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Illinois exam glossary

Prepayment penalty

A penalty question is never solved by finding one percentage. First ask whether the loan is allowed to contain the term. Then identify federal and Illinois limits, the payoff event, the year, and the correct amount base. Only after those gates do you calculate a charge.

Last updated: August 1, 2026

What does this exam area cover?

Short answer: A prepayment penalty charges the borrower for paying principal before its scheduled due date. Regulation Z permits it on only a narrow fixed-rate, non-higher-priced Qualified Mortgage, requires a no-penalty alternative, caps the charge at 2 percent in years one and two and 1 percent in year three, and prohibits it after three years. Illinois adds creditor and transaction restrictions, including a written alternative offer for covered licensees and no penalty when the secured dwelling is sold or destroyed. The stricter applicable rule governs.

Official section
National IV: Financing
Broker weight
10% of the national broker portion
Expected scored items
Financing accounts for about 10 of 100 items

This guide follows the PSI Illinois Candidate Information Booklet effective June 24, 2026, current Regulation Z sections 1026.32 and 1026.43, Fannie Mae and Freddie Mac Form 3200, Illinois Interest Act section 4, Residential Mortgage License Act section 5-8, High Risk Home Loan Act section 30, and Installment Sales Contract Act section 60, all checked through August 1, 2026. Coverage, federal preemption, creditor exemptions, loan purpose, rate, lien, property, high-cost status, and contract date require specific analysis.

What is on the official outline?

