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APPROVED RULES

(f)Company profile, including roles and responsibilities of officers and stockholders;

(g)Copy of actual Stock Ledger;

(h)Copy of Stock certificate (no specimens);

(i)Corporate By-Laws;

(j)Home state certification (out of state vendors);

(k)Proof of ethnicity/gender of stockholders owners (drivers licenses, birth certificates, tribal enrollment documents or passport);

(l)Proof of Purchase if corporation was a buyout;

(m)Proof or verification of start-up investment capital (example: cash investment, opening of business account, equipment bill of sale, bank statement);

(n)Professional Licenses;

(o)Minutes of most recent board meeting;

(p)Résumés of stockholders; and

(q)And two of the following:

(i)Annual Report (filed with the NC Secretary of State);

(ii)Certificate of Assumed Name for Corporation;

(iii)Employer Identification Numbers (Federal and State);

(iv)IRS Tax Form 1120;

(v)IRS Schedule E; or

(vi)IRS Schedule K-1

The HUB Office shall take all necessary steps to safeguard information requested in compliance with State and federal law, including G.S. 14-113.2; 14-113.8(6); 132-1.2; and 132-1.10.

History Note:Authority G.S. 143-48(d1); 143-128.3(e1);

Eff. June 1, 2008.

TITLE 04 – DEPARTMENT OF COMMERCE

04 NCAC 03M .0401ANNUAL REPORTING

REQUIREMENTS

(a)  No later than 90 days after the end of the calendar year, mortgage bankers and mortgage brokers shall file an annual report in a format required by the National Mortgage Licensing System, unless the Commissioner determines that the report is not in the public interest.  In addition, the Commissioner shall require the annual report to be supplemented with additional information about operations, characteristics of loans made, or other similar composite data if the Commissioner determines that this additional information is necessary in order to safeguard the interests of the borrowing public (See G.S. 53-243.04).  Mortgage brokers shall as a part of the annual report provide certification from the insured financial institution holding the
account required under 04 NCAC 03M .0205(a) that the account exists and that the account has contained an average daily balance, for the previous year covered by the annual report of ten thousand dollars ($10,000) or more.
(b)  Mortgage bankers and mortgage brokers shall provide an audited statement of financial condition or a certified statement of financial condition as required by 04 NCAC 03M .0205(a) within 90 days of the end of the licensee's fiscal year.  If not shown in the audited statement of financial condition, mortgage bankers shall provide evidence of available warehouse lines of credit or other funding facilities.  
(c)  Mortgage bankers and mortgage brokers shall provide information on the characteristics of loan originations in an electronic format prescribed by the Commissioner on a quarterly basis within 45 days after the close of the calendar quarter.
(d)  Mortgage bankers, mortgage brokers, and loan officers shall report within 30 days the name of any person suspected of making a material misstatement in connection with the mortgage lending process.  Mortgage bankers and mortgage brokers shall report within 30 days any loan repurchased due to a material misstatement made in connection with the mortgage lending process.

History Note:Authority G.S. 53-243.04;

Eff. April 1, 2003;

Amended Eff. Pending Legislative Review.

TITLE 10A – DEPARTMENT OF HEALTH AND HUMAN SERVICES

10A NCAC 13B .3302MINIMUM PROVISIONS OF

PATIENT'S BILL OF RIGHTS

(a)  A patient has the right to respectful care given by competent personnel.
(b)  A patient has the right, upon request, to be given the name of his attending physician, the names of all other physicians directly participating in his care, and the names and functions of other health care persons having direct contact with the patient.
(c)  A patient has the right to privacy concerning his own medical care program.  Case discussion, consultation, examination, and treatment are considered confidential and shall be conducted discreetly.
(d)  A patient has the right to have all records pertaining to his medical care treated as confidential except as otherwise provided by law or third party contractual arrangements.
(e)  A patient has the right to know what facility rules and regulations apply to his conduct as a patient.
(f)  A patient has the right to expect emergency procedures to be implemented without unnecessary delay.
(g)  A patient has the right to good quality care and high professional standards that are continually maintained and reviewed.
(h)  A patient has the right to full information in laymen's terms, concerning his diagnosis, treatment and prognosis, including information about alternative treatments and possible

22:23                                                               NORTH CAROLINA REGISTER                                           JUNE 2, 2008

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