Document Uploads
The Document Uploads section allows users to upload and submit PDF documents to regulators.
The Document Upload Descriptions and Examples guide details the types of documents that can be uploaded in connection with a record. Only documents that are available for selection can be provided through NMLS; all other documentation required by a state regulator must be submitted outside NMLS. For more information, consult the state licensing requirements checklists.
Only the applicable document for the Document Type selected can be uploaded in NMLS (e.g., when selecting to upload a business plan, only a business plan document related to the company should be provided).
If you have multiple documents for one Document Type for a specific state, they should be combined into one PDF and uploaded as a single document.
If you have different versions of the same Document Type that are specific to different states (e.g., Certificate of Good Standing for each state in which you operate), upload each state-specific version separately, indicating to which state the document is relevant.
Advance Change Notice Document Type
Documentation submitted in support of an Advance Change Notice is considered proposed. Upon the effective date of the change, documents must be re-submitted under the appropriate Document Type (do not re-submit as Advance Change Notice). If the submission does not fall under an existing Document Type, documents must be submitted directly to the state agency; consult the state's Amendment Checklist for the appropriate license.
Deletion of Uploaded Documentation
NMLS stores all documents that have been uploaded as part of a record. Documents can be deleted or replaced. If you need to delete or replace a document for any reason, you can do so; however, the system maintains previously uploaded documents in a document type historical section on the Composite View page.
The document types that can be uploaded in connection with an individual filing are determined by each state agency. Not all licenses may require or permit all the documents listed below to be uploaded.
- ACN Related Documents
- Additional Requirement(s) (State Required)
- AML/BSA Policy
- Business Plan
- Certificate of Authority/Good Standing Certificate (State required)
- Company Staffing and Internal Policies
- Debt Management Agreement
- Document Samples (State required)
- Error sand Omissions (State required)
- Fidelity Bond (State required)
- Flow of Funds Structure
- Formation Document
- Management Chart
- Mortgage Servicing Agreement
- Organization Chart/Description
- Permissible Investments (State required)
- Surety Bond (State required)
- Trade Name/Assumed Name registration Certificates (State required)
- Trust Account Authorization (State required)
- Warehouse Line of Credit Documentation
- Surety Bond (State required)