Topic
Define the charge
What to know
principal, early payment, full payoff, partial prepayment, curtailment, refinance, open-end termination, fee, premium, rider, and loan term
Best exam move
The charge exists because principal is paid or the plan is ended before its contractual due time.
Topic
Read the documents
What to know
promissory note, rider, Loan Estimate, Closing Disclosure, payoff statement, mortgage, amendment, modification, penalty period, amount, and event
Best exam move
Disclosure identifies the term; the executed credit documents establish the contractual obligation subject to law.
Topic
Separate covered mortgage rules
What to know
Regulation Z, covered transaction, dwelling, Ability-to-Repay, Qualified Mortgage, fixed rate, higher-priced, APOR, APR, term, and exemption
Best exam move
A covered mortgage can contain a penalty only if every section 1026.43(g) gate is satisfied.
Topic
Require fixed-rate QM
What to know
qualified mortgage, fixed rate, non-higher-priced, APR, average prime offer rate, consummation, balloon, adjustable rate, interest-only, negative amortization, and eligibility
Best exam move
An ARM or higher-priced covered transaction fails the federal permission test.
Topic
Apply federal duration
What to know
first year, second year, third year, 36 months, consummation, anniversary, incurred, prohibited after period, shorter contract, and payoff date
Best exam move
No federal section 1026.43(g) penalty can apply after the three-year period.
Topic
Apply federal amount
What to know
outstanding loan balance prepaid, 2%, 2%, 1%, partial prepayment, full payoff, contract cap, lower amount, calculation, and refund
Best exam move
Use the amount of outstanding balance prepaid, not original principal, for the federal calculation.
Topic
Offer an alternative
What to know
no penalty, fixed APR, same loan type, creditor portfolio, mortgage broker, established business relationship, creditor options, good faith, and consumer choice
Best exam move
A creditor cannot offer the penalty loan without also presenting a qualifying fixed-rate no-penalty alternative.
Topic
Prohibit high-cost penalties
What to know
HOEPA, high-cost mortgage, principal dwelling, APR trigger, points-and-fees trigger, penalty trigger, more than 36 months, more than 2%, and prohibition
Best exam move
Once the transaction is a high-cost mortgage, Regulation Z prohibits the penalty.
Topic
Apply Illinois licensee offer
What to know
205 ILCS 635/5-8, licensee, no-penalty loan, written offer, borrower initials, decline, rate discount, disclosure, mortgage loan, and arrangement
Best exam move
The covered licensee documents both the alternative and the pricing benefit offered for accepting the penalty.
Topic
Apply Illinois ceiling
What to know
3%, 2%, 1%, total loan amount, first 12 months, second 12 months, third 12 months, fixed-rate period, first adjustment date, and three years
Best exam move
State ceiling does not override a lower federal ceiling; use the stricter applicable result.
Topic
Protect sale or destruction
What to know
Illinois, residential mortgage loan, dwelling, sale, destruction, insurance proceeds, payoff, prohibited penalty, closing, and title transfer
Best exam move
Section 5-8 bars the penalty when prepayment is connected with sale or destruction of the secured dwelling.
Topic
Apply Illinois interest rule
What to know
815 ILCS 205/4, residential real estate, mortgage, installment purchase, interest above 8%, exceptions, prepayment charge, interest after payoff, daily interest, and scope
Best exam move
Illinois Interest Act restrictions add another screen and cannot be reduced to a universal one-line rule because listed loan categories are excepted.
Topic
Protect installment buyers
What to know
765 ILCS 67/60, installment sales contract, covered seller, outstanding principal, scheduled payment date, similar fee, finance charge, and prohibition
Best exam move
A covered Illinois installment-contract seller may not collect a prepayment penalty or similar charge.
Topic
Distinguish excluded charges
What to know
payoff statement, reconveyance, release document, recording fee, lien satisfaction, charged on every payoff, bona fide third-party waiver, guarantee fee, and minimum finance charge
Best exam move
A fee imposed regardless of whether payoff is early is not necessarily a prepayment penalty under the federal definition.
Topic
Handle waived costs
What to know
bona fide third-party charge, creditor waiver, recapture, 36 months, amount waived, excess recapture, prepayment penalty definition, and closing-cost loan
Best exam move
Recapture of the exact waived bona fide third-party cost can fit the exception; excess recapture can be a penalty.
Topic
Separate voluntary and default payoff
What to know
borrower prepayment, acceleration, foreclosure, default, maturity, refinance, sale, destruction, insurance, condemnation, and contract trigger
Best exam move
A default acceleration is not automatically the same event as borrower-elected prepayment.
Topic
Disclose the term
What to know
Loan Estimate, Loan Terms, yes or no, maximum amount, timing, Closing Disclosure, corrected form, added penalty, new three-day wait, note, and rider
Best exam move
Adding a penalty after the initial Closing Disclosure restarts the TRID waiting period.
Topic
Calculate the payoff
What to know
principal, daily interest, escrow balance, release fee, late charge, authorized advance, penalty base, percentage, payoff date, expiration, and written quote
Best exam move
Compute the lawful penalty separately from interest and other payoff components.
Topic
Compare loan offers
What to know
interest rate, APR, points, lender credit, penalty, likely holding period, refinance, sale, total cost, monthly payment, and break-even
Best exam move
A lower rate can cost more when a likely early payoff triggers a valid charge.
Topic
Protect the closing
What to know
seller mortgage, payoff letter, sale exception, title company, lender, quote expiration, per diem, release, disputed fee, attorney, and timely request
Best exam move
A broker obtains the payoff issue early and sends enforceability disputes to lender, title, and legal professionals.

Which distinctions produce the most mistakes?

