Mortgage Loan Licensing Compliance Checklist Form
Use this form to confirm mortgage licensing readiness and compliance checklist details for review.
Compliance Entity Details
Organization / Legal Entity Name
*
Primary Contact Name
*
Contact Email
*
example@example.com
Contact Phone Number
*
Please enter a valid phone number.
Format: (000) 000-0000.
Mortgage Licensing Checklist
State/Jurisdiction(s) Where Mortgage Lending Activity Will Occur
*
Alabama
Alaska
Arizona
Arkansas
California
Colorado
Connecticut
Delaware
Florida
Georgia
Hawaii
Idaho
Illinois
Indiana
Iowa
Kansas
Kentucky
Louisiana
Maine
Maryland
Massachusetts
Michigan
Minnesota
Mississippi
Missouri
Montana
Nebraska
Nevada
New Hampshire
New Jersey
New Mexico
New York
North Carolina
North Dakota
Ohio
Oklahoma
Oregon
Pennsylvania
Rhode Island
South Carolina
South Dakota
Tennessee
Texas
Utah
Vermont
Virginia
Washington
West Virginia
Wisconsin
Wyoming
District of Columbia
Puerto Rico
Other
License Type / Status
*
Active
Pending
Exempt
Not Yet Obtained
Not Applicable
Other
NMLS Identifier (if applicable)
Compliance Readiness Checklist
*
Written policies and procedures in place
Required disclosures reviewed and approved
Recordkeeping and retention process established
Supervision and oversight procedures defined
Complaint handling process documented
Training plan for staff and licensed personnel in place
Independent audit or review process established
Other
Attestation and Submission
Attestation
*
I confirm the information provided is accurate and complete and the organization is ready for compliance review.
Comments / Notes
Submit
Should be Empty: