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599-M - Required Records and Reporting.

NY Banking L § 599-M (2019) (N/A)
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(a) A change in his or her primary residence address;

(b) Any felony conviction or pending felony charges; any charge of or conviction with respect to a misdemeanor involving financial services or a financial services related business; or any charge or conviction involving fraud, false statements or omissions, theft or wrongful taking of property, bribery, perjury, forgery or extortion subsequent to initial authorization;

(c) Any termination of or resignation from employment of affiliation with an originating entity;

(d) Any initiation, settlement or resolution of any complaint, action or proceeding brought against him or her by a state or federal governmental unit or self-regulatory organization in connection with a financial services-related activity or business or involving fraud, misrepresentation, consumer deception, larceny or perjury;

(e) Any initiation, settlement or resolution of any other civil action or proceeding against him or her involving fraud, misrepresentation, larceny or perjury; and

(f) Any other matters as directed by the superintendent.

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599-L - Reports by the Superintendent; Permissive Challenges by Licensees.
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599-N - Enforcement Authority; Grounds for Suspension or Revocation of a Mortgage Loan Originator License; Restitution.