DOCUMENT UPLOADS
Updated: 10/2/2015
Copyright © State Regulatory Registry LLC
NMLS includes functionality that allows a company to upload documentation required for
Company (MU1) and Branch (MU3) applications as required by your state regulator.
To ensure that you are uploading the correct document types, see the
Document Upload
Descriptions and Examples
.
NOTE: Images in this document reflect the MU1 Document Upload process. While the
instructions are accurate for uploading a document for both MU1 and MU3 filings, the screens
may differ slightly.
How to Upload a Document
1. Log into your NMLS company account and click the Filing tab.
2. Click Company (MU1) or Branch (MU3) link on the submenu.
3. Click the Create New Filing button (see Figure 1).
NOTE: If you already have a pending filing created, select the Edit
icon to continue
with the pending filing.
Figure 1: Create New Filing
4. Click the Document Uploads link on the left navigation panel.
5. Click the Add button (see Figure 2).
Updated: 10/2/2015
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NOTE: For documents pertaining to an MU1:
To update a document that has already been uploaded in NMLS, click the
Amend button next to the desired document.
To delete a document that has been uploaded in NMLS, click the Delete button
next to the document.
Figure 2: Add a Document
6. Select the Document Type from the Document Type drop-down menu.
NOTE:
See the
Document Upload Descriptions and Examples
for more information on
the documents available for upload.
If the selected document type is a state-specific document, different versions of
the document may be uploaded for each of the states in which the company or
branch is seeking licensure. Select the State from the State drop-down menu.
Advance Change Notice documents are considered proposed documents to
supplement a change requiring advance notice to a state agency. Final
documents must be re-submitted as of the effective date as another Document
Type.
Comments are optional.
7. Click the
Browse…
button and select the appropriate file for the document.
8. Click the Add button (see Figure 3).
Updated: 10/2/2015
Copyright © State Regulatory Registry LLC
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Figure 3: Uploading a Document
9. Review/complete the remainder of your filing.
10. Click the Attest and Submit link on the left navigation panel.
11. If all completeness checks pass, select the verification checkbox.
NOTE: If completeness check errors exist, select the hyperlink for the section that
requires attention and make the correction. Return to the Attest and Submit section to
submit the filing.
12. Click the Attest and Submit button (see Figure 3).
Figure 4: Attest and Submit
Updated: 10/2/2015
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When uploading a document in NMLS:
Only upload documents that are applicable to the type of documents you selected from
the Document Type drop down (If you select to
upload a Business Plan, the only
document type provided should be a specific business plan for your company.)
If you have multiple documents for one document type, they should be combined into
one PDF and uploaded as one document
The File name of the document should indicate the type of document being uploaded.
(Ex. When uploading a business plan, the file name should reference “business
plan as
of mm/dd/yy” or “Articles of Incorporation” when uploading your art
icles of incorporation.)
See the
Document Upload Descriptions and Examples
for more information.
Provide comments if you need to explain anything about the documents being provided.
NOTE: NMLS does not currently provide the ability to upload all documents a state
agency may require. You should not upload documentation into NMLS that is not
available for selection. You may still need to provide documentation outside NMLS as
indicated on the applicable
State Checklist found on the NMLS Resource Center
.
Deletion of Uploaded Documentation
NMLS will store all documents that have been uploaded on your record. If you need to delete a
document for any reason, you can do so; however the system will still store your previously
uploaded filings historically.
If a state is not satisfied with the documentation that was provided, they may request you to
provide new documentation.
For additional information on what documentation should be submitted through NMLS, consult
your state specific checklist or state regulator. For help on system navigation, contact the NMLS
Call Center at 1-855-NMLS-123 (1-855-665-7123).