Terms
Prepayment penalty vs. interest
Difference
Interest compensates for use of principal through the payoff date. A penalty adds a charge because principal is paid early.
Question cue
Time cost versus early-exit charge.
Terms
Prepayment penalty vs. late charge
Difference
A prepayment penalty responds to early principal payment. A late charge responds to an overdue installment.
Question cue
Too early versus too late.
Terms
Prepayment penalty vs. acceleration
Difference
A penalty charges for borrower early payment. Acceleration is the creditor's remedy making the full debt due after default or another trigger.
Question cue
Voluntary payoff cost versus default remedy.
Terms
Penalty vs. payoff-statement fee
Difference
A penalty exists because payoff is early. A bona fide document fee imposed on every payoff can fall outside the federal definition.
Question cue
Early-payment condition versus administrative document.
Terms
Soft vs. hard penalty
Difference
Industry usage calls a penalty soft when a sale is exempt but refinance can trigger it, and hard when both can trigger it. Governing documents and law control, not the label.
Question cue
Event-limited versus broader trigger.
Terms
Full vs. partial prepayment
Difference
Full prepayment retires the debt. Partial prepayment reduces principal while the loan continues.
Question cue
Payoff versus curtailment.
Terms
Federal 2%-2%-1% vs. Illinois 3%-2%-1%
Difference
Federal limits use outstanding balance prepaid for a narrow covered mortgage. Illinois section 5-8 states total-loan-amount ceilings for covered licensees.
Question cue
Apply both and use the stricter result.
Terms
Original loan amount vs. outstanding balance
Difference
Original amount is principal at origination. Outstanding balance is principal remaining when prepayment occurs.
Question cue
Illinois and federal formulas can use different bases.
Terms
Penalty period vs. loan term
Difference
The penalty period is the limited early window in which a charge may apply. The loan term runs to scheduled maturity.
Question cue
Early years versus full amortization horizon.
Terms
No-penalty alternative vs. same loan approval
Difference
The creditor must offer a qualifying alternative under applicable rules. Its rate and costs can differ, and underwriting still applies.
Question cue
Required choice versus identical price.
Terms
High-cost mortgage vs. higher-priced mortgage
Difference
High-cost status follows HOEPA triggers and bans penalties. Higher-priced status follows a separate APR threshold and also prevents the federal QM penalty permission.
Question cue
Two distinct Regulation Z categories.
Terms
Disclosure vs. enforceability
Difference
Disclosure tells the borrower the stated term. Enforceability depends on the contract and every applicable federal and state restriction.
Question cue
Term revealed versus term legally collectible.

The P-R-E-P-A-Y check

  1. Pinpoint the charge: identify whether it arises from full payoff, partial principal, refinance, sale, destruction, open-end termination, or default acceleration.
  2. Read the credit documents: find the exact period, percentage, amount base, exemptions, note, rider, and disclosures.
  3. Establish federal permission: confirm coverage, fixed-rate QM status, non-higher-priced status, alternative offer, three-year limit, and 2%-2%-1% ceiling.
  4. Place Illinois limits: identify licensee status, written alternative, rate discount, 3%-2%-1% ceiling, sale or destruction, Interest Act, high-risk loan, and installment contract.
  5. Apply the stricter rule: a contract can use a lower charge or shorter period but cannot exceed controlling law.
  6. Yield the calculation: use the correct balance, year, event, and percentage, then separate penalty from interest, fees, escrow, and payoff adjustments.
Rule
Federal year 1
Period and ceiling
Maximum 2%
Amount base
Outstanding balance prepaid
Rule
Federal year 2
Period and ceiling
Maximum 2%
Amount base
Outstanding balance prepaid
Rule
Federal year 3
Period and ceiling
Maximum 1%
Amount base
Outstanding balance prepaid
Rule
Federal after year 3
Period and ceiling
Prohibited
Amount base
Not applicable
Rule
Illinois licensee years 1, 2, 3
Period and ceiling
Stated 3%, 2%, 1% ceilings
Amount base
Total loan amount
Rule
Illinois dwelling sale or destruction
Period and ceiling
Prohibited
Amount base
Not applicable

How do the rules work in scenarios?

Federal first-year ceiling

Scenario: A qualifying covered mortgage permits the maximum federal penalty. The borrower prepays a $280,000 outstanding balance in year one.

  1. Year one uses a federal maximum of 2 percent.
  2. $280,000 times 0.02 equals $5,600.
  3. Any lower contract or state limit would reduce that result.

Answer: The federal ceiling is $5,600 before applying stricter law.

Federal third-year ceiling

Scenario: A lawful penalty loan has $240,000 outstanding when the borrower prepays the full balance during year three.

  1. The third-year federal percentage is 1 percent.
  2. $240,000 times 0.01 equals $2,400.
  3. The charge must also fit the note and Illinois law.

Answer: The federal ceiling is $2,400.

No penalty after three years

Scenario: A covered mortgage purports to charge 1 percent when the borrower prepays 42 months after consummation.

  1. Forty-two months falls after the federal three-year period.
  2. Section 1026.43(g) does not permit the penalty then.
  3. Contract wording cannot extend the federal maximum period.

Answer: The prepayment penalty is prohibited under the federal covered-mortgage rule.

Illinois sale payoff

Scenario: An Illinois homeowner sells the dwelling in month 18, and the licensed lender's rider states a second-year penalty.

