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Arizona Revised Statutes - Title 6 Banks and Financial Institutions - Chapter 9 Mortgage Brokers, Mortgage Bankers and Loan Originators

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  • 6-901 - Definitions
    In this article, unless the context otherwise requires: 1. "Affiliate" means an entity which directly or indirectly, through one or more intermediaries, controls, is controlled...
  • 6-902 - Exemptions
    A. This article does not apply to: 1. A person who does business under any other law of this state, or law of any other...
  • 6-903 - Licensing of mortgage brokers required; qualifications; application; bond; fees; renewal
    A. A person shall not act as a mortgage broker if the person is not licensed under this article. A person who brokers only commercial...
  • 6-904 - Issuance of license; renewal; inactive status; branch office license; application; fee
    A. The superintendent, on determining that the applicant is qualified and has paid the fees, shall issue a mortgage broker's license or a commercial mortgage...
  • 6-905 - Denial, suspension or revocation of licenses
    A. The superintendent may deny a license to a person or suspend or revoke a license if the superintendent finds that an applicant or licensee:...
  • 6-906 - Required accounting practices and records; escrow of monies; disclosure
    A. Every mortgage broker shall keep and maintain at all times correct and complete records as prescribed by the superintendent which will enable him to...
  • 6-907 - Required disclosure to investors
    A. Before payment of any money by an investor in connection with a mortgage loan, a licensee shall provide to an investor that is not...
  • 6-908 - Testing committee; testing of applicants; approval by superintendent; definition
    A. The superintendent shall establish a testing committee to create, periodically update and establish standards for passing a test for mortgage brokers. The committee shall...
  • 6-909 - Prohibited acts
    A. Except for employment verifications, verifications of mortgages and loans, and deposit or account verifications, a person, in connection with or incidental to the making...
  • 6-910 - Noncompliance not to affect validity of loan
    A failure to comply with this article does not affect the validity or enforceability of any debt, mortgage, deed of trust or any other lien...
  • 6-911 - Active military duty; compensation
    Notwithstanding any other law, a mortgage broker who is a member of the Arizona national guard, the United States armed forces reserves or the regular...
  • 6-912 - Certificate of exemption
    A. A person who is exempt from licensure pursuant to articles 1, 2 and 3 of this chapter as a federally chartered savings bank that...
  • 6-913 - Conversion to commercial mortgage broker license
    Notwithstanding section 6-903, a person who holds a mortgage broker license may convert it to a commercial mortgage broker license by applying in a manner...
  • 6-941 - Definitions
    In this article, unless the context otherwise requires: 1. "Affiliate" means an entity which directly or indirectly, through one or more intermediaries, controls, is controlled...
  • 6-942 - Exemptions
    A. This article does not apply to: 1. A person who does business under any other law of this state, or any other state while...
  • 6-943 - Licensing of mortgage bankers required; qualifications; application; bond; fees; renewal
    A. A person shall not act as a mortgage banker if he is not licensed under this article. B. The superintendent shall not grant a...
  • 6-944 - Issuance of license; renewal; branch office license; application; fee
    A. If the superintendent determines that the applicant has met the requirements set forth in section 6-943, subsection C, is qualified and has paid the...
  • 6-945 - Denial, suspension or revocation of licenses
    A. The superintendent may deny a license to a person or suspend or revoke a license if the superintendent finds that an applicant or licensee:...
  • 6-946 - Required accounting practices and records; refundable deposits; periodic impoundment payments; disclosure
    A. Every mortgage banker shall keep and maintain at all times correct and complete records clearly reflecting the financial condition of the business as prescribed...
  • 6-947 - Prohibited acts
    A. Except for employment verifications and deposit or account verifications, a person in connection with or incidental to the making of any mortgage banking loan...
  • 6-948 - Noncompliance not to affect validity of loan
    A failure to comply with the provisions of this article does not affect the validity or enforceability of any debt or any mortgage, deed of...
  • 6-949 - Conversion to mortgage broker license
    Notwithstanding any other law, a licensee who funds in the aggregate one hundred fifty or fewer loans in the immediately preceding calendar year may apply...
  • 6-971 - Definitions
    In this article, unless the context otherwise requires: 1. "Affiliate" means an entity that directly or indirectly, through one or more intermediaries, controls, is controlled...
  • 6-972 - Exemptions
    This article does not apply to: 1. Institutional investors. 2. A person who funds a commercial mortgage loan that was originated and processed by a...
  • 6-973 - Licensing commercial mortgage bankers required; qualifications
    A. A person shall not act as a commercial mortgage banker without a license issued under this article. B. A person who engages in commercial...
  • 6-974 - Application for license; issuance or denial; fees
    A. A person shall apply for a license or for a renewal of a license in writing on the forms, in the manner and accompanied...
  • 6-975 - Bond or other security
    A. Each licensed commercial mortgage banker shall deposit with the superintendent, before doing business as a commercial mortgage banker, a bond executed by the licensee...
  • 6-976 - Responsible individual; employees
    A. A license entitles the licensee and all officers, directors, members, partners, trustees and employees of the licensee to engage in commercial mortgage banking if...
  • 6-977 - Displaying and using license number
    A. A licensee shall prominently display the commercial mortgage banker license in the office of the commercial mortgage banker. B. A licensee or an employee...
  • 6-978 - Consent of superintendent for transferring, assigning or acquiring control of licensee; definition
    A license is not transferable or assignable and control of a licensee may not be acquired through a stock purchase or any other device without...
