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msrb gateway user manual

1. Municipal Securities Rulemaking Board All Rights Reserved Te tios fUse 10 230 10 61 Step 3 The Agent Invitation Transfer screen will show who that the invitation was transferred to Agent Invitation Transfer You have trasnferred the invitation to act as an Agent for submitting documents to the MSRB on behalf of the organization named below to GATEWAY GATEWAY Organization Name GRE testing MSRB ID B9999 Phone Number Q Address 1900 Duke st Alexandria VA Continue to Main Memu 52009 Municipal Securities Rulemaking Board All Rights Reserved Terms and Conditions of Use 10 230 10 614 Step 4 The inviting dealer will receive an email to inform him her that the invitation was transferred to another user Municipal Securities Rulemaking Board 57 TABLE OF CONTENTS MSRB Gateway User Manual Gaver feats Besarb org Som Tit 2G DON Loc AM Band Soreporega SS Gibpiiy Spr Gettin e Dapid GATEWAY REBUSN from GRE Business A8883 has transferred your invitation to become your Agent in connection with the submission of EMMA Primary Market Disclosure documents and related information to the MSRB s Electronic Municipal Market Access system EMMA to user GATEWAY GATEWAY from organization GRE Business You may login and approve this agent by going to http www mseb org msrbi control default as PLEASE DO NOT REPLY REPLIES ARE NOT MONITORED This is a system penerate
2. Account Management The menu below provides you with the ability subject to your User Account s Access Rights to manage new and existing MSRB Gateway User Accounts your Organization Profile and any Agent relationships with other companies Make your selection Manage User Accounts Add edit and ofsabie User Accounts for your organization Manage Organization Profile Update contact information for your organization Manage Groups Note this feature is recommended only for large organizations Lse Groups to help organize your organization s User Accounts Manage Agents Designal gt A gents to submit certain information to ISAS systems on your behalf Manage Principals Manage companies who have designated your organization as Agent to submit certain information to MISAB systems on their behalf Manage Continuing Disclosure Requests Process confirmation requests and invite agents for CD submissions View Account Administrators View your organization s Account Administrators 2 Select Add a New Agent to search for agents Municipal Securities Rulemaking Board 49 TABLE OF CONTENTS MSRB Gateway User Manual E cc CTT Agents You can designate Agents to submit certain information to MSEB systems on your organization s behalf Please be advised that all actions taken on MSRB systems on behalf of your co nave designated your C ny St nsibility Care should be i inating Arents to act on your company s behalf
3. Market Information Systems link on the Gateway Main Menu Users who are granted Account Administrator rights will see this reflected as their user role in Gateway in the My Profile box on the Gateway Main Menu MSRB Gateway Main Menu My Profile Welcome to MSRB Gateway Your User Account has the following Access Rights User ID PRANZ Role Account Administrator Click on a section to expand User Name PETER PAN Organization Name Neverland Inc Account and Organization Management MSRE ID ATO5S Manage profile information for your User Account or for your organization Email Address ohamilton msrb ong Market Information Systems Change Password Access MSAB systems used to submit documents and data related to municipal market activity and political contributions gt Rule G 37 Submission gt EMMA Dataport Submit documents and information to EMMA 4 6 Disable User Account e A user with a disabled account can no longer access Gateway and will no longer appear on the organization s User Account Screen e fa user leaves the organization or you would like to restrict a user from accessing the user s Gateway account an Account Administrator can disable the account e A user s account will also disable automatically if no account access rights are granted to that user e Disabling a user account will not delete the user from Gateway once a user account is created it can never be deleted e A disabled use
4. This form is used for a registrant seeking to either file an amended Form G 40 pursuant to rule G 40 bICi or affirm information related to its primary Electronic Mail Contact such changes are automatically considered an amendment or affirmation pursuant to rule G 40 Click on Edit to make changes to your information Once edits are complete click OK to return to this summary page and affirm your G 40 contact information by clicking on the Affirm button below Organizational Details i Organizational Roles Organization Name Neverland Inc 1 Broker dealer Status Authorized MSRB ID AY259 Phone Number 222 222 2222 Ext Broker dealer SEC ID 9999999999 Fax Number Broker dealer CRD Number 8888888 Address 1 123 Any St Address 2 City Any State ST fip 12345 Country G 40 Primary Contact i G 40 Optional Contact First Name Captain None currently defined Middle Name Last Name Hook Name Suffix Email Address chamilton msrb org Phone Number 222 222 2222 Ext Addressi1 123 Any St Address2 City Any State ST Zip 12345 Country I affirm that this information is correct z a Step 2 Click Replace Primary Contact First Name Captain Middle Name Last Name Hook Name Suffix z Email Address chamitton msrb org Confirm Email Phone Number 222 jE 222 zz Ext Address i1 123 Any St OOOO O Address2 S city aw
