Please refer to the Department's Application Fee Schedule to determine the proper fee for an application being filed.

Commercial Banks & Trust Companies
Credit Unions
Foreign Banking Corporations
Investment Companies
Private Bankers
Safe Deposit Companies
Savings Banks and Savings & Loan Associations
Shelf Charter
Other Applications and Forms

Commercial Banks & Trust Companies

Information and procedure for the organization of a commercial bank under New York Banking Law

• Introduction
• Information and Procedure
• Certificate of Merit
• Organization Certificate (PDF)
• Certificate of Compliance with Section 296-a of the Executive Law (PDF)
• Questionnaire (PDF)
• Authority to Release Information Form (PDF)
• Litigation Affidavit (PDF)
• Fingerprinting Procedure
• Financial Report (PDF)
• Financial Statements for Individuals Owning 10% or More of Proposed Institution's Capital Stock (PDF)
• Financial Projections (PDF)
• Matters to be Completed Prior to the Issuance of an Authorization Certificate  
• Verified list of Stockholders (PDF)
• Affidavit of Payment of Capital Stock (PDF)
• Oath of Directors (PDF)
• Director's Affiliations Form (PDF)
• Taxpayer ID Form (PDF)

Information and Procedure for the organization of a trust company for the limited purpose of exercising fiduciary powers.

• Introduction
• Information and Procedure/Certificate of Merit
• Organization Certificate (PDF)
• Questionnaire (PDF)
• Authority to release information (PDF)
• Litigation affidavit (PDF)
• Fingerprinting Procedure
• Financial report (PDF)
• Financial statements for individuals owning 10% or more of proposed institution's capital stock (PDF)
• Financial Projections (PDF)
• Matters to be completed prior to the issuance of an Authorization Certificate (PDF)
• Verified list of stockholders (PDF)
• Affidavit of Payment of Capital Stock (PDF)
• Oath of Directors (PDF)
• Director's affiliations form (PDF)
• Taxpayer ID Form (PDF)

Provisions relating to the formation of Limited Liability Trust Companies

Credit Unions

Information and procedure for the organization of a State-Chartered Credit Union

• Introduction
• Organization Certificate (PDF)
• Certificate of Compliance with Section 296-a of the Executive Law (PDF)
• Questionnaire (PDF)
• Authority to Release Information(PDF)
• Litigation Affidavit (PDF)
• Fingerprinting Procedure
• Financial Report (PDF)
• Requirements for Personal Investigative Reports (PDF)
• Matters to be Completed Prior to the Issuance of an Authorization Certificate (PDF)
• Oath of Directors (PDF)
• Oath of Officers (PDF)
• Oath of Supervisory Committee (PDF)
• Oath of Credit Committee (PDF)
• Director's Affiliations Form (PDF)
• Taxpayer ID Form (PDF)

Associated Applications and Forms for Credit Unions

• Application to Open and Maintain a Station (PDF)
• Application for a Change of Location of the Place of Business (PDF)
• Information and Procedure for Opening of a Station by an Out-of-State Credit Union
• Application to Expand a Credit Union's Employer-Based Field of Membership
• Amendment of Credit Union By-laws
• Designation of a Low-Income Credit Union
• Information and Procedure to Convert from a Federal to a State Charter

Foreign Banking Corporations

Information concerning the licensing of a foreign banking corporation to establish and maintain a branch or agency in New York.

• Foreign Branch/Agency Application
• Questionnaire (PDF)
• Statement of Financial Condition (PDF)
• Projected Average Assets and Liabilities (PDF)
• Application Certificate (PDF)
• Supervisory Policy G 7 (PDF)
• Appointment of Superintendent of Financial Services as True and Lawful Attorney (PDF)
• Designation of Person to Whom Process May be Forwarded by the Superintendent (PDF)
• Litigation Affidavit (PDF)
• Capital, Surplus, and Undivided Profits Certification (PDF)
• Agreement Pursuant to Section 9(b) of the International Banking Act of 1978 (PDF)
• Certificate of Compliance With Section 296-a of the Executive Law of the State of New York (PDF)
• Taxpayer ID Form (PDF)

Application for a change of location - Foreign Branch/Foreign Agency

• Instructions
• Application Form

Application to Establish, Maintain, or Use a Representative Office

• Application and Requirements
• Questionnaire (PDF)
• Statement of Financial Condition (PDF)
• Application Certificate (PDF)
• Supervisory Policy G 7 (PDF)
• Appointment of Superintendent of Financial Services as True and Lawful Attorney (PDF)
• Designation of Person to Whom Process May be Forwarded by the Superintendent (PDF)
• Litigation Affidavit (PDF)
• Agreement Pursuant to Section 9(b) of the International Banking Act of 1978 (PDF)
• Certificate of Compliance With Section 296-a of the Executive Law of the State of New York (PDF)
• Taxpayer ID Form (PDF)