  1. The payoff is connected with sale of the secured dwelling.
  2. Section 205 ILCS 635/5-8(c) prohibits a penalty for that event.
  3. The percentage in the rider does not override the state prohibition.

Answer: The licensee may not collect the prepayment penalty on the stated sale payoff.

ARM fails federal permission

Scenario: A covered adjustable-rate mortgage includes a two-year prepayment penalty and otherwise has affordable terms.

  1. Section 1026.43(g) permits a penalty only for a fixed-rate covered transaction meeting its other tests.
  2. An adjustable-rate loan fails that threshold condition.
  3. A short duration alone does not make the term lawful.

Answer: The covered ARM cannot include the prepayment penalty under the federal rule.

Compare rate concession

Scenario: One mortgage has no penalty at 6.50 percent. Another offers 6.25 percent with a lawful two-year penalty, and the buyer expects to sell in 14 months.

  1. The lower note rate can reduce monthly interest cost.
  2. The expected sale can trigger state or contract consequences, though Illinois section 5-8 prohibits a licensee penalty connected with dwelling sale.
  3. The buyer should compare full projected cost and written enforceability rather than select by rate alone.

Answer: Use the likely payoff event and all governing rules before valuing the rate discount.

Waived cost and excess recapture

Scenario: A creditor waives $3,000 of bona fide third-party costs but requires $4,500 if the consumer prepays in 24 months.

  1. The federal definition can exclude recapture of the exact $3,000 waived bona fide third-party amount.
  2. The additional $1,500 is not recapture of that actual cost.
  3. The excess is a prepayment penalty subject to applicable restrictions.

Answer: $1,500 is treated as a prepayment penalty under the stated federal example.

What are the common exam traps?

Trap
Calling any payoff fee a prepayment penalty
Correction
A bona fide fee imposed on every payoff for documents or lien release can fall outside the definition.
Trap
Calling interest through payoff a penalty
Correction
Interest compensates for principal use through the lawful payoff date; a penalty is an extra early-payment charge.
Trap
Saying every mortgage may contain a penalty
Correction
Federal covered-mortgage permission is limited to a fixed-rate, non-higher-priced QM meeting all conditions.
Trap
Allowing a penalty on an ARM
Correction
A covered ARM fails the fixed-rate requirement in section 1026.43(g).
Trap
Allowing a penalty on a high-cost mortgage
Correction
Regulation Z prohibits it.
Trap
Extending the federal penalty beyond three years
Correction
The permitted period ends after year three.
Trap
Using 3% for the federal first year
Correction
Federal section 1026.43(g) uses 2 percent; 3 percent appears in the separate Illinois licensee ceiling.
Trap
Using original principal for the federal calculation
Correction
Federal percentage applies to the outstanding loan balance prepaid.
Trap
Ignoring the no-penalty alternative
Correction
Federal and Illinois rules require applicable alternative-offer steps before the penalty loan.
Trap
Charging an Illinois penalty on sale of the dwelling
Correction
Section 205 ILCS 635/5-8 prohibits it for covered licensees.
Trap
Applying the Illinois licensee rule to every private person
Correction
Confirm the actor and statutory scope before applying section 5-8.
Trap
Allowing a covered installment seller to charge the fee
Correction
765 ILCS 67/60 prohibits a prepayment penalty or similar charge on the covered contract.
Trap
Treating disclosure as proof of legality
Correction
A disclosed term can still be prohibited or unenforceable under federal or state law.
Trap
Forgetting the TRID restart
Correction
Adding a penalty after the initial Closing Disclosure requires a corrected form and new three-day wait.
Trap
Letting a broker calculate a live disputed payoff
Correction
Obtain the creditor's written quote and route enforceability disputes to title and legal professionals.

Can you answer these original practice questions?

These questions are original study items aligned to the published outline. They are not copied, recalled, or predicted PSI questions.

1. What is a prepayment penalty?

  1. A charge for paying principal before it is due
  2. A fee for paying late
  3. Property tax interest
  4. A brokerage commission
Show answer and explanation

Answer: A charge for paying principal before it is due

The term can cover full or partial prepayment under the agreement and law.

