(4) Form CC 1425-FX: Report of Examination-Foreign Branch Supplemental Pages. (5) Form CC 1440-OX: Report of Examination-Trust Department.

(6) Form CC 1450-OX: EDP Examination Report.

(7) Form CC 1455-OX: Report of Banks Receiving EDP Services.

(8) Form CC 1930-OX: Branch Application-Investigation Form.

(9) Form CC 1956-OX: Primary Organization-Investigation Report.

(10) Form CC 6046-01: Bond for Lost Receiver's Certificate.

(11) Form CC 6046-02: Bond for Lost Receiver's Certificate and in Lieu of Administration.

(12) Form CC 3046-03: Affidavit of Loss of Receiver's Certificate.

(13) Form CC 6046-04: Bond in Lieu of Administration.

(14) Form CC 6046-05: Affidavit Relative to Death of Claimant.

(15) Form CC 6046-07: Release.

(16) Form CC 6050-05: Form OR-1, Initial Statement of Beneficial Ownership of Securities.

(17) Form CC 6050-06: Form OR-2, Statement of Changes in Beneficial Ownership of Securities.

(18) Form CC 6055-04: Summary of Actions Subscription Form.

(19) Form CC 6055-05: Summary of Actions Subscription Renewal Notice.

(20) Form CC 6061-06: Change in Ownership of National Bank.

(21) Form CC 7021-04: Financial Report. (22) Form CC 7021-05: Biographical Report.

(23) Form CC 7022-06: Official Signatures of Officers.

(24) Form CC 7022-07: Certificate of Payment of Capital Stock and Compliance with Legal Requirements.

(25) Form CC 7022-08: Joint Oath of Directors.

(26) Form CC 7022-09: Oath of Director. (27) Form CC 7022-10: List of Directors. (28) Form CC 7022-11: List of Interim Directors.

(29) Form CC 7022-12: Organization Certificate.

(30) Form CC 7022-13: Application to Convert a State Bank into a National Banking Association.

(31) Form CC 7022-14: Appointment of Agent.

(32) Form CC 7022-15: Supplement: Application to Organize a National Bank and Representation of Applicants.

(33) Form CC 7022-16: Application to Organize a National Bank and Representations of Applicant.

(34) Form CC 7022-17: Articles of Association (Conversion).

(35) Form CC 7022-18: Summary of Information to be Submitted to Office of the Comptroller of the Currency within 30 Days after the Filing of an Application to Organize a National Bank.

(36) Form CC 7022-19: Advice of Commencement of Business by National Bank. (37) Form CC 7022-20: Authority for Conversion of State Bank.

(38) Form CC 7022-21: Organization Certificate (Conversion).

(39) Form CC 7022–22; Articles of Association.

(40) Form CC 7023-03: Certificate of Completed Changes in Outstanding Capital Notes. (41) Form CC 7023-04: Amended Articles of Association.

(42) Form CC 7023-05: Application for an Increase in Capital by Sale of Additional Common Stock.

(43) Form CC 7023-06: Application for an Increase in Capital by Issuance of a Stock Dividend.

(44) Form CC 7023-07: Secretary's Certificate (Sale).

(45) Form CC 7023-08: Secretary's Certificate (Sale and Change in Par Value).

(46) Form CC 7023-09: Secretary's Certificate (Par Value).

(47) Form CC 7023-10: Secretary's Certificate (Authorized but Unissued Stock).

(48) Form CC 7023-11: Certificate of Payment for Additional Common Stock.

(49) Form CC 7023-12: Certificate of Payment for Additional Common Stock (For Assets).

(50) Form CC 7023-13: Certificate of Payment for Capital Debentures.

(51) Form CC 7023-14: Certificate of Conversion of Capital Notes.

(52) Form CC 7023-15: Issuance of Preferred Stock Certificate of Payment.

(53) Form CC 7023-16: Certificate of Declaration of Stock Dividend.

(54) Form CC 7023-17: Secretary's Certificate.

(55) Form CC 7023-18: Secretary's Certificate (Stock Dividend, Sale, and Change in Par Value) (Combination).

(56) Form CC 7023-19: Secretary's Certificate (Stock Dividend).

(57) Form CC 7023-20: Proxy Sheet. (58) Form CC 7023-21: Certificate and Certification.

(59) Form CC 7023-22: Application for Authorized but Unissued Stock.

(60) Form CC 7023-23: Secretary's Certificate (Stock Dividend and Sale).

(61) Form CC 7023-24: Secretary's Certificate (Stock Dividend and Change in Par Value).

(62) Form CC 7023-25: Secretary's Certificate (Increase in Capital by a Change in Par Value).

(63) Form CC 7023-26: Secretary's Certificate (Sale and Authorized but Unissued Stock).