Notification of a change of location - Foreign Representative Office

• Instructions
• Application Form

Asset Pledge Resources

Asset Pledge List
Asset Pledge Form - Regular
Asset Pledge Form - Well Rated

Other Applications and Resources

• Authorization of Fiduciary Powers for Foreign Banking Corporations
• Permission for a Foreign Banking Corporation to Change its Name
• Merger or Change of Control of Foreign Banking Corporation
• Issuance of Large Denomination Obligations by Foreign Agencies
• Change of Manager, Representative, or Individual Designated to Receive Process

Investment Companies (under Article XII of the Banking Law)

Information and procedure for the organization of an Investment Company (under Article XII of the Banking Law)

• Introduction
• Information and Procedure/Certificate of Merit
• Organization Certificate (PDF)
• Certificate of Compliance with Section 296-a of the Executive Law (PDF)
• Questionnaire (PDF)
• Authority to release information form (PDF)
• Litigation affidavit (PDF)
• Fingerprinting Procedure
• Financial report (PDF)
• Financial statements for individuals owning 10% or more of proposed institution's capital stock (PDF)
• Matters to be completed prior to the issuance of an Authorization Certificate (PDF)
• Affidavit of Payment of Capital Stock (PDF)
• Taxpayer ID Form (PDF)

Provisions relating to the formation of limited liability investment companies

Private Bankers

• Verified Certificate of Firm of Private Bankers Applying for Authorization to Continue Business(PDF)
• Certificate of Compliance with Section 296-a of the Executive Law (PDF)
• Taxpayer ID Form (PDF)

Safe Deposit Company

Scope of subjects to be considered in evaluating the merits of a proposal to charter a safe deposit company

• Introduction
• Information and Procedure/Certificate of Merit
• Organization Certificate (PDF)
• Questionnaire (PDF)
• Authority to release information form (PDF)
• Litigation affidavit (PDF)
• Fingerprinting Procedure
• Financial report (PDF)
• Financial statements for individuals owning 10% or more of proposed institution's capital stock (PDF)
• Affidavit of Payment of Capital Stock (PDF)
• Oath of Directors (PDF)
• Taxpayer ID Form (PDF)

Additional Safe Deposit Company Applications

• Sale of Safe Deposit Business

Savings Bank and Savings & Loan Association (Stock-Form)

Information and procedures for the organization of a Stock-Form Savings Bank or Stock-Form Savings and Loan Association

• Introduction
• Information and Procedure/Certificate of Merit
• Organization Certificate (PDF)
• Certificate of Compliance with Section 296-a of the Executive Law (PDF)
• Questionnaire (PDF)
• Authority to Release Information (PDF)
• Litigation Affidavit (PDF)
• Fingerprinting Procedure
• Financial Report (PDF)
• Financial Statements for Individuals Owning 10% or More of Proposed Institution's Capital Stock (PDF)
• Projections (PDF)
• Matters to be Completed Prior to the Issuance of an Authorization Certificate (PDF)
• Verified List of Stockholders (PDF)
• Affidavit of Payment of Capital Stock (PDF)
• Oath of Directors (PDF)
• Director's Affiliations Form (PDF)
• Taxpayer ID Form (PDF)

Shelf Charter

Information and Procedure for the Organization of a Shelf Charter under New York Banking Law.

• Information and Procedure

Other Applications and Forms

1. Merger/Acquisition/Holding Company Application
2. Change of Control Application (bank/trust company/stock-form savings bank/stock-form savings and loan association)
3. Permission to Open and Occupy a Branch Office (PDF) (bank/trust company/savings bank/savings and loan association)
4. Application for a Change of Location; Application for a Change of Designation of Principal Office (PDF)
5. Change of Location (Temporary)
6. Public Accommodation Office (PDF)
7. Branch Closing Report
8. Notice of Intent to Establish or Share an Electronic Facility
9. Application for Trust Powers (Savings Banks/Savings & Loan Associations)
10. Issuance of Subordinated Securities (Savings Banks/Savings & Loan Associations)
11. Conversion of Savings Bank from Mutual to Stock Form (PDF)
12. Formation of a Mutual Holding Company by a Mutual Savings Bank
13. Conversion of Savings & Loan Association into Savings Bank
14. Application to Convert from Federal to State Charter (Savings & Loan Association)
15. Merger of a Savings Bank or Savings & Loan Association into a Savings Bank
16. Merger of a Savings Bank or Savings & Loan Association into a Savings and Loan Association
17. Change in By-Laws (Savings & Loan Association)
18. Domestic Representative Office Registration
19. Investment in Subsidiary
20. Application to Convert from Federal to State Charter (Bank/Trust Company)
21. Amended/Restated Organization Certificate
22. Approval of Stock Option Plan
23. Permission for Interlocking Directors and Officers
24. Capital Notes and Debentures Approval
25. Alternative to Basic Banking Account Application
26. Excess Deposits Permission (Bank/Trust Company)
27. Real Estate Equity Investments in Community Development Projects
28. Restricted Word in a Corporate Name or Title
29. Trust activities in New York State (Out-of-State Trust Company)
30. Notice of Intent to Establish and Maintain a Trust Office (PDF)(New York Bank/Trust Company)
31. Notice of Intent to Establish and Maintain a Trust Office in New York (Out-of-State Bank/Trust Company)
32. Wild Card Authorization Request