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BankNet
Resources for bankers

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.


 

Application Documents

This collection of information has been approved by the Office of Management and Budget (OMB) under control number 1557-0014 (expires June 30, 2018). 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.

General Policies and Procedures
National Bank Forms
Change In Assets Applications Word or PDF
Significant Deviation Policy Word or PDF
Thrift Forms
Holding Company Applications/Information Filing PDF
Background Investigations
Combined Forms (Applicable to Both)
Consent Form for DEA Background Investigations Word or PDF
Interagency Biographical and Financial Report Word or PDF
Corporate Background and Financial Report Word or PDF
Appointment of Agent Word or PDF
IRS Tax Check Waiver Word or PDF
Charters
Combined Forms (Applicable to Both)
Charter Application Word or PDF
National Bank Forms
Business Plan Word or PDF
Financial Projections Word or PDF
Application Amendments Word or PDF
Public Notice Sample Word or PDF
Minority-Owned National Banks Policy Statement PDF
First Meeting of Organizers Word or PDF
Articles of Association Word or PDF
Instructions - Articles of Association Word or PDF
Organization Certificate Word or PDF
Contact Person Word or PDF
Waiver of Notice of Organizing Board's First Meeting Word or PDF
Organizing Board's First Meeting Word or PDF
Individual Oath of Bank Director Word or PDF
Joint Oath of Bank Directors Word or PDF
Oaths of Bank Directors Instructions Word or PDF
Bylaws Word or PDF
Subscription Word or PDF
Capital Stock Payment Certificate Word or PDF
Corporate Resolution Word or PDF
Proxy Card Word or PDF
Notice of First Shareholders' Meeting Word or PDF
Minutes of the First Shareholders' Meeting Word or PDF
Minutes of Subsequent Organizing Board Meetings Word or PDF
Waiver of Notice of the First Board Meeting Word or PDF
First Meeting of Directors Word or PDF
Organization Completed Word or PDF
Preopening Checklist for Organizers Word or PDF
Thrift Forms
Application for Conversion PDF
FSA Charter Bylaw Amendments Notice Word or PDF
Model Mutual FSA Bylaws Word or PDF
Model Mutual FSA Charter Word or PDF
Model Stock FSA Bylaws Word or PDF
Model Stock FSA Charter Word or PDF
Conversions
Combined Forms (Applicable to Both)
Conversion Application Word or PDF
National Bank Forms
Authority for Conversion to National Bank Word or PDF
Letter Certifying Conversion Completion Word or PDF
Oaths of Bank Directors Word or PDF
Instructions - Organization Certificate Word or PDF
Organization Certificate Word or PDF
Articles of Association Word or PDF
Bylaws Word or PDF
Thrift Forms
FSA Charter Bylaw Amendments Notice Word or PDF
Model Mutual FSA Bylaws Word or PDF
Model Stock FSA Bylaws Word or PDF
Conversion of a Depository Institution to a Federal Stock or Mutual Savings Association PDF
Branches and Relocations
Combined Forms (Applicable to Both)
Branch and Relocation Application Word or PDF
National Bank Forms
Main Office Relocation to Existing Branch Site within the Same City, Town or Village Word or PDF
Opening Date of Branch Office Word or PDF
Opening Date for Relocation of Main Office to Branch Site within the Same City, Town, or Village Word or PDF
Thrift Forms
Agency Office Additional Services Application Word or PDF
Branch and Relocation After the Fact Notice Word or PDF
Business Combinations
Combined Forms (Applicable to Both)
Business Combination Application - Checklist and Community Reinvestment Commitments Word or PDF
Interagency Bank Merger Act Application Word or PDF
Interim Bank Charter Application Word or PDF
National Bank Forms
Business Combination Application-Streamlined Word or PDF
Branches Requiring Authorization Word or PDF
Bank Merger Screen Word or PDF
Merger of NB with Nonbank Affiliate – NB Results Application Word or PDF
Merger of NB with Nonbank Affiliate – Nonbank Results Application Word or PDF
Reorganization of a NB to a Subsidiary of BHC Application Word or PDF
Stock Payment Certificate and Oaths of Directors and Officers Word or PDF
Shareholders' Waiver of Notice of Shareholders' Meeting and Written Consent of Business Combination Word or PDF
Board of Directors' Waiver of Notice of Board Meeting and Written Consent of Business Combination Word or PDF
Emergency Processing Request Word or PDF
Notice of Consummation Word or PDF
Notice of Shareholders' Meeting to Vote on Combination Word or PDF
Public Notice and Instructions Word or PDF
Secretary's Certificate of Board of Directors' Approval of Combination Word or PDF
Secretary's Certificate of Shareholders' Approval of Combination Word or PDF
Sample Agreements - Consolidation Word or PDF
Sample Agreements - Merger Word or PDF
Sample Agreement - Purchase and Assumption Word or PDF
Fiduciary Powers
Combined Forms (Applicable to Both)
Fiduciary Powers Application Word or PDF
Fiduciary Powers After the Fact Notice Word or PDF
Surrender of Fiduciary Powers Notice Word or PDF
Fiduciary Operating Plan-Instructions Word or PDF
Commencement of Fiduciary Activities Notice Word or PDF
Investment in Subsidiaries and Equities
Combined Forms (Applicable to Both)
Bank Service Company Notice Word or PDF
Operating Subsidiary Application Word or PDF
Other Equity or Pass-Through Investments Application Word or PDF
