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Comptroller’s Handbook: Revised ‘Foreword’ Booklet and Rescissions

September 08, 2017 / Source: OCC

Subject: Comptroller’s Handbook
Date: September 7, 2017
To: Chief Executive Officers of All National Banks, Federal Savings Associations, and Federal Branches and Agencies; Department and Division Heads; All Examining Personnel; and Other Interested Parties

Description: Revised ‘Foreword’ Booklet and Rescissions


The Office of the Comptroller of the Currency (OCC) issued today the “Foreword” booklet of the Comptroller’s Handbook. The revised booklet replaces the booklet titled “Foreword” issued on May 6, 2013. This booklet describes the overall organization and format of the Comptroller’s Handbook and lists the booklet titles that compose the handbook. The list will change over time because the OCC periodically issues new booklets on various topics. The OCC also issues revised or updated booklets to reflect changes to laws, regulations, and supervisory policy, including any changes resulting from the integration of national bank and federal savings association rules.

As explained in the “Foreword” booklet, for booklets issued after July 2011, the cover pages display version numbers along with publication dates.1 The “Foreword” booklet also explains the difference between revisions and updates. Booklet revisions involve comprehensive changes. Booklet updates are generally limited in scope, and these updates are summarized in table format at the back of each updated booklet.

Note for Community Banks

This booklet applies to all national banks, federal savings associations, and federal branches and agencies.


The revised booklet

  • describes the organization and format of Comptroller’s Handbook booklets issued since the OTS transfer date in July 2011.
  • explains that the Comptroller’s Handbook is organized into five series:
    • Examination Process
    • Safety and Soundness (this series has seven categories)
    • Asset Management
    • Consumer Compliance
    • Securities Compliance
  • rescinds OCC Bulletin 2013-12, “New and Updated Comptroller’s Handbook Booklets: Foreword Booklet and Refreshed Risk Definitions,” (May 6, 2013).
  • rescinds the “Table of Booklet Title Changes” that was published with OCC Bulletin 2013-12. Changes to booklet titles are now included in appendix A of the “Foreword” booklet.

Further Information

Please contact Sarah Williams-Lopez, National Bank Examiner and Core Policy Analyst, at (202) 649-6770.


Grace E. Dailey
Senior Deputy Comptroller and Chief National Bank Examiner

Related Link

 1 All functions of the former Office of Thrift Supervision (OTS) relating to federal savings associations were transferred into the OCC effective July 21, 2011. Former OTS policies and guidance remain applicable to federal savings associations until those policies and guidance are rescinded, superseded, or revised.