California Code of Regulations › Title 10 - Investment › Chapter 6 - Real Estate Commissioner › Article 16 - Mortgage Loan Brokerage › Section 2849.01 - Annual Report Format

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
For reports submitted to the Bureau, the following format
				  shall be used by a real estate broker who meets the criteria of section
				  10232 and/or 10238 of the Code for
				  the annual report required by section
				  10232.2(c)
				  and
				  10238(p).
MORTGAGE LOAN/TRUST DEED ANNUAL REPORT
(Business and Professions Code Section
				  10232.2(c) or
				  10238(p))
___________________________
Name of Reporting Broker (Corporation or
						  Individual)
___________________________
Principal Business Address
This report covers mortgage loan brokerage and trust deed and
				  from (month/day/year) to (month/day/year) real property sales contract
				  transactions for the period from (
month, day, year
) to
				  (
month, day, year
).
During the reporting period, mortgage loan/trust deed
				  business activities were conducted by the reporting broker and his affiliates
				  at the following address(es) in addition to the principal business address
				  above:
___________________________
___________________________
___________________________
Report
						  Data
Article
						  71
						  Loans
Other
						  Loans
I.
LOANS ORIGINATED AS AGENT
						  (B&P Code Section
						  10131(d))..........................
TOTAL LOANS
Number..........................
___________________________
___________________________
Aggregate Principal
						  Amount..........................
$
___________________________
$
___________________________
Total Commissions Received from
						  All Loans Originated as
						  Agent..........................
$
___________________________
$
___________________________
A.
MULTIPLE LENDER LOANS
						  (FRACTIONALIZED)2
1)
Total Number of
						  Loans..........................
___________________________
___________________________
2)
Aggregate Principal
						  Amount..........................
$
___________________________
$
___________________________
3)
Aggregate Number of
						  Investors..........................
___________________________
___________________________
B.
LOANS TO
						  REFINANCE3 LOANS PREVIOUSLY NEGOTIATED BY REPORTING
						  BROKER OR
						  AFFILIATE4
1)
Number..........................
___________________________
___________________________
2)
Aggregate Principal
						  Amount..........................
$
___________________________
$
___________________________
C.
BALLOON PAYMENT AND
						  INTEREST-ONLY LOANS
1)
Number..........................
___________________________
___________________________
2)
Aggregate Principal
						  Amount..........................
$
___________________________
$
___________________________
D.
LOANS COVERED UNDER
						  FINANCIAL CODE SECTION
						  4970
												11
1)
Number..........................
___________________________
___________________________
2)
Aggregate Principal
						  Amount..........................
$
___________________________
$
___________________________
II.
LOANS ORIGINATED AS PRINCIPAL
						  (FUNDED BY BROKER) FOR RESALE (B&P Code Section
						  10131.1)..........................
TOTAL LOANS
Number..........................
___________________________
___________________________
Aggregate Principal
						  Amount..........................
$
___________________________
$
___________________________
Loan Origination Fees (Points) of
						  all Loans Originated as Principal Funded for
						  Resale..........................
$
___________________________
$
___________________________
A.
LOANS TO REFINANCE
						  LOANS PREVIOUSLY NEGOTIATED BY REPORTING BROKER OR
						  AFFILIATE
1)
Number..........................
___________________________
___________________________
2)
Aggregate Principal
						  Amount (at
						  maturity)..........................
$
___________________________
$
___________________________
B.
BALLOON PAYMENT AND
						  INTEREST-ONLY LOANS2
1)
Number..........................
___________________________
___________________________
2)
Aggregate Principal
						  Amount (at
						  maturity)..........................
$
___________________________
$
___________________________
C.
PRINCIPAL (BROKER
						  FUNDED) LOANS RESOLD
1.
Single
						  Purchaser..........................
a)
						  Number..........................
___________________________
___________________________
b) Aggregate Selling
						  Price..........................
$
___________________________
$
___________________________
2.
Multiple Purchasers
						  (Fractionalized)2
a)
						  Number..........................
___________________________
___________________________
b) Aggregate Selling
						  Price..........................