Other Equity or Pass-Through Investments After the Fact Notice Word or PDF
Satisfaction of DPC After the Fact Notice Word or PDF
National Bank Forms
Annual Report on Operating Subsidiaries Word or PDF
Annual Report on Operating Subsidiaries Guidelines Word or PDF
Equity Investment in Statutory Subsidiary After the Fact Notice Word or PDF
Financial Subsidiary Notice Word or PDF
Financial Subsidiary Certification Word or PDF
Financial Subsidiary Certification and Notice Word or PDF
Operating Subsidiary After the Fact Notice Word or PDF
Thrift Forms
12 USC 1828(m) Investment Application Word or PDF
Service Corporation Application Word or PDF
Subsidiary Redesignation Notice Word or PDF
Branch Closings
National Bank Forms
Advance Branch Closing and Downgrade Notice Word or PDF
Final Branch Closing, Consolidation, Relocation, or Downgrade Notice Word or PDF
Sample Customer Notice of Branch Closing Word or PDF
Capital and Dividends
Combined Forms (Applicable to Both)
Increase in Permanent Capital Application
(Replaces applications for: Increase in Capital for Other Than Cash; Increase in Capital for Material Noncash Contribution; Dividend-in-Kind; and Notice for Preferred Stock Terms.)
Word or PDF
Increase in Permanent Capital Notice
(Replaces notices for: Increase in Stock for Cash; Increase in Stock for Property; Noncash Contribution to Surplus; Par Value Change; Conversion of Preferred Stock; Reduction of Permanent Capital; and Stock Dividend.)
Word or PDF
Quasi-Reorganization Application Word or PDF
Reduction of Permanent Capital Application Word or PDF
Reverse Stock Split Application Word or PDF
Change in Bank Control
Combined Forms (Applicable to Both)
Affidavit Word or PDF
Interagency Notice of Change in Control Word or PDF
Publication Notice Word or PDF
Changes in Directors and Senior Executive Officers
Combined Forms (Applicable to Both)
Interagency Notice of Change in Director or Senior Executive Officer Word or PDF
Changes in Corporate Title and Address
Combined Forms (Applicable to Both)
Change of Corporate Title Word or PDF
Change of Address Word or PDF
Director Waivers
Combined Forms (Applicable to Both)
Citizenship Waiver Request Word or PDF
Residency Waiver Request Word or PDF
Investment in Bank Premises
National Bank Forms
After-the-Fact Notice Word or PDF
Application for Increase Word or PDF
Management Interlocks
Combined Forms (Applicable to Both)
Management Interlocks Application Word or PDF
Subordinated Debt
Combined Forms (Applicable to Both)
Issuance of Subordinated Debt Application Word or PDF
Issuance of Subordinated Debt Notice Word or PDF
Prepayment of Subordinated Debt Application Word or PDF
Termination of National Bank Status
Combined Forms (Applicable to Both)
Notice of Intent of Voluntary Liquidation Word or PDF
Notice Upon Commencing of Voluntary Liquidation Word or PDF
Voluntary Liquidation Plan Word or PDF
Public Notice of Voluntary Liquidation Word or PDF
Board of Directors’ and Shareholders’ Resolution Word or PDF
Voluntary Liquidation Report of Condition at Commencement of Liquidation Word or PDF
Annual Report of Progress of Liquidation Word or PDF
Final Report Voluntary Liquidation Word or PDF
Notice of Intent of Expedited Liquidation Word or PDF
Expedited Liquidation Final Notice Word or PDF
Notice of Intent of Conversion Out Word or PDF
Conversions Out Final Notice Word or PDF
Notice of Intent to Merge or Consolidate Out Word or PDF
Merger or Consolidation Out Final Notice Word or PDF
 Federal Branches and Agencies
Initial and Additional Establishments
Application to Establish an Initial/Additional Federal Branch or Agency w/ Instructions PDF
Initial and Additional Establishments - Sample Public Notice Word or PDF
Financial Data Word or PDF
Cover Letter for Initial/Additional Establishment Application PDF
Acquisitions
Request for After-the-Fact Approval PDF
Application to Acquire a Federal Branch or Agency PDF
Acquisitions - Sample Public Notice Word or PDF
Acquisitions Cover Letter Word or PDF
Conversion or Contraction of Operations
Application for a Change of Status of an Office of a Foreign Bank PDF
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 Activities Word or PDF
Relocations
Federal Branch and Agency Relocation Application Word or PDF
Relocations - Sample Public Notice Word or PDF
Cover Letter for Relocation Application Word or PDF
Notice of Effective Date for Relocation Word or PDF
Fiduciary Powers
Application Letter - Fiduciary Powers Word or PDF
Fiduciary Operating Plan - Instructions Word or PDF
Notice of Commencement of Fiduciary Activities Word or PDF
Senior Management Resolution on Surrender of Fiduciary Powers PDF
Voluntary Liquidation
Notice Letter - Standard Voluntary Liquidation Word or PDF
Resolution to Voluntarily Liquidate Word or PDF
Voluntary Liquidation - Sample Public Notice Word or PDF
Liquidation - Interim Progress Report Word or PDF
Liquidation - Final Report Word or PDF
Capital Equivalency Deposit
Capital Equivalency Deposit Agreement Word or PDF
Request to Change Depository Bank Word or PDF
Request for Reduction in CED Account Balance Word or PDF
Other Changes in Activities and Operations
Notice of Change in Activities or Operations Word or PDF
Cover Letter for a Change in Control Word or PDF
Senior Management Resolution or Conversion of a Federal Branch or Agency to a State-Licensed Operation of a Foreign Bank Word or PDF