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Appendices
Document Upload Descriptions and Examples
Descriptions and examples of the different types of documentation available for upload to NMLS.
Documents Available for Upload to Company and Branch Filings (MU1/MU3)
Descriptions and examples of the different types of documentation available for upload to Branch Filings in NMLS.
Business Continuity Operational Status Report
A Business Continuity Operational Status Report provides specific detail on a company’s implementation of its Business Continuity Plan during a specific critical threat, including a disaster.

Appendices
- Appendix 1
  Addressing inconsistency between licensee’s NMLS record and state files during Transition.
- GLOSSARY
- Providing Disclosure Explanations
  How to provide disclosure explanations in NMLS.
- Document Upload Descriptions and Examples
  Descriptions and examples of the different types of documentation available for upload to NMLS.
  - Documents Available for Upload to Company and Branch Filings (MU1/MU3)
    Descriptions and examples of the different types of documentation available for upload to Branch Filings in NMLS.
    - ACN Related Documents
    - Additional Requirement(s)
      These are state-specific requirements, such as state-specific forms, proof of workers compenation, state-specific polices, etc.
    - AML/BSA Policy
      Anti-Money Laundering (AML) / Bank Secrecy Act (BSA) Policy
    - Branch Written Agreement
      The contract between the branch manager and licensee, and the leasing agreement between the property owner and the branch, but does not include company level lease agreements.
    - Business Continuity Plan
      A Business Continuity Plan is the process and documentation that describes how a company plans, prevents, maintains, and/or recovers essential functions, systems, processes, and other business operations involving threats to the business, including during a disaster.
    - Business Continuity Operational Status Report
      A Business Continuity Operational Status Report provides specific detail on a company’s implementation of its Business Continuity Plan during a specific critical threat, including a disaster.
    - Business Plan
      A business plan outlining marketing strategies, products, target markets, fee schedule and operating structure the applicant intends to employ.
    - Certificate of Authority / Good Standing
      A state-issued and approved document (typically by the Secretary of State’s office), dated not more than 60 days prior to the filing of the application through NMLS that demonstrates authorization to do business.
    - Company Staffing and Internal Policies
      Document(s) shall include information on staffing and internal organizational policies and procedures.
    - Debt Management Agreement
      A written contract, plan or agreement between a debt management provider and a consumer for performance of debt management services.
    - Designation of Branch Qualified Employee
      The Designation of Qualified Employee for the Branch location is a document required by a small number of states.
    - Document Samples
      Copies of sample documents, contracts and agreements used in the regular course of business. This does not include Debt Management Agreements, Mortgage Servicing Agreements, Policies and Procedures or any document that contains a date of birth (DOB) or social security number (SSN).
    - Errors and Omissions (Insurance Policy)
      Upload proof of errors and omissions insurance protecting the applicant from liability arising from a negligent act, error or omission in the performance of professional service. If applicable, include power of attorney (POA).
    - Fidelity Bond
      Upload a fidelity bond in the amount required by the applicable State. The name of the principal insured on the bond must exactly match the Full Legal Name of the applicant.
    - Flow of Funds Structure
      This document is only required by a small number of states providing a description of each type of transaction or service to be conducted.
    - Formation Document
      A state certified copy of the corporate charter or articles of incorporation (if a corporation), or the articles of organization and operating agreement (if a limited liability company), or the partnership agreement (if a partnership of any form).
    - Management Chart
      The management chart displays the applicant’s directors, officers, and managers (individual name and title) and identifies the compliance reporting and internal audit structure.
    - Mortgage Servicing Agreement
      Any written agreement or contract related to mortgage servicing rights.
    - Organizational Chart/Description
      A chart showing the ownership percentages of direct and indirect owners, affiliates, and subsidiaries.
    - Permissible Investments
      A list of the company's permissible investments, and the book or market value of such investments as of the date of the most recent audited financial statement and as of the date of the unaudited interim financial statement.
    - Surety Bond
      Copies of the original surety bond, riders, verification, and continuaiton certificates.
    - Surety Bond – Alternate Security Device
      This document should be provided when an alternate device other than an electronic surety bond is permitted per jurisdiction requirements.
    - Trade Name/Assumed Name Registration Certificates
      A state-issued document demonstrating authorization to do business under an Other Trade Name.
    - Trust Account Authorization
      Authorization allowing examination of trust accounts used for the purpose of holding funds belonging to others.
    - Warehouse Line of Credit Documentation
      Documentation of Warehouse Lines of Credit. Add documentation of new active lines of credit and remove terminated or expired (inactive) lines of credit.
  - Documents Available for Upload to Individual Filings (MU2/MU4)
    Descriptions and examples of the different types of documentation available for upload to individual filings in NMLS.
- About the Document Library
  Document requirements are determined by the specific license requirements outlined in the Agency Guidance section of your MU4 filing. There are no standard documents required for every application; required uploads vary depending on your agency’s licensing guidance.

Business Continuity Operational Status Report

A Business Continuity Operational Status Report provides specific detail on a company’s implementation of its Business Continuity Plan during a specific critical threat, including a disaster.

General/State-Specific

General

Document Description(s)

A Business Continuity Operational Status Report provides specific detail on a company’s implementation of its Business Continuity Plan during a specific critical threat, including a disaster. The Report, which shall note the specific threat, shall include, but not be limited to, the status of its essential functions, systems, processes, and other business operations. Click here to access the Business Continuity Operational Status Report.

File Name Format

[Company Legal Name] Business Continuity Operational Status Report – [Threat/Incident] - [As of Date (MM-DD-YYYY)]

Amendments

An Amendment is a change to the existing document. Existing Business Continuity Operational Status Report must be removed and replaced with the amended plan.

Does Not Include

Any documents, including Policies or Procedures detailing routine business processes

Upload Location

COMPANY FILING (MU1)

Contact the NMLS Call Center with any questions: 1-855-665-7123
Monday - Friday from 9:00AM to 9:00PM ET
Available from all U.S. States and Territories.