  • 6-979 - Principal place of business; branch office license; change of address
    A. Each licensed commercial mortgage banker shall designate and maintain a principal place of business in this state to transact business. The license shall specify...
  • 6-980 - Annual renewal; expiration on failure to renew
    A. For licenses approved on or before March 31, 2009: 1. Licenses that are not renewed by March 31, 2009 are suspended, and the licensee...
  • 6-981 - Inactive status
    A. For licenses approved on or before March 31, 2009, a licensee may request inactive status for the following license year, and the license shall...
  • 6-982 - Denial, suspension or revocation of licenses
    A. The superintendent may deny a license to a person or suspend or revoke a license if the superintendent finds that an applicant or licensee:...
  • 6-983 - Required accounting practices and records; escrow of monies; disclosure
    A. A commercial mortgage banker shall keep and maintain at all times correct and complete records as prescribed by the superintendent that will enable the...
  • 6-984 - Prohibited acts
    A. Except for employment verifications and deposit or account verifications, a person shall not induce, require or permit any document in connection with making a...
  • 6-985 - Noncompliance not to affect validity of loan
    A failure to comply with a provision of this article does not affect the validity or enforceability of any debt or any mortgage, deed of...
  • 6-991 - Definitions
    In this article, unless the context otherwise requires: 1. "Affiliate" means an entity that directly or indirectly, through intermediaries, controls, is controlled by or is...
  • 6-991.01 - Exemptions
    This article does not apply to: 1. Registered loan originators. 2. An individual who offers or negotiates terms of a residential mortgage loan secured by...
  • 6-991.02 - Prohibited acts
    A. A loan originator acting on the loan originator's own behalf shall not accept any monies or documents in connection with an application for a...
  • 6-991.03 - Licensing; renewal; qualifications; application; fees
    A. A natural person shall not act as a loan originator unless licensed under this article. B. The superintendent shall not grant a loan originator...
  • 6-991.04 - Issuance of license; notice from employing mortgage broker, mortgage banker or consumer lender or registered exempt person; renewal; inactive status; address change; fee
    A. The superintendent, on determining that an applicant is qualified and has paid the required fees, shall issue a loan originator's license to the applicant...
  • 6-991.05 - Denial, suspension or revocation of licenses
    A. The superintendent may deny a license to a person or suspend or revoke a license if the superintendent finds that an applicant or licensee:...
  • 6-991.06 - Loan originator examination committee; membership
    A. The superintendent shall establish a loan originator examination committee to establish and periodically update standards for passing an examination for loan originators. B. The...
  • 6-991.07 - Examination; fee; definition
    A. Each applicant for an original loan originator license, before issuance of the license, shall take and pass an examination given under the supervision of...
  • 6-991.08 - Reasonable efforts to secure advantageous loan for borrower
    A loan originator shall make reasonable efforts to secure a loan that is reasonably advantageous to the borrower considering all of the circumstances, including the...
  • 6-991.09 - Mortgage recovery fund; liability limits
    A. The superintendent shall establish and maintain a mortgage recovery fund consisting of the monies received by the superintendent pursuant to this article for the...
  • 6-991.10 - Payments to the mortgage recovery fund
    6-991.10. Payments to the mortgage recovery fund A. In addition to any other fees, applicants shall pay an amount to be determined by the superintendent...
  • 6-991.11 - Statute of limitations; service of summons; application for payment; insufficient monies; definition
    A. An action for a judgment that subsequently results in an order for payment from the mortgage recovery fund shall be started no later than...
  • 6-991.12 - Notice of claim to judgment debtor; response
    A. Within the same time prescribed by section 6-991.11, subsection C for applying for payment from the mortgage recovery fund, an aggrieved party who applies...
  • 6-991.13 - Correction of deficiencies in the application
    A. If the superintendent determines that a claimant's application fails to comply substantially with the requirements of section 6-991.11 or rules adopted pursuant to this...
  • 6-991.14 - Investigation and discovery
    In considering and investigating an application, the department may use all appropriate means of investigation and discovery that are available pursuant to this article.
  • 6-991.15 - Final decision and order on claim; notice
    A. The superintendent shall make a final written decision and order on a claim within ninety calendar days after receiving a completed application except in...
  • 6-991.16 - Claimant's right to appeal denial of claim; service of notice of appeal; response; failure to file response
    A. A claimant whose application is denied pursuant to section 6-991.15 may file within six months after receiving notice of a denial of the claim...
  • 6-991.17 - Superintendent's standing in court
    The superintendent may enter an appearance, file an answer, appear at the court hearing, defend the action or take whatever other action the superintendent considers...
  • 6-991.18 - Subrogation of rights; collection
    A. Before receiving payment from the fund, a claimant must complete and execute, as judgment creditor, an assignment of judgment lien and notice of subrogation...
  • 6-991.19 - Waiver of rights
    The failure of an aggrieved person to comply with all of the provisions of this article constitutes a waiver of any rights.
  • 6-991.20 - Effect of article on disciplinary action
    This article does not limit the authority of the superintendent to take disciplinary action against any licensee for a violation of this chapter or of...
  • 6-991.21 - Financial services fund; use of fund
    A. The financial services fund is established consisting of loan originator fees collected pursuant to this article. The superintendent shall administer the fund for the...
  • 6-991.22 - Noncompliance not to affect validity of loan
    Failure to comply with this article does not affect the validity or enforceability of any debt, mortgage, deed of trust or any other lien interest...
  • Last modified: February 19, 2012