5. Please keep this temporary key confidential to prevent unauthorized modification of your organization s G 46 registration This temporary key is valid for 45 days or until your first successful submission using it Form RTRS is used by municipal securities dealers to submit and update details about their organization and information required to report municipal securities trade activity in connection with the MSRB s Real Time Transaction Reporting Service RTRS Please go to http www msrb org msrbi pdfs FormRTRSInstructions pdf to print instructions for completing Step 2 Populate fields with information from the email Click Next MSRB Registration To amend your organization s registration you must use the MSRB Registration Number MSRB ID and temporary key sent to you via email to log in below Click here for help If you need your Registration Number please contact MSRB staff at 703 797 6668 If you are the Primary Contact for a registered organization click here to log in If you have forgotten your UserID please contact MSRB staff at 703 797 6668 Login MSRB Registration Number a7246 Temporary Key Step 3 You will be directed to the Organization Summary screen Click Edit on the area s you wish to amend You may also add an optional contact if a contact was not identified during the initial registration After making the desired updates click OK Municipal Securities Rulemaking Board 19
6. 222 222 2222 Ext Phone Number 222 222 2222 Ext Addressi 123 ANY ST Address1 123 ANY ST Address SUITE 600 Address City ANY City ANY State ST State ST Zip 12345 Zip 12345 Country Country ae I affirm that this information is correct Aim Step 2 Click Swap Contacts Municipal Securities Rulemaking Board 32 TABLE OF CONTENTS MSRB Gateway User Manual Primary Contact First Name Middle Name O Last Name PAN Name Suffix ee Email Address lchamitton msrb org Confirm Email O Phone Number 2 i 222 j 22 Ext Addressi 123 ANY ST Address SUITE 600 City ANY State ST fip 1235 Country required a Step 3 The swapped G 40 contact will appear Click OK Primary Contact First Name Middle Name Last Name Name Suffix Email Address Confirm Email Phone Number Addressi Addressa city State Zip Country required Step 4 The Organization Summary screen will reflect the updated G 40 contacts Click Affirm to confirm the updates Municipal Securities Rulemaking Board 33 TABLE OF CONTENTS MSRB Gateway User Manual See Both users will receive the emails informing them of the change to their G 40 roles MSRB Organization Summary Form G 40 Amendment Affirmation This form is used for a registrant seeking to either file an amended Form G 40
7. Adda New Agent Pending Agent Invitations What s this MSRB ID Name Submission Type Status GO000U test SHORT System Approval needed Process Agent Approved Agents What s this MSRB ID Name Submission Type Action G00010 Bloomberg LP SHORT System Deauthonze Agent GOO00S test 21 EMMA Primary Market Submissions Deauthonze Agent GO0O0P test organization 1 SHORT System 3 If the prospective agent is found the name and MSRB no will be displayed on the right of the screen after the search is conducted Click on the Agents name to send an Add a New Agent To designate an Agent you must first search to see f the Agent has already registered Please be advised that all actions taken on MSRB systems on behalf of your company by an Agent you have designated shall be your company s responsibility Care should be taken in designating Agents to act on your company s behalf Saneh by The following agents have been found If you are unable to find the correct Agent refine your search criteria or select Add an Agent Organization Name ___ d below Kj Showing 1 1 of 1 MSRE D Sm A E A Ea MSRBID Name MSERB4 MS5RB4 EA Addan Agent invitation 4 Click Confirm Invitation to invite the agent Agent Invitation Registered Agent You have chosen to invite the Agent below to submit documents to the MSRB on your behalf An invitation to serve as your Agent will be sent to this pr