2. Which covered mortgage can potentially contain a federal prepayment penalty?

  1. A fixed-rate, non-higher-priced Qualified Mortgage meeting all other conditions
  2. Any adjustable-rate mortgage
  3. Any high-cost mortgage
  4. Any negative-amortization loan
Show answer and explanation

Answer: A fixed-rate, non-higher-priced Qualified Mortgage meeting all other conditions

The creditor must also make the required no-penalty alternative offer.

3. What is the maximum federal percentage in year one?

  1. 1%
  2. 2%
  3. 3%
  4. 5%
Show answer and explanation

Answer: 2%

The percentage applies to outstanding balance prepaid.

4. What is the maximum federal percentage in year three?

  1. 1%
  2. 2%
  3. 3%
  4. No limit
Show answer and explanation

Answer: 1%

No penalty is permitted after the three-year period.

5. Can a high-cost mortgage include a prepayment penalty?

  1. No
  2. Yes
  3. Only for one year
  4. Only in Illinois
Show answer and explanation

Answer: No

Regulation Z section 1026.32(d) prohibits it.

6. What must a creditor offer with a covered penalty mortgage?

  1. A qualifying fixed-rate alternative without a penalty
  2. A higher penalty loan only
  3. A cash purchase
  4. A home warranty
Show answer and explanation

Answer: A qualifying fixed-rate alternative without a penalty

The alternative-offer conditions protect meaningful consumer choice.

7. What does Illinois section 205 ILCS 635/5-8 prohibit?

  1. A penalty connected with sale or destruction of the secured dwelling
  2. Every payoff statement fee
  3. All mortgage interest
  4. All partial principal payments
Show answer and explanation

Answer: A penalty connected with sale or destruction of the secured dwelling

The section applies to covered residential mortgage licensees and transactions.

8. A lawful federal penalty loan has $200,000 outstanding in year two. What is the federal ceiling?

  1. $2,000
  2. $4,000
  3. $6,000
  4. $10,000
Show answer and explanation

Answer: $4,000

$200,000 times 2 percent equals $4,000 before stricter contract or state limits.

9. Does the standard Fannie Mae and Freddie Mac fixed-rate note impose a prepayment charge?

  1. No
  2. Yes, always 2%
  3. Yes, always 3%
  4. Only after maturity
Show answer and explanation

Answer: No

Current Form 3200 permits full or partial principal prepayment without a charge.

10. What happens if a prepayment penalty is added after the initial Closing Disclosure?

  1. A corrected disclosure and new three-business-day waiting period are required
  2. Nothing
  3. The appraisal is canceled
  4. The deed automatically records
Show answer and explanation

Answer: A corrected disclosure and new three-business-day waiting period are required

An added prepayment penalty is one of TRID's three restart events.

How should you study this area?

Session
Session 1
Focus
Define and classify charges
Proof you are ready
Sort 35 penalty, interest, late charge, payoff statement, release, waived-cost recapture, guarantee, curtailment, and acceleration scenarios.
Session
Session 2
Focus
Apply federal gates
Proof you are ready
Audit 30 fixed, ARM, QM, higher-priced, high-cost, three-year, alternative-offer, and creditor-portfolio facts.
Session
Session 3
Focus
Calculate 2%-2%-1%
Proof you are ready
Solve 30 full and partial prepayments using outstanding balances, anniversary dates, lower contract caps, and expiration.
Session
Session 4
Focus
Apply Illinois layers
Proof you are ready
Review 30 licensee, written-offer, rate-discount, 3%-2%-1%, sale, destruction, Interest Act, high-risk, and installment-contract scenarios.
Session
Session 5
Focus
Read disclosures and payoff
Proof you are ready
Reconcile the Loan Estimate, Closing Disclosure, note, rider, payoff statement, per diem, escrow, release, and penalty in two files.
Session
Session 6
Focus
Run P-R-E-P-A-Y
Proof you are ready
Audit two Illinois payoff scenarios, score at least 90 percent, and explain every missed distractor aloud.

Do not count recognition as mastery. Close the notes and explain the rule, apply it to a new fact pattern, and identify why each distractor fails.

