OCC Issues Revised ‘Foreword’ Booklet, Rescissions

September 7, 2017

On Thursday, September 7, 2017, the OCC issued 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.


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); and
  • 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.