12 C.F.R. § 4.33

Requirements for a request of records or testimony

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(a) Generally—(1) Form of request. A person seeking non-public OCC information must submit a request in writing to the OCC. The requester must explain, in as detailed a description as is necessary under the circumstances, the bases for the request and how the requested non-public OCC information relates to the issues in the lawsuit or matter.

(2) Expedited request. A requester seeking a response in less than 60 days must explain why the request was not submitted earlier and why the OCC should expedite the request.

(3) Request arising from adversarial matters. Where the requested information is to be used in connection with an adversarial matter:

(i) The OCC generally will require that the lawsuit or administrative action has been filed before it will consider the request;

(ii) The request must include:

(A) A copy of the complaint or other pleading setting forth the assertions in the case;

(B) The caption and docket number of the case;

(D) A description of any prior judicial decisions or pending motions in the case that may bear on the asserted relevance of the requested information;

(iii) The request must also:

(A) Show that the information is relevant to the purpose for which it is sought;

(B) Show that other evidence reasonably suited to the requester's needs is not available from any other source;

(C) Show that the need for the information outweighs the public interest considerations in maintaining the confidentiality of the OCC information and outweighs the burden on the OCC to produce the information;

(D) Explain how the issues in the case and the status of the case warrant that the OCC allow disclosure; and

(E) Identify any other issue that may bear on the question of waiver of privilege by the OCC.

(b) Request for records. If the request is for a record, the requester must adequately describe the record or records sought by type and date.

(i) Must show a compelling need for the requested information; and

(ii) Should request OCC testimony with sufficient time to obtain the testimony in deposition form.

(2) Trial or hearing testimony. A requester seeking testimony at a trial or hearing must show that a deposition would not suffice.

Notes of Decisions

Cited in 8 cases (1 in the last 5 years), 2002–2025 · 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× “” IV Hasie contends that the OCC abused its discretion in denying his request for the SARs because (1) the OCC pre-determined that his request would be denied, (2) the factors set forth in 12 C.F.R. § 4.33 all weigh in favor of granting his request, (3) the OCC should not have…”

BizCapital Bus. & Indus. Dev. Corp. v. Comptroller of the Currency of the United States, 467 F.3d 871 (5th Cir. 2006). · cites it 2× “The requestor is required to show — among other things — that the information is relevant to the purpose for which it is sought, that other evidence reasonably suited to the re-questor's needs is not available from another source, that the need for the information outweighs the…”

Wultz v. Bank of China Ltd., 61 F. Supp. 3d 272 (S.D.N.Y. 2013). “13 *280 Here, plaintiffs partially circumvented the conflict by submitting, on September 7, 2012, an administrative request to the OCC for the production of documents pursuant to 12 C.F.R. § 4.33 (the “Touhy request”). 14 The Touhy request was limited to documents in the OCC’s…”

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 7× “Plaintiffs letter fulfilled the technical requirements and offered the showings required by the OCC’s regulations regarding requests for non-public OCC information, 12 C.F.R. § 4.33 . Id. On April 22, 2005, the OCC denied plaintiffs administrative request in a letter (“OCC…”

Raffa v. Wachovia Corp., 242 F. Supp. 2d 1223 (M.D. Fla. 2002). · cites it 3× “37 (b), Plaintiffs are required to request non-public OCC documents through the administrative procedures set forth in 12 C.F.R. § 4.33 (3). Conclusion A determination of discoverability is premature pending a determination by the OCC whether they will release the information…”

Fed. Trade Comm'n v. Marcus (S.D. Fla. 2020). · cites it 2× “9 12 C.F.R. § 4.33 is titled: “Requirements for a request of records or testimony”, and it sets forth procedures for seeking non-public OCC information.”

Stevens v. Flagstar Bank, Nat'l Ass'n (S.D. Miss. 2025). · cites it 2× “may disclose non- 4 12 C.F.R. § 4.33 sets forth the requirements for a request of records or testimony for a person seeking non-public OCC information.”

Wuliger v. Off. of the Comptroller of Currency, 394 F. Supp. 2d 1009 (N.D. Ohio 2005). “The procedure for requesting non-public OCC documents is set forth at 12 C.F.R. § 4.33 . Consideration of a request for nonpublic OCC information and a denial thereto is contained at 12 C.”

— 12 C.F.R. § 4.33(a) — 1 case

Fed. Trade Comm'n v. Marcus (S.D. Fla. 2020). “9 12 C.F.R. § 4.33 is titled: “Requirements for a request of records or testimony”, and it sets forth procedures for seeking non-public OCC information.”

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