Practice the topic in Pass Illinois

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Pass Illinois gives you original national and Illinois questions, topic-by-topic study, clear explanations, timed practice, flashcards, progress tracking, and Math Coach. Start free, find the weak distinction, and focus the next session there.

Questions students ask about Prepayment Penalty: Illinois Real Estate Exam Guide

What is a prepayment penalty?

A prepayment penalty is a charge imposed because a borrower pays all or part of loan principal before it is due. The charge can apply to a full payoff, a large principal curtailment, refinance, or termination of an open-end plan, depending on the agreement and law. An ordinary payoff statement or lien-release fee charged regardless of early payment is not automatically a penalty.

Why would a lender charge a prepayment penalty?

A lender can use the charge to offset expected interest or origination economics lost when a loan pays off early. The borrower may receive a pricing concession, such as a lower rate, in exchange. That business reason does not override federal or Illinois restrictions. The penalty must be permitted, disclosed, calculated correctly, and enforceable for the specific creditor, loan, event, and year.

Are prepayment penalties allowed on residential mortgages?

Only in limited circumstances. Regulation Z allows a penalty on a covered mortgage only when the transaction is a fixed-rate Qualified Mortgage that is not higher-priced and the other conditions are met. Federal law bans the charge after three years and caps it at 2 percent in each of the first two years and 1 percent in the third. State law can be stricter.

What mortgage must be offered with no prepayment penalty?

Before a creditor offers a covered transaction with a penalty, Regulation Z requires an alternative covered transaction without one and with an APR that cannot increase after consummation. Additional conditions govern creditor portfolio offers and mortgage-broker transactions. Illinois section 205 ILCS 635/5-8 also requires a licensed lender to make a written no-penalty offer and obtain the borrower's initials declining it.

What are the federal 2%-2%-1% limits?

For the narrow covered mortgage class allowed to contain a penalty, Regulation Z limits the charge to 2 percent of the outstanding loan balance prepaid during the first year, 2 percent during the second year, and 1 percent during the third year. It cannot apply after the three-year period following consummation. A contract can impose a shorter period or lower amount.

What are Illinois' 3%-2%-1% limits?

For a licensee governed by 205 ILCS 635/5-8 after the borrower declines the required written alternative, the state section states ceilings of 3 percent of total loan amount in the first 12-month period, 2 percent in the second, and 1 percent in the third if the fixed period extends three years. Federal law may impose the lower 2%-2%-1% ceiling or prohibit the term entirely.

Can an Illinois lender charge a penalty when the home is sold?

Section 205 ILCS 635/5-8 prohibits a prepayment penalty in connection with the sale or destruction of a dwelling securing a residential mortgage loan. That restriction is an important Illinois exam distinction. A refinance or voluntary curtailment is not automatically the same event, and other state and federal rules still have to be applied.

Can a high-cost mortgage include a prepayment penalty?

No. Regulation Z prohibits a prepayment penalty on a high-cost mortgage. A principal-dwelling loan can itself enter the federal high-cost category if its contract permits a penalty more than 36 months after consummation or account opening, or total penalties exceeding 2 percent of the amount prepaid. Other APR or points-and-fees triggers can also create high-cost status.

Do Fannie Mae and Freddie Mac standard notes charge a prepayment penalty?

The current Multistate Fixed Rate Note Form 3200 states that the borrower may make full or partial principal prepayments without a prepayment charge. Always read the executed note and riders, since an exam may describe a different lawful loan. Do not assume the standard conventional note proves that every mortgage in the market is penalty-free.

Where is a prepayment penalty disclosed?

For a TRID loan, the Loan Estimate and Closing Disclosure state whether the loan has a prepayment penalty and describe the maximum amount and period when applicable. The note or rider creates the contractual term. An added prepayment penalty after the initial Closing Disclosure is one of the three changes that requires a corrected disclosure and a new three-business-day waiting period.

Are these official PSI questions or payoff advice?

No. The questions are original. Primary federal and Illinois sources were checked through August 1, 2026. This is exam education, not a payoff quote, enforceability opinion, lending decision, consumer claim, or legal advice. A live file requires the executed note, rider, disclosures, creditor status, loan type, payoff event, dates, and all applicable federal and state law.

Primary sources

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