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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 Applications Word or PDF
Significant Deviation Policy Word or PDF
 Background Investigations
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
Charter Application Word or PDF
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
 Conversions
Conversion Application Word or PDF
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
 Branches and Relocations
Branch and Relocation Application Word or PDF
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
 Business Combinations
Business Combination Application - Checklist and Community Reinvestment Commitments Word or PDF
Business Combination Application-Streamlined Word or PDF
Interagency Bank Merger Act Application Word or PDF
Branches Requiring Authorization Word or PDF
Bank Merger Screen Word or PDF
Merger With Nonbank Subsidiary or Affiliate Word or PDF
Application: Interim National Bank Charter Word or PDF
Application: Reorganization - Subsidiary of a BHC 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
Application Word or PDF
After-the-Fact Notice Word or PDF
Surrender of Fiduciary Powers Word or PDF
Fiduciary Operating Plan-Instructions Word or PDF
Commencement of Fiduciary Activities Notice Word or PDF
 Investment in Subsidiaries and Equities
After-the-Fact Notice-Subsidiary Word or PDF
After-the-Fact Notice- Bank Service Company Word or PDF
After-the-Fact Notice-Equity Investment Word or PDF
Annual Report on Operating Subsidiaries Word or PDF
Annual Report on Operating Subsidiaries Guidelines Word or PDF
Operating Subsidiary Application Word or PDF
Bank Service Company Application Word or PDF
Financial Subsidiary Notice Word or PDF
Financial Subsidiary Certification Word or PDF
Financial Subsidiary Notice and Certification Word or PDF
 Branch Closings
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
Application: Increase in Capital for Other Than Cash Word or PDF
Application: Increase in Capital for Material Noncash Contribution Word or PDF
Application: Reduction of Permanent Capital Word or PDF
Application: Quasi-Reorganization Word or PDF
Application: Dividend-In-Kind Word or PDF
Application: Dividend Exceeding 12 USC 60 Limits Word or PDF
Application: Reverse Stock Split Word or PDF
Notice: Increase in Stock for Cash Word or PDF
Notice: Preferred Stock Terms Word or PDF
Notice: Increase in Stock for Property Word or PDF
Notice: Noncash Contribution to Surplus Word or PDF
Notice: Par Value Change Word or PDF
Notice: Conversion of Preferred Stock Word or PDF
Notice: Reduction of Permanent Capital Word or PDF
Notice: Stock Dividend Word or PDF
Pro Forma Balance Sheet Word or PDF
Projected Regulatory Capital Schedule Word or PDF
 Change in Bank Control
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
Interagency Notice of Change in Director or Senior Executive Officer Word or PDF
 Changes in Corporate Title and Address
Notification of Change of Corporate Title Word or PDF
Change of Address Word or PDF
 Director Waivers
Request for Citizenship Waiver Word or PDF
Request for Residency Waiver Word or PDF
 Investment in Bank Premises
After-the-Fact Notice Word or PDF
Application for Increase Word or PDF
 Management Interlocks
Exemption - Diversified Savings and Loan Holding Company Word or PDF
General Exemption - No Presumption Word or PDF
General Exemption - Presumption Applicable Word or PDF
 Subordinated Debt
Application to Issue Subordinated Debt Word or PDF
Application to Prepay Subordinated Debt Word or PDF
Notice of Debt Issuance Word or PDF
 Termination of National Bank Status
Public Notice of Voluntary Liquidation Word or PDF
Shareholders' Resolution Word or PDF
Report of Condition at Commencement of Liquidation Word or PDF
Report of Progress of Liquidation Word or PDF
Expedited Liquidation Final Notice Word or PDF
Expedited Liquidation Preliminary Notice Word or PDF
Conversion Notice Word or PDF
Merger or Consolidation Notice Word or PDF
Voluntary Liquidation Notice Word or PDF
Voluntary Liquidation Preliminary 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