Managing Individual MU2 Filings (Company)

Understand the process for managing individual MU2 filings, including submitting, updating, and tracking licensing information for company representatives in NMLS.

The Individual (MU2) Form captures required information and disclosures for a company representative who must be associated with a company’s license filing in NMLS (for example, a control person, Qualifying Individual, or branch manager). Companies initiate and manage MU2 filings to support new license applications and ongoing maintenance of existing licenses.

Key points for companies:

  • When MU2 is required: Identifying roles such as direct owners, executive officers, Qualifying Individuals, or branch managers in a Company (MU1) or Branch (MU3) filing typically triggers an MU2 requirement for the individual.
  • Who completes MU2: The individual usually completes and attests to their own MU2. In some cases, a company user with appropriate access may complete sections on the individual’s behalf, subject to policy and attestation rules.
  • Attestation: MU2 filings require attestation by a natural person. The attestation language carries legal significance for the jurisdictions involved.
  • State differences: Specific MU2 expectations (timing, required documentation, role naming conventions) can vary by state. Always consult the state licensing checklists for details.

Company actions covered in the child task topics:

For authoritative definitions, role requirements, and attestation guidance, see the NMLS Policy Guide. For state-specific requirements, consult the state licensing checklists: State Licensing Checklist Compiler.