2849.01. Annual Report Format.
2849.01. Annual Report Format. somebody2849.01. Annual Report Format.
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:
________________________________________________________________________________________________________
________________________________________________________________________________________________________
______________________________________________________________
1
Report Data Article 7 Other
Loans 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 REFINANCE
3
LOANS PREVIOUSLY NEGOTIATED BY
REPORTING BROKER OR AFFILIATE
4
1) Number ............................................................ _______ _______
2) Aggregate Principal Amount ........................... $ _______ $ _______
C. BALLOON PAYMENT AND INTEREST-
ONLY LOANS
1) Number ............................................................ _______ _______
2) Aggregate Principal Amount ........................... $ _______ $ _______
D. LOANS COVERED UNDER FINANCIAL
11
CODE SECTION 4970
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
3
PREVIOUSLY NEGOTIATED BY
4
REPORTING BROKER OR AFFILIATE
1) Number ............................................................ _______ _______
2) Aggregate Principal Amount ........................... $ _______ $ _______
B. BALLOON PAYMENT AND INTEREST-
ONLY LOANS
1) Number ............................................................ _______ _______
2) Aggregate Principal Amount (at maturity) ...... $ _______ $ _______
C. PRINCIPAL (BROKER FUNDED) LOANS
RESOLD
1) Single Purchaser
a) Number ......................................................... _______ _______
b) Aggregate Selling Price ............................... $ _______ $ _______
2
2) Multiple Purchasers (Fractionalized)
a) Number ......................................................... _______ _______
b) Aggregate Selling Price ............................... $ _______ $ _______
c) Aggregate Number of Purchasers ................. $ _______ $ _______
D. LOANS COVERED UNDER FINANCIAL
CODE SECTION 4970
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1) Number ............................................................ _______ _______
2) Aggregate Principal Amount ........................... $ _______ $ _______
III. COSTS AND EXPENSES PAID BY
BORROWERS TO THE BROKER IN
ORIGINATED LOAN TRANSACTIONS
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Total ............................................................................ $ _______ $ _______
Retained by Broker or Affiliate for Services ............... $ _______ $ _______
IV. LOANS FOR BROKER’S USE OR All Loans/Sales
BENEFIT [B&P Code Section 10231.2]
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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)
CONTRACTS AS AGENT OR PRINCIPAL
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[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 Serviced ........... __________________
C. Total Dollar Amount of Payments Collected
from the Borrowers During the Reporting Period
including Payoffs ................................................ $ __________________
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D. Total Dollar Amount of Payments Collected
from the Borrowers on Fractionalized Loans
During the Reporting Period, including Payoffs $ __________________
10
E. Total Dollar Amount of Loans Serviced ............. $ __________________
9
F. Total Dollar Amount of Fractionalized Loans
Serviced ............................................................. $ __________________
10
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 LICENSE NUMBER
LICENSED OFFICER (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.
Footnotes
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.
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