$
___________________________
$
___________________________
c) Aggregate Number of
						  Purchaser..........................
___________________________
___________________________
D.
LOANS COVERED UNDER
						  FINANCIAL CODE SECTION
						  4970
												11
1)
Number..........................
___________________________
___________________________
2)
Aggregate Principal
						  Amount..........................
$
___________________________
$
___________________________
III.
COSTS AND EXPENSES PAID BY
						  BORROWERS TO THE BROKER IN ORIGINATED LOAN
						  TRANSACTIONS5..........................
Total..........................
$
___________________________
$
___________________________
Retained by Broker or Affiliate
						  for
						  Services..........................
$
___________________________
$
___________________________
IV.
LOANS FOR BROKER'S USE OR
						  BENEFIT (B&P Code Section
						  10231.2)
All
						  Loans/Sales
A.
Total
						  Number..........................
___________________________
B.
Number of
						  Fractionalized
						  Loans..........................
___________________________
C.
Aggregate Amount
						  Borrowed..........................
$
___________________________
V.
SALES OF NOTES AS AGENT (B&P
						  Code Section
						  10131(e))..........................
TOTAL LOANS
A.
.Number.........................
___________________________
B.
Aggregate Selling
						  Price..........................
$
___________________________
C.
Commissions
						  Received..........................
$
___________________________
D.
Multi-Lender Sales
						  (Fractionalized)
1)
Number of
						  Loans..........................
___________________________
2)
Aggregate number of
						  Lenders/Investors..........................
___________________________
3)
Aggregate Selling
						  Price..........................
$
___________________________
4)
Commissions
						  Received..........................
$
___________________________
VI.
RESALES AS PRINCIPAL OF NOTES
						  PURCHASED BY BROKER (B&P Code Section
						  10131.1)
TOTAL LOANS
A.
Number..........................
___________________________
B.
Aggregate Purchase
						  Price..........................
$
___________________________
C.
Aggregate Resale
						  Price..........................
$
___________________________
D.
Multi-Lender Resales
						  (Fractionalized)
1)
Number of
						  Loans..........................
___________________________
2)
.Aggregate number of
						  Investors.........................
___________________________
3)
Aggregate Selling
						  Price..........................
$
___________________________
4)
Commissions
						  Received..........................
$
___________________________
VII.
SALES OF REAL PROPERTY SALES
						  (RPS) CONTRACTS7 AS AGENT OR PRINCIPAL (B&P Code
						  Sections 10131(e) and
						  10131.1)
A.
Number..........................
___________________________
B.
Aggregate Selling
						  Price..........................
$
___________________________
VIII.
NOTE AND RPS CONTRACT
						  SERVICING
A.
.Total Number of Notes
						  and/or Contracts Serviced During Reporting
						  Period.........................
___________________________
B.
Number of
						  Fractionalized Notes
						  Serviced10..........................
___________________________
C.
Total Dollar Amount of
						  Payments Collected from the Borrowers During the Reporting Period including
						  Payoffs8..........................
$
___________________________
D.
Total Dollar Amount of
						  Payments Collected from the Borrowers on Fractionalized Loans during the
						  Reporting Period, including
						  Payoffs10..........................
$
___________________________
E.
Total Dollar Amount of
						  Loans
						  Serviced9..........................
$
___________________________
F.
Total Dollar Amount of
						  Fractionalized Loans
						  Serviced10..........................
$
___________________________
G.
Total Late Charges
						  Received During the Reporting
						  Period..........................
$
___________________________
H.
Total Late Charges
						  Retained by
						  Broker..........................
$
___________________________
I.
Number of Loans
						  Prepaid..........................
$
___________________________
J.
Total Amount of
						  Prepayment Penalties Paid by
						  Borrowers..........................
$
___________________________
K.
Total Amount of
						  Prepayment Penalties Retained by
						  Broker..........................
$
___________________________
L.
Total Other Broker
						  Charges for
						  Servicing..........................
$
___________________________
M.
Number of Notices of
						  Default
						  Filed..........................
$
___________________________
N.