8. Address Phone number Email address Title Department CRD Number Signature of the individual designated as the new primary contact Upon receipt of this information the MSRB will send an email to the address provided in the letter of request The email will contain e A temporary key Municipal Securities Rulemaking Board 37 TABLE OF CONTENTS MSRB Gateway User Manual e A link to access the Gateway screen to create the new primary contact To change your organization s MSRB Rule G 4 registration information please go to https www msrb org msrb1 control registration FormalRegistration g40 asp and authenticate using your MSRB Registration Number MSRB ID and this temporary key Temporary Key WBB NMFGN Temporary Key Expiration Date 12 5 2610 16 44 27 AM Please keep this temporary key confidential to prevent unauthorized modification of your organization s G 46 registration If you need assistance please contact the MSRB at 763 797 6668 PLEASE DO NOT REPLY REPLIES ARE NOT MONITORED This is a system generated e mail If you need assistance please contact the MSRB at 783 797 6600 or you may obtain more information at www msrb org Click the link to be directed to the Gateway screen below Enter the organization s MSRB ID and temporary key Click Next to be directed to the Organization Summary screen where updates to the G 40 contacts can be made MSRB Registration To amend your organization s registrat
9. MSRB Gateway User Manual ig eee Sub pect Your MiSRB Gateway Password Request We have received your request for a new password Please note that our records have been updated and we recommend that you change your password in our system within 7 days using the link below The link will expire within 7 days and failure to reset your password within 7 days will require you to submit another request for a password change www mseb org msrbi1 control forgotPasswordProcess asp2ke 6nhNAcshauNBhEO7 6vHexmRenguarh R change your password follow these simple steps below click on the password link abowe On the Password Change page enter and confirm the password that satisfies the password criteria Click on the Continue button This is a system gpenerated e mail PLEASE DO NOT REPLY REPLIES ARE NOT MONITORED If you need assistance please contact a representative in the Market Information Department on 703 797 6668 You may also obtain more information about MSRB Gateway at https www msrb org msrbi control default asp Step 5 You will be prompted to enter your user ID again Enter your user ID and click Submit Retrieve Password To validate your request for anew password enter your User ID below If you do not know your User ID or you need an MSRE Gateway account contact a representative in the Market Information Department at 705 797 6668 UserID Step 6 Follow instructions to meet password criteria and create
10. Modify user account profile Grant user account access rights Disable re enable user accounts Appoint Account Administrators to assist with account management functions Account Administrator The Master Account Administrator may appoint one or more Account Administrators to assist them with account management functions by granting a user Account Administrator account access rights Account Administrators can perform all the same account management functions as the Master Account Administrator but they cannot manage the Master Account Administrators account or the organization details Gateway User All individuals registered in Gateway are classified as a Gateway User User Each User is responsible for keeping their user account details current Users can edit the following information on their own account e E mail address e Address e Phone numbers Municipal Securities Rulemaking Board 7 TABLE OF CONTENTS MSRB Gateway User Manual 1 2 Log into Gateway To log into Gateway the user must have an MSRB Gateway account with a valid user ID and password If you do not have a gateway account and you are a broker dealer municipal securities dealer municipal advisor or a regulator contact an account administrator to create your MSRB Gateway account Issuers agents and obligated persons who do not have an msrb gateway account can create an account by going through the continuing disclosure registration process or can
11. ST Zip 12345 Country Step 4 Click on the organization type that is being added and provide the SEC ID and FINRA CRD if applicable Click OK MSEB Registration Add Edit Organizational Roles Please choose the organization role s You may choose more than one role Enter the corresponding SEC ID for each role selected Broker dealers must also provide their CRD number Please note that you are responsible for ensuring that the role s you select below accurately reflect vour organization s actual roles My organization has the following role s My firm engages in municipal securities dealer activities wv Municipal Securities Dealer SEC ID 722272227272 Status Authorized FINRA CRD 4688566 My firm engages in municipal advisory activities Municipal Advisor SEC ID ES If a Municipal Advisor organization type is added select the advisor role s Click OK Municipal Securities Rulemaking Board 22 TABLE OF CONTENTS MSRB Gateway User Manual S ccc TT MSRB Registration Add Edit Municipal Advisor Subtypes What type s of municipal advisory services does your organization provide Check all that apply Municipal Advisor Subtypes Financial Advisor Swap Derivative Advisor GIC Broker Advisor Placement Agent J he i Solicitor Finder lt Third Party Marketer Other specify m O oK Step 5 The Organization Summary page will display the new organization