(64) Form CC 7023-27: Certificate of Approval (For Increase in Common Stock).

(65) Form CC 7023-28: Certification of Increase in Capital by a Change in Par Value. (66) Form CC 7023-29: Certificate of Approval for Increase in Capital Stock.

(67) Form CC 7023-30: Ownership Change Card.

(68) Form CC 7024-01: Application for Permission to Establish a Branch.

(69) Form CC 7024-04: Proposed Branch Location Map.

Approval for

(70) Form CC 7024-16: Change of Address of a Branch.

(71) Form CC 7024-18: Approval for Change of Location of a Branch.

(72) Form CC 7025-01: Secretary's Certificate (Merger § 1828 (c)).

(73) Form CC 7025-02: Application for a Change in Location of Head Office or Branch. (74) Form CC 7025-03: Bylaws.

(75) Form CC 7025-04: Publication of Notice of Liquidation.

(76) Form CC 7025-05: Notice of Proposed Bank Merger, Bank Consolidation, Acquisition of Bank Assets or Assumption of Liabilities.

(77) Form CC 7025-06: Notice of Meeting of Shareholders.

(78) Form CC 7025-09: Notice of Meeting of Shareholders (Merge, Consolidate,

(85) Form CC 7025-16: Report of Progress of Liquidation.

(86) Form CC 7025-17: Notice of Meeting of Shareholders (Voluntary Liquidation). (87) Form CC 7025-18: Purchase Agreement.

(88) Form CC 7025-21: Affidavit of Publication of Charter.

(89) Form CC 7025-22: Resolution for Voluntary Liquidation.

(90) Form CC 7025-23: Resolutions for Voluntary Liquidation.

(91) Form CC 7025-24: Notice of Meeting of Shareholders (Purchase and Sale).

(92) Form CC 7500-01: Common Trust Fund Survey.

(93) Form CC 7510-01: Application of National Banks for Fiduciary Powers.

(94) Form CC 7510-02: Application of Converting Bank for Fiduciary Powers.

(95) Form CC 7510-03: Trust Department Annual Report.

(96) Form CC 8010-02: National Bank Defalcation.

(97) Form CC 8010-03: Violation of Law. (98) Form CC 8010-04: Summary of Bank Shortages Reported to U.S. Attorney during the Year 19--.

(99) Form CC 8022-01: Foreign Branch Report of Condition.

(100) Form CC 8022-04: Bank Liquidity Analysis.

(101) Form CC 8022-05: Consolidated Report of Condition (Domestic only).

(102) Form CC 8022-06: Consolidated Report of Condition (Domestic only).

(103) Form CC 8022-07: Instructions for the Preparation of Reports of Condition by National Banking Associations.

(104) Form CC 8022-08: Form Letter for Reporting Corrections on Bank's Report of Income and Dividends.

(105) Form CC 8022-10: Instructions for Preparation of Consolidated Reports of Income.

(106) Form CC 8022-11: Report of Reserve Held.

(107) Form CC 8022-12: Schedule K Memorandum Supplement to Domestic Office Report of Condition.

(108) Form CC 8022-14: Consolidated Report of Income (Including Doméstic Subsidiaries).

(109) Form CC 8022-18: Consolidated Report of Condition (Including Domestic

and Foreign Subsidiaries).

(110) Form CC 8022-19: Consolidated Report of Condition (Including Domestic and Foreign Subsidiaries).

(111) Form CC 8022-20: Report on Condition Schedule B Par Value of Securities Issued by the U.S. Treasury and by other U.S. Government Agencies.

(112) Form CC 8022-21: Acquisition Guidance Letter Consolidated Report of Income. (113) Form CC 8022-22: Supplemental Information-Report of Condition (Form Let

ter).

(114) Form CC 9000-01: External Crimes Against National and District Banks.

(115) Form CC 9030-01: Report on Security Devices.

(116) Form CC 9030-02: Report of Crime. (117) Form CC 9030-06: Report of Pledged National Bank Stock.

(118) Form CC 9030-07: Report of Officers' Borrowings at Other Banks.

(119) Form CC 9030-18: Emergency Preparedness Measures.

(120) Form CC 9030-21: Analysis Sheet. (121) Form CC 9030-22: Liquidity Analysis Sheet.

(122) Form CC 9030-23: Regional Map (Large).

(123) Form CC 9030-24: Regional Map (Small).

(124) Form Copy of Electronic Data Processing Report of Examination.

CC 9030-25: Transmitting

(b) Unnumbered forms. The following unnumbered forms of the Comptroller of the Currency are currently in use:

(1) Shareholders' Meeting Instructions. (2) Instructions-Application to Exercise Fiduciary Powers.

(3) Instructions-Annual Financial Report of Collective Investment Funds.