Number of Trustee's
						  Sales, Judicial Sales or Deeds in Lieu of Foreclosure
						  Recorded..........................
___________________________
CERTIFICATION
To the best of my knowledge and belief the information
				  contained in this report is true and correct.
___________________________
SIGNATURE OF BROKER OR DESIGNATED LICENSED
						  OFFICER
DATE
___________________________
PRINTED NAME OF BROKER OR DESIGNATED LICENSED
						  OFFICER
LICENSE NUMBER(REPORTING BROKER)
___________________________
NAME OF CORPORATION
BUSINESS TELEPHONE
						  NUMBER
If reporting broker is an individual licensee, he/she must
				  sign this report. If reporting broker is a corporate licensee, the
				  corporation's designated licensed officer must sign this report.
__________
1.
				ARTICLE 7 LOANS -- Loans of less than $30,000 secured by first deeds of trust
				on dwellings and loans of less than $20,000 secured by junior deeds of trust on
				dwellings.
2. MULTIPLE LENDER LOAN
				(FRACTIONALIZED) -- A loan funded through the sale of or offer to sell a series
				of notes secured directly by an interest in the same real property, or the sale
				of undivided interests in a note secured directly by real property equivalent
				to a series transaction.
3. LOAN TO
				REFINANCE -- A loan funded within 90 days of the maturity date of an existing
				obligation of the borrower in which 75 percent or more of the proceeds made
				available to the borrower are applied to pay off the existing
				obligation.
4. AFFILIATE -- Any
				entity in which an individual reporting broker or an officer, director or
				shareholder of a corporate reporting broker has more than a nominal financial
				interest or from whom the reporting broker receives any form of compensation
				for the referral of business in connection with the reporting broker's mortgage
				loan activities. Should the affiliate meet the criteria of Section
				10232, a separate report must be
				compiled and submitted for each entity.
5. COSTS AND EXPENSES -- For services
				enumerated in Section
				10241(a)
				(appraisal fees, escrow fees, title charges, notary fees, recording fees,
				credit investigation fees) and any other charge made to the borrower. Total
				amount and amount retained by the broker, an affiliate or subsidiary.
6. A purchase or loan transaction in which
				the broker directly or indirectly obtained the use or benefit of the funds
				other than for commissions, fees, costs and expenses.
7. REAL PROPERTY SALES (RPS) CONTRACTS -- As
				defined in Section
				10029
				of the Business and Professions Code:
"Real property sales contract" as used in this part is an
				  agreement wherein one party agrees to convey title to real property to another
				  party upon the satisfaction of specified conditions set forth in the contract
				  and which does not require conveyance of title within one year from the date of
				  formation of the contract.
8. Includes payments collected on behalf of
				obligors.
9. Outstanding principal
				of each note on the last day of the fiscal year or the reporting period
				including fractionalized (multi-lender) loans.
10. Fractionalized (multi-lender) loans
				only.
11. Refer to Financial Code
				Section
				4970(a) through
				(e) for the definition of a covered
				loan.
1. New section
				  filed 7-12-91; operative 8-11-91 (Register 91, No. 44).
2. Amendment
				  filed 11-8-93; operative 12-8-93 (Register 93, No. 46).
3. Amendment
				  of section and NOTE filed 11-9-2000; operative 12-9-2000 (Register 2000, No.
				  45).
4. Amendment of section and NOTE filed 2-28-2006; operative
				  3-30-2006 (Register 2006, No. 9).
5. Amendment of section and NOTE
				  filed 8-29-2007; operative 9-28-2007 (Register 2007, No. 35).
6.
				  Change without regulatory effect amending first paragraph filed 6-30-2014
				  pursuant to section
				  100, title 1, California Code of
				  Regulations (Register 2014, No. 27).
Note: Authority cited: Sections
					 10080,
					 10232
					 and
					 10232.2,
					 Business and Professions Code. Reference: Sections
					 10232,
					 10232.2,
					 10236,
					 10240,
					 10241
					 and
					 10245,
					 Business and Professions Code; and Sections
					 4970 and
					 4979,
					 Financial Code.