NMLS allows state licensees to submit certain changes to their NMLS Record in advance of a desired effective date. This functionality permits state regulators to electronically process future NMLS Record amendments and reduces the forms and filings submitted outside the System.
Companies and branches are able to provide an effective date for the following changes to their NMLS Record:
Company (MU1) Form Advance Change Notice (ACN) Events
- Legal Name
- Main (Corporate) Address
- Other Trade Names
- Affiliates and Subsidiaries
- Legal Status
- Direct and Indirect Owners/Executive Officers
- Qualifying Individuals
Branch (MU3) Form Advance Change Notice (ACN) Events
- Branch Main Address
- Other Trade Names
Additionally, a category* exists within the Document Upload section of the Company and Branch Forms allowing supporting documents with proposed changes to be submitted as part of the ACN filing.
*All documents uploaded under the Document Type of Advance Change Notice in support of an ACN are considered proposed. Licensees must upload a final document on the effective date as an applicable Document Type, or mail documentation to the agency for those types not currently accepted within NMLS (e.g. Main Address documentation).