Individual Document Upload List and Document Viewing Restrictions
All documents are encrypted when stored in the NMLS database. The individual user whose record the documents pertain to will have no restrictions on viewing the documents or the related details. Viewing restrictions are enforced in Pending Filings, Historical/Print Filings, and Composite View.
Last updated: September 2016
| Document Name | Document Type | REGULATOR USER1 | COMPANY USER | ||
|---|---|---|---|---|---|
| Ability to View Presence of Doc. Restricted To | Ability to Open Document Restricted To1 | Ability to View Presence of Doc. Restricted To | Ability to Open Document Restricted To | ||
| Credit Report Explanations | General | No Restriction | Regulator User with Filing Relevance and View Credit Report Information role | Company User with Company Access | Not Permitted2 |
| Legal Name/Status Documentation | General | No Restriction | Regulator User with Filing Relevance and View Confidential Information role | Company User with Company Access | Company User with Company Access and View Confidential Information role2 |
| Memorandum of Tax Certification | State-specific | No Restriction | Regulator User with Filing Relevance and View Confidential Information role | Company User with Company Access | Company User with Company Access and View Confidential Information role2 |
| Personal Financial Statement3 | State-specific | No Restriction | Regulator User in Identified State with Filing Relevance and View Confidential Information Role | Company User with Company Access | Not Permitted2 |
| Verification of Experience | State-specific | No Restriction | No Restriction | Company User with Company Access | Company User with Company Access |
| State Background Check Authorization3 | State-specific | No Restriction | Regulator User in Identified State with Filing Relevance and View Confidential Information Role | Company User with Company Access | Company User with Company Access and View Confidential Information role2 |
1 Filing Relevance means the regulator is relevant to a filing on
which the document was submitted because the individual or a
company/branch the individual has an active MU2 association
with: i) is submitting a license/transition request to the state
regulator’s agency in connection with the filing; or ii)
currently holds an active license with the state regulator
user’s agency at the time of the filing. With respect to
individual document uploads, a regulator will only be able to
open and view the document if the state has Filing Relevance to
a filing the document was included on.
2 A company user that uploads
a new document to an individual filing or replaces an existing
document with a new document will be able to open and view the
document on the pending filing or print filing view of the
pending filing, but not after submission.
3 MU2 Only