Recommendations For Best Practices


  • As respective state laws allow, implement policies and procedures to conduct periodic criminal background checks to ensure current employees have not become ineligible per O.C.G.A. Section 7-1-1004h while employed.
  • Implement policies and procedures to conduct periodic checks of employees on NMLS Consumer Access for ineligibility per O.C.G.A. Section 7-1-1004(p).
  • Ensure a process is in place that allows for compliance personnel to review any advertisements to be disseminated in Georgia for compliance with advertising and Georgia trade name laws and regulations.     
  • Implement procedures and processes to frequently check for changes to applicable Georgia law and to Department Rules and Regulations.  The Department will post information concerning proposed rules changes on the Department's website at: