Annual and Quarterly Reporting

Overview of recurring financial and activity reporting obligations for licensed companies in NMLS, including annual financial statements, call reports, and Uniform Authorized Agent Reporting (UAAR).

Licensed companies are required to submit various annual and quarterly reports through NMLS to maintain compliance with state regulatory requirements. These reports provide regulators with updated information about a company’s financial position, business activities, and, where applicable, authorized agent locations. Requirements and due dates may vary by state and license type, and failure to file on time may result in regulatory action.

Core reporting obligations include:

Refer to the NMLS Policy Guide for detailed policy requirements, and consult the applicable state State Licensing Checklist Compiler for specific reporting schedules and instructions.