Surety Bond Producer Transaction Reports

Describes the Surety Bond Transaction Report available to Surety Bond Producers in NMLS, including the filter criteria, event types, and field definitions contained in the report.

The Surety Bond Transaction Report lists events that occur for bonds in which the Surety Bond Producer served as the broker of record at the time of, or subsequent to, each event. Each transaction record reflects the bond’s details as they existed when the event occurred, including the most recent revision information available in NMLS.

The report can be accessed from the Reports tab in NMLS and downloaded for reconciliation or recordkeeping. Complete field definitions appear in Surety Bond Producer Report Field Definitions.

Report Availability

Report data is generated according to the following NMLS system rules:

  • “As of Date” Reports: Requests made Monday–Thursday include data current as of the previous day. Requests made Friday–Sunday include data current as of the preceding Thursday.
  • “Since Date” Reports: Requests made Monday–Thursday include data through the previous day. Requests made Friday–Sunday include data through the preceding Thursday.

Filter Criteria

The report can be filtered by the following criteria in the Reports tab:

  • Company ID
  • Date Range (up to 30 days; future dates not allowed)
  • Surety Bond Transaction Type
  • Include Rider Transactions
Note: Filters allow users to refine results by company or date range to capture only those bonds for which the producer acted as broker of record during the reporting period.

Transaction Events Captured

The report returns the following surety bond transaction types for all bonds associated with the producer:

  • Signed by Surety / Rider Signed by Surety
  • Signed by Licensee / Rider Signed by Licensee
  • Delivered to Regulator / Rider Delivered to Regulator
  • Broker of Record Change
  • Notice of Cancellation
  • Cancellation Notice Rescinded
  • Cancelled
  • Reinstated
  • Returned to Surety
  • Returned to Surety by Regulator
  • Declined by Licensee
  • Revised Form Bond Issued
  • Voided

Key Report Fields

Field Name Description
Bond Transaction Type Indicates the type of surety bond transaction returned based on the selected filters.
Transaction Date Date the event occurred.
Action Taken By (User) Full name of the user who initiated the transaction.
Action Taken By (Entity Type / Name) Specifies whether the action was taken by a Surety Company, Surety Bond Producer, Licensee, or the system, and provides the entity name.
Bond Number The bond number entered by the surety entity when the bond was created in NMLS.
Bond Effective Date The effective date of the bond as recorded in NMLS.
Bond Amount The bond amount as reported in the surety bond record.
Underwriting Company / NAIC ID The name and NAIC identifier of the surety company underwriting the bond.
Principal Name and NMLS ID The licensed company or individual covered by the bond and their NMLS identifier.
Regulator (Obligee) The state agency that licenses the principal and is the beneficiary of the bond.
Rider Change Category / Revision Effective Date Identifies the type of amendment made and the date the change became effective.
Converted / Revised Form Bond Required Indicates whether the bond was converted from a paper version or requires issuance of a revised form bond.
Report Current As Of / Generated Time Displays the system date and time when the report was generated.

Usage Notes

Use this report to monitor bond activity, confirm the timing and status of events, and verify that transactions involving your organization as broker of record are accurately recorded in NMLS. Data can be exported for reconciliation with your internal tracking or regulatory reporting systems.

Note: The report data is limited to bonds associated with the requesting Surety Bond Producer. Do not distribute exported report data beyond authorized internal users.