(c) Public access. The forms and instructions referred to in this section are available to the public upon request. A charge may be assessed with respect to certain forms or instructions or for any form and instruction requested in large quantities.

[32 F.R. 9514, July 1, 1967, as amended at 35 F.R. 19981, Dec. 31, 1970]

§ 4.14 Publications available to public.

(a) Federal Register. In addition to the publication of this part, the Comptroller of the Currency publishes in the FEDERAL REGISTER, for the guidance of the public:

(1) Substantive rules and interpretations of general applicability and statements of general policy;

(2) Notices of public hearings in connection with some applications, including certain applications to merge, consolidate, or purchase.

(b) Other publications. The following publications of the Comptroller of the Currency are available to the public:

(1) "Comptroller's Manual for National Banks."

(2) "Comptroller's Manual for Representatives in Trusts."

(3) "Duties and Liabilities of Directors of National Banks."

(4) "Shareholders' Meeting Instructions."

(5) "Fiduciary Powers of National Banks and Collective Investment Funds." (6) "Annual Report of the Office of the Comptroller of the Currency."

(7) "Years of Reform: A Prelude to Progress," a reprint from the 1963 Annual Report.

(8) "The Banking Structure in Evolution: A Response to Public Demand," a reprint from the 1964 Annual Report.

(9) "Banking Competition and the Banking Structure," reprints of articles from the National Banking Review.

(10) "The National Banking Review." (11) "National Banks and the Future." (12) "Banking and Monetary Studies: In Commemoration of the Centennial of the National Banking System."

(13) "The Comptroller and Bank Supervision: A Historical Appraisal."

(14) "Commercial Bank Entry into Revenue Bond Underwriting."

(15) "World of Banking: The Challenges of a Career as a National Bank Examiner."

(16) "Directory, Office of the Comptroller of the Currency."

(17) "Summary of Actions," a monthly summary of actions taken upon all applications for new national bank charters, branches, mergers, consolidations, purchase of assets, assumption of liabilities, change of name or location of head office or branch, and conversion from State to national bank.

(18) "Examination of Automation in National Banks."

(19) "Criminal Assaults on Banks." (20) "Staff Report Series: Bank Trusts: Investments and Performance.” (21) "Comptroller's Handbook of Examination Procedure."

The publications referred to in this paragraph are available for inspection at the office of each National Bank region and at

The Treasury Library, Room 5030, Main Treasury Building, Washington, DC 20220. To purchase or otherwise obtain a copy of publications referred to in subparagraphs (1) through (20) of this section, write to

Publications Control Office, Administrative Services Division, Office of the Comptroller of the Currency, Washington, D.C. 20220. [32 F.R. 9515, July 1, 1967, as amended at 35 F.R. 19982, Dec. 31, 1970]

§ 4.15 Orders, opinions, etc. available to public.

(a) The Comptroller of the Currency makes the following documents available to the public for inspection and copying:

(1) Final orders made in the adjudication of cases.

(2) Final opinions when made in the adjudication of cases.

(3) Statements of general policy and interpretations of general application not published in the FEDERAL REGISTER. (4) Administrative staff manuals and instructions affecting any member of the public.

(5) The publications referred to in § 4.14(b).

(6) Annual reports to stockholders filed under part 10 of the Regulations of the Comptroller of the Currency (part 10 of this chapter) which serve as registrations under section 12(g) of the Securities Exchange Act of 1934, as amended.

(7) Proxy solicitation materials filed under part 11 of the Regulations of the Comptroller of the Currency (part 11 of this chapter) pursuant to sections 12(1), 14(a), and 14(c) of the Securities Exchange Act of 1934, as amended.

(8) Ownership reports filed under part 12 of the Regulations of the Comptroller of the Currency (part 12 of this chapter) pursuant to section 16 of the Securities Exchange Act of 1934, as amended.

(9) Registration statements and offering circulars filed under part 16 of the Regulations of the Comptroller of the Currency (part 16 of this chapter) pursuant to section 12 of the Securities Exchange Act of 1934, as amended.

(b) The Comptroller maintains and makes available to the public for inspection and copying a current index identifying the documents referred to in paragraph (a) of this section (other than subparagraphs (5), (6), (7), (8), and (9) thereof), issued, adopted, or promulgated after July 4, 1967. Such index is located in the

Treasury Library, Room 5025, Main Treasury Building, Washington, D.C. 20220.

(c) To the extent necessary to prevent an invasion of personal privacy, the Comptroller may delete identifying details from a document described in paragraph (a) of this section. In each case of such deletion, the justification therefor will be clearly explained in writing. [32 F.R. 9515, July 1, 1967]

and copying, except as provided in paragraph (b) of this section.

(b) Except as specifically authorized by the Comptroller, the following documents, or portions thereof, are not available to the public:

(1) A document, or portion thereof, which is exempted from disclosure by statute or Executive order.

