Additional Requirements

Documents required by the states you are applying to or licensed in.

General/State-Specific

State-Specific

Document Description(s)

Refer to the State Licensing Checklist Compiler for documents required by the states you are applying to or licensed in. This document type shall not be used for anything beyond the specified requirements.

File Name Format

[State Abbreviation] – [Requirement Name] (e.g., MN - Telecommuting Statement)

Amendments

Existing document must be removed and replaced by new document. Will not be processed unless old document is removed.

Examples

State-specific forms and/or state-specific policies.

Does Not Include

Any documents that can be categorized under any other Document Upload Types. Any documents that include Personal Identifying Information or sensitive information (i.e., Information Technology Audit), information related to criminal background/history checks, etc.

Upload Location

INDIVIDUAL FILING (MU2/MU4)

Note: See About the Document Library for more information on what regulators and company users can view in NMLS.