Current through Reg. 47, No. 249; December 28, 2021
application forms are hereby incorporated by reference.
(a) Form OFR-U-1, Application for Authority
to Organize a Bank, Savings Bank or Association, Revised 3/2003.
(b) Form OFR-U-28, Application for Authority
to Organize a Trust Company, Revised 3/2003.
(c) Form OFR-U-10, Interagency Biographical
and Financial Report, Revised 3/2003.
(d) Form OFR-U-16A, Application for Authority
to Establish a Branch Office, Revised 11/97 (short form).
(e) Form OFR-U-16, Application for Authority
to Establish a Branch Office, Revised 3/2003 (long form).
(f) Form OFR-U-12, Application for Authority
to Relocate an Office, Effective 11/9, Revised 3/2003.
(g) Form OFR-U-15, Application for Authority
to Exercise Trust Powers, Revised 3/2003.
(j) Form OFR-U-19A, Application for Authority
to Organize a Successor Institution, Revised 3/2003.
(l) Form OFR-U-11, Application for
Certificate of Approval to Purchase or Acquire a Controlling Interest in a
State Bank or Trust Company, Revised 3/2003.
Application forms for all license actions covered by these rules may be
obtained from OFR at no cost. All applications must be in the format required
by OFR. Requests for forms should be sent to:
Office of Financial Regulation
200 East Gaines Street
Tallahassee, Florida 32399-0371
In those cases where OFR also requires
the filing of copies of federal or other application forms, those forms may be
Federal Deposit Insurance Corporation
10 Tenth Street, N. E.
Atlanta, Georgia 30309-3906
Federal Reserve Bank of Atlanta
1000 Peachtree Street, N. E.
Atlanta, Georgia 30309-4470
Office of Thrift Supervision
Atlanta Regional Office
Post Office Box 105217
Atlanta, Georgia 30348
National Credit Union Administration
7000 Central Parkway
Atlanta, Georgia 30328
(3) Filing and Acknowledgment of Application
and Fee. The original and two copies of applications in the format required by
OFR, accompanied by the prescribed fee for the requested license action as set
forth in Section
F.S., shall be filed with OFR at the address indicated in paragraph (2)(a),
above. No application will be deemed filed or received for publication unless
accompanied by the proper filing fee. All filing fees for any license action
covered by these rules are nonrefundable. Upon receipt of the application and
the accompanying fee, the applicant shall be so notified by OFR.
(4) Request for Additional Information. All
information the applicant wants to present in order to support the application
should be submitted with the original filing. The required exhibits in the
application forms are not intended to limit the applicant's presentation of any
of the requirements, but merely represent the minimum information required to
be filed. All additional information and/or complete correction of all errors
or omissions must be submitted within 60 days after requested by OFR.
Applicant's failure to respond to such request within 60 days after the date of
the request shall be construed by OFR as grounds for denial of an application
in accordance with the provisions of Section
120.60(1), F.S., and
the file shall be closed, unless good cause is shown that it remain open.
Should the file be closed pursuant to these provisions, the applicant shall be
(5) Burden of Proof.
It is the applicant's responsibility to prove that the statutory and regulatory
requirements warranting granting of the authority requested by the applicant
Information. All information contained in applications to OFR shall be open for
public inspection, with the exception of information specifically made
confidential by statute. Therefore, confidential information should be
submitted separately from the rest of the application and clearly marked
"confidential." Information contained in applications filed with federal
regulatory agencies, copies of which are submitted to OFR by such agencies,
shall be treated in accordance with the provisions of the appropriate federal
statute. In cases where OFR requires federal forms to be submitted to OFR by
the applicant, public access to the information shall be governed by state
(7) Amendment of Application.
An applicant may amend the application as to those factors generally within the
control or selection of the applicant once, as a matter of course, at any time
within 30 days from its receipt for filing. Otherwise, the application may only
be amended with permission from OFR. A merger agreement may be amended at any
time prior to its approval by the stockholders of the constituent financial
institutions or decision by OFR, whichever occurs first. Requests to make
adverse material changes filed at any time after the application has been
received shall be deemed by OFR to be grounds for denial, and upon such denial
a new application accompanied by the appropriate filing fee shall be required.
Some examples of material changes include changes in the composition of the
board of directors, officers, or stockholders of the institution; location of
the proposed license action; and fixed asset proposal. If OFR grants a request
to make material changes in the application, the amended application will be
treated as a new application with respect to the applicable rules of this
chapter, except that no additional filing fee shall be required. When an
application is denied on the grounds set forth above, the applicant shall be
Information. Upon a request from an applicant, OFR shall permit the filing of
supplemental information external to the application which sets forth evidence
of changing economic conditions and transactions, occurrences, or events having
a bearing on the application and which have taken place since the application
was filed. Such supplemental information must be filed within a reasonable time
after the information is known by the applicants but in no event later than 10
days before the hearing, if one has been requested.
(9) Applications to Locate in the Same
General Area. All applications for similar license actions within the same
general geographic or trade area or affecting overlapping fields of membership
which are filed within any 60 day period shall be processed and considered, as
far as practicable, on a concurrent basis.
Fla. Admin. Code Ann.
Rulemaking Authority 655.012(2) FS. Law Implemented
655.411, 120.60(1), 655.057, 658.19, 658.26, 658.42, 667.003
New 11-1-77, Amended
3-12-79, 5-27-81, 3-28-83, Formerly 3C-9.02, 3C-9.002, Amended 8-14-94,
4-15-98, Formerly 3C-105.102, Amended by
Register Volume 43, Number 220, November 14, 2017 effective