Compliance Premium is a step up from our compliance Essentials program, adding NMLS updates and renewal support. This plan is completely customizable to the needs of your brokerage, flexing up as you move into more states or expand your staff!
- Assistance with ongoing NMLS updates
- Assist with advanced change notice requirements for selected state(s). Will make any necessary MU1 changes, assist with sponsorship of new employees and collect any required documents.
- Annual State Renewal
- Collect all required renewal items for purchased state(s) from broker and walk through submission. Please note, state renewal fees are the clients’ responsibility.
- Renewal of one LO
- Collect all required renewal items for purchased state(s) from broker and walk you through submission. Please note, state renewal fees are the clients’ responsibility
- 4 MCRs from the date of signing in purchased state(s)
- Request and review MCR data. SCP consultant will enter all data into the NMLS and provide instructions from submission.
- Annual financial condition filing
- Request and review financial data. SCP consultant will enter all data into the NMLS and provide instructions from submission.
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