(2) A document, or portion thereof, containing or related to an examination operating, or condition report prepared by, on behalf of, or for the use of, the Comptroller, relating to the affairs of any bank or affiliate thereof, bank holding company or subsidiary thereof, broker, finance company, or any other person engaged, or proposing to engage, in the business of banking, extending credit, or managing or controlling banks.

(3) A document, or portion thereof, which is privileged or relates to the business, personal, or financial affairs of any person and is furnished in confidence.

(4) An investigatory file compiled for law enforcement purposes, including an investigatory file relating to a proceeding for the issuance of a cease-and-desist order or order of suspension or removal, under the Financial Institutions Supervisory Act of 1966, and the granting, withholding, or revocation of any approval, permission, or authority.

(5) A document, or portion thereof, relating solely to internal personnel rules and practices or other internal practices of the agency.

(6) A personnel, medical, or similar file (including a financial file), the disclosure of which would constitute a clearly unwarranted invasion of personal privacy.

(7) An interoffice or interagency memorandum or letter that would not be routinely available by law to a private party in litigation, including, but not limited to, memoranda, reports, and other documents prepared by the Comptroller's staff, and records of deliberations and discussions at meetings of the Comptroller or of his staff.

[32 F.R. 9515, July 1, 1967]

§ 4.17 Obtaining access to public docu

ments.

(a) Central office. A document of the Comptroller of the Currency or a portion thereof, available under §§ 4.15 and

4.16 for public inspection and copying, may be inspected and copied during regular business hours on regular business days at the Washington office of the Comptroller. A person requesting access to such a document, or portion thereof, shall submit such request in writing to the Special Assistant for Public Affairs, Room 5128, Main Treasury Building, Washington, D.C. 20220. The request shall state the full name and address of the person requesting access to a document and a description of the document sought that is sufficient to permit its identification without undue difficulty.

(b) Field office. If a document of the Comptroller, or a portion thereof, available under §§ 4.15 and 4.16 for public inspection and copying, is located at the office of a Regional Administrator of National Banks, the person requesting access to the same may, if he requests permission, have access at such location. Such request shall be submitted in writing to the Special Assistant for Public Affairs, Room 5128, Main Treasury Building, Washington, D.C. 20220. If the Comptroller grants such request, the Regional Administrator will be instructed to permit access at his office.

(c) Appeal. Any person who is denied access to a document of the Comptroller of the Currency by any official or employee of the Comptroller's office may file with the First Deputy Comptroller a written request for a review of such denial.

(d) Costs. A person requesting access to a document of the Comptroller shall pay a fee of $5 per hour for the cost of locating and preparing the document for inspection and copying. An additional fee of 10 cents per page will be charged for providing a copy of the document. [32 F.R. 9515, July 1, 1967, as amended at 35 F.R. 19982, Dec. 31, 1970]

§ 4.18 Other rules of disclosure.

(a) Employees of the Comptroller. Except as provided in this part or as otherwise authorized by the Comptroller of the Currency, no employee of the Comptroller shall in any manner disclose or permit disclosure of any confidential information to anyone other than an employee of the Comptroller properly entitled to such information for the performance of his official duties.

(b) Government agencies. When authorized by law, the Comptroller of the Currency may make available to the Board of Governors of the Federal Reserve System, to the Federal Deposit Insurance Corporation, and, in his sole discretion, to certain other Government agencies of the United States, copies of reports of examination and other documents, papers or information for their use, when necessary, in the performance of their official duties. All reports, documents and papers made available pursuant to this subdivision are the property of the Comptroller. No person, agency, or authority, or any director, officer, or employee thereof, shall disclose any such reports, documents, papers or information contained therein in any manner except as authorized by the Comptroller.

(c) Financial institutions. The Comptroller of the Currency makes available to each national bank and, in some cases, to holding companies thereof, a copy of the report of examination of such bank or company. The report of examination is the property of the Comptroller and is loaned to the bank or holding company for its confidential use only. Under no circumstances shall the bank or holding company or any director, officer or employee thereof make public or disclose to any other banker or person in any manner the report of examination or any portion of the contents thereof. [32 F.R. 9516, July 1, 1967]

§ 4.19 Testimony and production of documents in court.

Employees of the Comptroller of the Currency are prohibited from testifying in court or otherwise with respect to information obtained in or resulting from their official capacities and are prohibited from furnishing documents of the Comptroller or copies thereof in compliance with a subpoena, order or otherwise, without the prior written authorization of the Comptroller. If the testimony of or the production of documents by an employee of the Comptroller is desired, an affidavit by the litigant or his attorney setting forth the interest of the litigant and the testimony or documents desired must be submitted to the Comptroller before authorization will be granted. The employee's authorization