additional Establishment ApplicationPDF
Acquisitions
Request for After-the-Fact ApprovalPDF
Application to Acquire a Federal Branch or AgencyPDF
Acquisitions - Sample Public NoticeWord or PDF
Acquisitions Cover LetterWord or PDF
Conversion or Contraction of Operations
Application for a Change of Status of an Office of a Foreign BankPDF
Application Cover Letter (State-to-Federal License)Word or PDF
Application Cover Letter (Federal Agency or Limited Federal Branch Conversion)Word or PDF
Notice of Contraction of ActivitiesWord or PDF
Relocations
Federal Branch and Agency Relocation ApplicationWord or PDF
Relocations - Sample Public NoticeWord or PDF
Cover Letter for Relocation ApplicationWord or PDF
Notice of Effective Date for RelocationWord or PDF
Fiduciary Powers
Application Letter - Fiduciary PowersWord or PDF
Fiduciary Operating Plan - InstructionsWord or PDF
Notice of Commencement of Fiduciary ActivitiesWord or PDF
Senior Management Resolution on Surrender of Fiduciary PowersPDF
Voluntary Liquidation
Notice Letter - Standard Voluntary LiquidationWord or PDF
Resolution to Voluntarily LiquidateWord or PDF
Voluntary Liquidation - Sample Public NoticeWord or PDF
Liquidation - Interim Progress ReportWord or PDF
Liquidation - Final ReportWord or PDF
Capital Equivalency Deposit
Capital Equivalency Deposit AgreementWord or PDF
Request to Change Depository BankWord or PDF
Request for Reduction in CED Account BalanceWord or PDF
Other Changes in Activities and Operations
Notice of Change in Activities or OperationsWord or PDF
Cover Letter for a Change in ControlWord or PDF
Senior Management Resolution or Conversion of a Federal Branch or Agency to a State-Licensed Operation of a Foreign BankWord or PDF