C.F.R. » Title 12 » CHAPTER I—COMPTROLLER OF THE CURRENCY, DEPARTMENT OF THE TREASURY › PART 4—ORGANIZATION AND FUNCTIONS, AVAILABILITY AND RELEASE OF INFORMATION, CONTRACTING OUTREACH PROGRAM, POST-EMPLOYMENT RESTRICTIONS FOR SENIOR EXAMINERS › Subpart C—Release of Non-Public OCC Information

12 C.F.R. § 4.32

Definitions

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(a) Complete request means a request containing sufficient information to allow the OCC to make an informed decision.

(b) Non-public OCC information. Non-public OCC information:

(1) Means information that the OCC is not required to release under the FOIA (5 U.S.C. 552) or that the OCC has not yet published or made available pursuant to 12 U.S.C. 1818(u) and includes:

(i) A record created or obtained:

(A) By the OCC in connection with the OCC's performance of its responsibilities, such as a record concerning supervision, licensing, regulation, and examination of a national bank, a Federal savings association, a bank holding company, a savings and loan holding company, or an affiliate; or

(B) By the OTS in connection with the OTS's performance of its responsibilities, such as a record concerning supervision, licensing, regulation, and examination of a Federal savings association, a savings and loan holding company, or an affiliate;

(ii) A record compiled by the OCC or the OTS in connection with either agency's enforcement responsibilities;

(iii) A report of examination, supervisory correspondence, an investigatory file compiled by the OCC or OTS in connection with an investigation, and any internal agency memorandum, whether the information is in the possession of the OCC or some other individual or entity;

(iv) Confidential OCC information obtained by a third party or otherwise incorporated in the records of a third party, including another government agency;

(v) Testimony from, or an interview with, a current or former OCC employee, officer, or agent or a former OTS employee, officer, or agent concerning information acquired by that person in the course of his or her performance of official duties with the OCC or OTS or due to that person's official status at the OCC or OTS; and

(vi) Confidential information relating to operating and no longer operating national banks, Federal savings associations, and savings and loan holding companies as well as their subsidiaries and their affiliates.

(2) Is the property of the Comptroller.

(c) Relevant means could contribute substantially to the resolution of one or more specifically identified issues in the case.

(d) Show a compelling need means, in support of a request for testimony, demonstrate with as much detail as is necessary under the circumstances, that the requested information is relevant and that the relevant material contained in the testimony is not available from any other source. Sources, without limitation, include the books and records of other persons or entities and non-public OCC records that have been, or might be, released.

(e) Supervised entity includes a national bank or Federal savings association, a subsidiary of a national bank or Federal savings association, or a Federal branch or agency of a foreign bank licensed by the OCC as defined under 12 CFR 28.11(g) and (h), or any other entity supervised by the OCC.

(f) Testimony means an interview or sworn testimony on the record.

[60 FR 57322, Nov. 15, 1995, as amended at 63 FR 62929, Nov. 10, 1998; 64 FR 29216, June 1, 1999; 75 FR 75576, Dec. 3, 2010; 76 FR 43562, July 21, 2011]
Notes of Decisions
Cited in 6 cases (2 in the last 5 years), 2002–2026 · leading case: Hasie v. Off. of the Comptroller of the Currency of the United States, 633 F.3d 361 (5th Cir. 2011).
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Hasie v. Off. of the Comptroller of the Currency of the United States, 633 F.3d 361 (5th Cir. 2011). · cites it 4× “The OCC also asserted in that communication that SARs and SAR-related documents fall within the definition of non-public OCC information in 12 C.F.R. § 4.32 (b); are confidential and privileged; “[are] the property of the Comptroller,” as provided in 12 C.”
Bizcapital Bus. & Indus. Dev. Corp. v. Off. of Comptroller of the Currency of the United States, 406 F. Supp. 2d 688 (E.D. La. 2005). · cites it 2× “The request must include information sufficient to inform the OCC of the nature of the litigation.”
Raffa v. Wachovia Corp., 242 F. Supp. 2d 1223 (M.D. Fla. 2002). “See 12 C.F.R. § 4.32 (b)(i) and (iii). The Regulations require that, without OCC approval, no person, including one in lawful possession of non-public OCC information, may disclose the information except after that person has sought and obtained permission from the OCC or as…”
Wultz v. Bank of China Ltd., 291 F.R.D. 42 (S.D.N.Y. 2013). “at 4 (citing 12 C.F.R. § 4.32 (b)(2)). . See id. at 5 n.”
Stevens v. Flagstar Bank, Nat'l Ass'n (S.D. Miss. 2025). “According to 12 C.F.R. § 4.32 , “non-public” OCC information includes at least the following: (1) “a record created or obtained [ ] by the OCC in connection with the OCC's performance of its responsibilities, such as a record concerning supervision, licensing, regulation, and…”
Natallia P. Voinea v. Td Bank, N.A. (N.J. Super. Ct. App. Div. 2026). “" 12 C.F.R. § 4.32 (b). Federal courts A-0937-25 10 consider SARs to be non-public information.”
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