Interagency Notice Of Change In Control {FR 2081a} | Pdf Fpdf Docx | Official Federal Forms

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Interagency Notice Of Change In Control {FR 2081a} | Pdf Fpdf Docx | Official Federal Forms

Last updated: 3/20/2023

Interagency Notice Of Change In Control {FR 2081a}

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Board of Governors of the Federal Reserve System OMB Number 7100-0134 Approval expires May 31, 2021 Federal Deposit Insurance CorporationOMB Number 3064-0019 Approval expires June 30, 2021 Office of the Comptroller of the Currency OMB Number 1557-0014 Approval expires February 28, 2021 Page 1 of 11Board of Governors of the Federal Reserve System Interagency Notice of Change in Control227FR 2081a An organization or a person is not required to respond to a collection of information unless it displays a currently valid OMB control number. General Information and InstructionsPreparation and Use This form is used to file notice to acquire control of a depository insti-tution or a holding company, pursuant to the Change in Bank Control Act, as amended (12 U.S.C. 247 1817(j)). As used in this form, "holding company" means a bank holding company, a savings and loan hold-ing company, or other company that controls a depository institution. The information must be submitted to the appropriate federal banking agency of the institution whose shares are to be acquired. All inquiries on preparation of the notice should be directed to that agency which, in some circumstances, may modify the information requested. The federal banking agency will review the submitted notice to deter-mine if it is complete. If the submitted notice is not complete, the fed-eral banking agency may either request additional information or it may return the notice. If the required information is not available, please explain. When the notice is complete, the federal banking agency will confirm its determination in writing. The questions are not intended to duplicate information supplied on another form or in an exhibit; a cross-reference to the information is acceptable. Any cross-reference must be made to a specific location in the documents, so the information can be found easily. If additional space is needed to provide complete answers, please attach additional sheets or exhibits.For additional information regarding the processing procedures and guidelines, and any supplemental information that may be required, refer to the appropriate federal banking agency's procedural guide-lines (for example, the OCC's Rules and Regulations (12 C.F.R. Part 5.50), the Comptroller's Licensing Manual, the FDIC's Rules and Regulations (12 C.F.R. Part 303), and the Board's Regulations Y and LL (12 C.F.R. Part 225 and 12 C.F.R. Part 238, respectively)) and relevant policy statements. Contact the agency directly for specific instruction, or visit its Website at,, or Biographical and Financial Report To assist the appropriate federal banking agencies in evaluating the factors specified in the Change in Bank Control Act, an Interagency Biographical and Financial Report is generally required for each person named in the notice. Supporting Information The questions in the notice are not intended to limit the acquirer's responses, and the federal banking agency may request additional necessary information. If any information furnished in the noticechanges materially during the processing of the notice or prior to consummation, such changes should be communicated promptly to the federal banking agency with which the notice was filed. Compliance The acquirer is expected to comply with all representations and commitments made in connection with this notice. Transactions subject to the Hart-Scott-Rodino Antitrust Improvements Act of 1976 (15 U.S.C. 247 18a), which applies to certain very large transactions, require a pre-merger filing with the Federal Trade Commission and the Department of Justice. Notice of Publication An acquirer must publish an announcement soliciting public comment on the proposed acquisition in a newspaper of general circulation in the community in which the head office of the depository institution or holding company is located. In the case of a bank holding company or savings and loan holding company, an announcement also must be published in each community in which the head office of a bank or sav-ings association subsidiary of the holding company is located. A copy of the affidavit(s) of publication should be submitted to the appropriatefederal banking agency. Contact the appropriate federal banking agency for the specific requirements of the notice of publication. Confidentiality Any acquirer desiring confidential treatment of specific portions of the notice must submit a request in writing with the submission of the notice. The request must discuss the justification for the requested treatment. An acquirer's reasons for requesting confidentiality should specifically demonstrate the harm (for example, loss of competitive position, invasion of privacy) that would result from public release of information (5 U.S.C. 247 552). Information for which confidential treatment is requested should be (1) specifically identified in the public portion of the notice (by reference to the confidential section); (2) sepa-rately bound; and (3) labeled "Confidential." An acquirer should follow the same procedure for a request for confidential treatment for the sub-sequent filing of supplemental information to the notice. An acquirer should contact the appropriate federal banking agency for specific instructions regarding requests for confidential treatment. The appropriate federal banking agency will determine whether the informa-tion will be treated as confidential and will advise the acquirer of any decision to publicly release information labeled as "Confidential."Public reporting burden for the collection of information for this notice is estimated to average 30.5 hours, including the time to gather and maintain data in the required form, to review instructions, and to complete the information collection. Send comments regarding this burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden to: Paperwork Reduction Act, Legal Division, Federal Deposit Insurance Corporation, 550 17th Street, NW, Washington, DC 20429; Secretary, Board of Governors of the Federal Reserve System, 20th Street and Constitution Ave., NW, Washington, DC 20551; or Licensing Activities Division, Office of the Comptroller of the Currency, 400 7th Street, SW, Washington, DC 20219; and to the Office of Management and Budget, Paperwork Reduction Project, Washington, DC 20503. 06/2018 American LegalNet, Inc. Interagency Notice of Change in Control227ContinuedPurposes This form is used to file notice to acquire control of a depository institution or a holding company, pursuant to the Change in Bank Control Act, as amended (12 U.S.C. 247 1817(j)), to the federal banking agencies, respectively, the Board of Governors of the Federal Reserve System (Board), the Office of the Comptroller of the Currency (OCC), and the Federal Deposit Insurance Corporation (FDIC). This Privacy Act statement is made pursuant to the requirements of the Privacy Act of 1974, 5. U.S.C. 247 552a. For this particular form, the Privacy Act statement applies only to Board and FDIC filers, as the OCC does not maintain the information in a system where it is retrieved by a personal identifier. Authority Change in Bank Control Act, as amended (12 U.S.C. 247 1817(j)). Effects of Nondisclosure This form solicits information that enables the federal banking agencies to evaluate and make a decision on each proposed change in control under the standards prescribed in the Change in Bank Control Act. Provision of the requested information is voluntary. However, failure to provide information requested in connection with the processing of this notice may result in disapproval of a proposed acquisition or a determination that complete notice has not been submitted. Routine Uses for Board Filers The information you provide will be stored by the Board in the System of Records entitled 223BGFRS-37: Electronic Applications.224 All or part of the information may be disclosed outside of the Board as follows:Privacy Act Statement1. 2.To the appropriate federal, state, local, foreign, or self-regulatoryorganization or agency responsible

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