Amending Legal Name

Submit, modify, or cancel an Advance Change Notice (ACN) for a company legal name change in the Company (MU1) Form, and upload any required ACN documents.

About this task

Use the Identifying Information section of the Company (MU1) Form to amend the company’s legal name. Many state agencies require an Advance Change Notice (ACN) before the effective date of a legal name change. Review the applicable state State Licensing Checklist Compiler for ACN lead-time, documentation, and fee requirements. After entering the new legal name and Effective Date, you must Save and then complete Attest and Submit for the change to be received by regulators.

Procedure

  1. Navigate to the NMLS Login page (State Context).
  2. Log in to your NMLS account.
  3. Select Filing > Company (MU1) from the menu.
    The Company Filing screen is displayed.
  4. Select Create New Filing.
    The Company Form (MU1) opens, beginning on the Business Activities screen.
  5. Open the Identifying Information section.
  6. Select Do you want to amend your legal name? and answer Yes.
  7. Enter the new Legal Name and the Effective Date.
    Note: The Effective Date must be a current or future date, typically up to 120 days out, in accordance with state requirements listed on the applicable Amendment Checklist.
  8. Click Save.
  9. Proceed to Attest and Submit, resolve any completeness check issues, and then attest and submit the filing.
    Note: Some agencies may charge an amendment fee. See NMLS Processing Fees and the state’s Amendment Checklist for details.
  10. To modify a pending legal name ACN, return to Identifying Information and update the New Entity Name and/or Effective Date as needed.
  11. Click Save, then proceed to Attest and Submit to resubmit the change.
    Note: Saving changes updates the Pending Change Notice Type to Amend Creation and moves the item to the Unsubmitted Change Notices list. To undo the amendment, click the Undo icon.
  12. To cancel a pending legal name ACN, in Identifying Information deselect the legal name amendment by answering No to Do you want to amend your legal name?.
  13. Click Save.
    Note: This action cancels the ACN and places it in the Unsubmitted Change Notices list. The Pending Change Notice Type is updated to Cancel Creation. To undo the cancellation, click the Undo icon.
  14. If required by the state agency, upload ACN documents.
    1. Open Document Uploads for the filing and click Add.
    2. Select the Document Type Advance Change Notice.
    3. (Optional) Enter a Comment, then click Browse to select the file and complete the upload.
    Note: ACN uploads are considered proposed documents. On the effective date of the change, re-submit documents under the applicable Document Type (do not re-submit as Advance Change Notice). If no document type fits, follow the state agency’s instructions (for example, mail the document).
    Note: For document guidance, see Document Upload Descriptions and Examples and About the Document Library.