Identifying Affiliates and Subsidiaries

Learn how to complete the Affiliates and Subsidiaries section of the MU1 form by disclosing related entities that share common ownership or control with your company.

About this task

Use the Affiliates and Subsidiaries section in the Company MU1 Filing to disclose any entities that share common ownership or control with your company. This requirement ensures transparency in corporate structure and compliance with state regulatory standards. For definitions of affiliates and subsidiaries and state-specific guidance, refer to the NMLS Policy Guide.

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 Affiliates and Subsidiaries section of the MU1 form.
  6. Click Add to create a new entry.
  7. Enter the Legal Name of the affiliate or subsidiary.
  8. Select whether the entity is an Affiliate or Subsidiary.
  9. Provide details of the entity’s relationship to your company (e.g., shared ownership, control structure).
  10. Indicate whether the entity provides financial or settlement services, if applicable.
  11. Optional: Attach any supporting documentation if required by state regulators.
  12. Click Save to record the affiliate or subsidiary information.