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National banks and Federal Savings Associations (FSA) file securities registration and disclosure documents with the OCC. Securities offering registration statements are filed under OCC Part 16. National banks and FSAs that exceed certain asset and shareholder thresholds must also make Securities Exchange Act filings with the OCC under OCC Part 11.
These documents are available in the FOIA Reading Room listed under Securities Filings.
OCC Rulemakings
Activities Permissible for National Banks and Federal Savings Associations, Cumulative
Comparison of the Powers of National Banks and Federal Savings Associations
Key Differences Among National Bank, Federal Savings Association, and Covered Savings Association Requirements
Title 12-Banks and Banking (12 CFR)
OTS Integration: Supervisory Policy Integration Process
Regulations Re-designations for Savings Association
Securities Filings
Search Enforcement Actions
Access Monthly Interpretations and Actions
Search Office of Thrift Supervision (OTS) Archive
Learn About the Chief Counsel's Office