Licensing Examinations and Applications

How do I assign a user to a Supervisory Activity in the State Examination System?

The SES (State Examination System) automates audits SA's (Supervisory Activity). Here's how to add a user to your SA

What Are Compliance Audits?

When a regulator or investor requests compliance audits, what are they looking for?

AML - Going into a review, should I buy a new AML plan even if I've already got one

The plan you previously had in place is the one that should be reviewed, even if you end up buying a new one.

How to add Contributors to an SES Examination

The SES (State Examination System) is connected to the NMLS system. Adding people and updating documents is similar to that architecture.

Alaska SES Examinations...

Are a bear

Business Plans for Licensing

Regulators often ask for business plans. Do you really need to write a business plan? The answer lies in reading the actual request.

MY REGULATOR SAID MY POLICIES AND PROCEDURES WERE TOO BIG FOR MY COMPANY?

You probably submitted more than what the regulator requested

What are Independent AML Reviews/Audits?

It's a Federal rule, but states can enforce it. Some states are more specific than others.

Washington Examination - Responding to an SES Request

Washington's examination is pretty straightforward, until you get into the details

How to Collaborate with a Third Party in an SES Exam

Adding a 3rd party can save you time and money and make your process easier. Use the SES system to maximize your communication and avoid long email chains and multiple documents

North Carolina - New License Application

How to find your required items in your policies and procedures

New York Examinations

New York Brokers are getting examination requests in droves. Here's what to expect and how we can help.

Mississippi SES Exam

It looks pretty straightforward for the first few questions, then suddenly becomes overwhelming to source the answers. We can help

Contract Employees and Employees of Contractors MUST be licensed

Still seeing unlicensed contractors in support roles - LOA, Processor, Underwriter, Marketers