MMC Second Information Request

SECOND REQUEST FOR MULTI-STATE EXAMINATION

Licensee: Examination Period: April 01, 200X through March 31, 200X Request Date: May 22, 200X Due Date: June 22, 200X

1. Loan Register/Log of all closed first mortgage loans closed in XXXXX’s name for the period beginning April 01, 200X through March 31, 200X. (Please provide in Microsoft Excel and separate each state by tab).

2. Loan Register/Log of all closed second mortgage loans closed in XXXXX’s name for the period beginning April 01, 200X through March 31, 200X. (Please provide in Microsoft Excel and separate each state by tab).

3. Loan Register/Log of all closed first mortgage loans brokered by XXXXX for the period beginning April 01, 200X through March 31, 200X. (Please provide in Microsoft Excel and separate each state by tab).

4. Loan Register/Log of all closed second mortgage loans brokered by XXXXX for the period beginning April 01, 200X through March 31, 200X. (Please provide in Microsoft Excel and separate each state by tab).

5. Loan Register/Log of all first mortgage loans withdrawn and denied for the period beginning April 01, 200X through March 31, 200X. (Please provide in Microsoft Excel and separate each state by tab).

6. Loan Register/Log of all second mortgage loans withdrawn and denied for the period beginning April 01, 200X through March 31, 200X. (Please provide in Microsoft Excel and separate each state by tab).

7. List of all Investors who you sold loans to during the current examination period. Provide copies of correspondent agreements, if applicable.

8. Copies of all credit report invoices for the current examination period.

9. List of all current corporate, branch, and net branch locations. Include address, phone number, fax number, date opened, date relocated (if applicable) in Microsoft Excel. Please include the states that each location conducts business in.

10. List of all terminated/closed corporate, branch, and net branch locations. Include address, phone number, fax number, date opened, date closed in Microsoft Excel. Please include the states that each location conducts business in.

11. List of all current employees. Include employee’s name, hire date, job title, and branch location in Microsoft Excel format. 12. List of all terminated employees during the current examination period. Include employee’s name, hire date, termination date, job title, branch location, and reason for termination in Microsoft Excel format.

13. Provide a separate list of all current loan officers. Include loan officer’s name, hire date, branch location, and list each state that the loan officer originates loans.

14. Provide a separate list of all terminated loan officers. Please include loan officer’s name, hire date, termination date, reason for termination, branch location, and list each state that the loan officer originated loans.

15. Copies of Employment Contracts, Indemnity Agreements, and Net Branch Contracts.

16. Provide copies of all lease agreements.

17. Continuing Education records for the current examination period.

18. Payroll Records (W-2’s and 1099’s) for all employees for 200X and 200X.

19. Payroll Register for all employees for 200X.

20. 200X and 200X Federal and State Payroll Tax Filings.

21. 200X and 200X Federal and State Income Tax Returns.

22. Provide copies of bank statements (operating and escrow accounts) for the current examination period.

23. Provide a copy of the check register(s) or cash disbursement journal(s) for the current examination period.

24. Cash Receipt records for all advance fees received by loan applicants.

25. Provide copies of the credit card statements for the current examination period.

26. Copies of all warehouse line of credit agreements.

27. Copies of all fidelity bonds. Copies of fidelity liability insurance held on employees, if any.

28. List of all affiliates (include address and phone number of each affiliate), and a summary of each affiliates business function.