12. State zip Dzs Country required Leia Step 3 A listing of all users in the organization will be listed Click on the user being transferred G 40 rights Municipal Securities Rulemaking Board 30 TABLE OF CONTENTS MSRB Gateway User Manual Formal Registration Add Edit G 40 Primary Contact Information Please select a current user from the list below or click the NEW button to create a new user MSRB Rule G 40 requires that broker dealer Primary Contacts be Series 51 or Series 53 certified Name Email Phone Number PETER FAN ohamilton mstb org Unknown fee fl E fe page lofi Step 4 The new user details will appear on the G 40 contact screen Confirm the email address and Click OK Primary Contact First Name Middle Name fd LastName PAN _ Name Suffix i Email Address lohamiton msrb org Confirm Email Phone Number j j ext __ Address1 Address2 City State zip 12s Country required a ca Step 5 The new G 40 contact will be reflected on the Organization Summary screen Click Affirm to save the updates Municipal Securities Rulemaking Board 31 TABLE OF CONTENTS MSRB Gateway User Manual E ccc TT MSRB Organization Summary Form G 40 Amendment Affirmation This form is used for a registrant seeking to either file an amended Form G 40 pursuant to rule G 40 b 0i0 or affirm information related to its primary Electroni
13. to the MSRB Professional Qualification Read about MSRB standards of professional qualifications and requirements for dealers Dealer Forms The MSRB maintains a number of forms that must be used by dealers in conjunction with their compliance activities associated with MSRB rules Variable Rate Securities Reporting Read about dealer requirements for reporting information about municipal variable rate securities to the MSRB To access related system documentation click here Political Contribution Disclosures Read about dealer requirements for disclosing political contributions made in association with municpal bond business Dealer Registration Read about MSR6 registration requirements for municipal securities dealers View Rules Municipal Securities Rulemaking Board 9 TABLE OF CONTENTS MSRB Gateway User Manual See Step 2 The registration page will include a link to start the online registration process p B po fa Er e Share How the Market Works e m bee Soh ii Glossary of Terms Municipal Securities Dealer Registration How the Market is Requlated MSRB Rule A 12 requires a broker dealer or municipal securities dealer collectively municipal securities dealer to register with the MSRB before i engaging in municipal securities transactions Registration There are two ways to register with the MSRB as a municipal securities dealer Dealer Regulation Enforcement fthe registering
14. you change your password in our system within 7 days using the link below The link will expire within 7 days and failure to reset your password within 7 days will require you to submit another request for a password change http 68 142 182 137 msrbi control forgotPasswordProcess asp key JYTPGRFERCi kagndMRhkc6j2BVTPpg change your password follow these simple steps below Click on the password link above On the Password Change page enter and confirm the password that satisfies the password criteria Click on the Continue button This is a system generated e mail PLEASE DO NOT REPLY REPLIES ARE NOT MONITORED If you need assistance please contact a representative in the Market Information Department on 703 797 6668 You may also obtain more information about MSRB Gateway at https www msrb org msrbi control default asp Step 3 Enter the user ID again and click Submit To validate your request for anew password enter your User ID below If you do not know your User ID or you need an MSRB Gateway account contact a representative in the Market Information Department at 705 797 0668 Step 4 The change password screen will appear and the user can create a new password based on the password criteria Change Password THE MSRB REQUIRES THAT USERS CHANGE THEIR PASSWORDS PERIODICALLY FOR SECURITY PURPOSES USERS ARE ALSO ASKED TO CHANGE THEIR PASSWORD UPON INITIAL LOGIN OR AFTER USING THE Forgot your password FEATUR
15. 40 Primary Contact i G 40 Optional Contact First Name Testing First Name Optional Middle Name Middle Name Dealer Last Name Dealer Last Name Contact Name Suffix Name Suffix Email Address ohamilton msrb org Email Address optionald msrb org Phone Number 333 444 3333 Ext Phone Number 333 444 3333 Ext Addressi 33 Any St Addressi 33 Any 5t Address2 Address City Any City Any State ST State 5T Step 5 You will receive a submission confirmation screen Municipal Securities Rulemaking Board 20 TABLE OF CONTENTS MSRB Gateway User Manual See Congratulations you have successfully your firm s registration the MSRB Your MSRB Registration Number MSRB ID is A7246 Your registration is pending Your broker dealer registration is pending SEC ID verification and payment of applicable registration fees Print the required billing farm and mail the form together with your registration fee payment to the MSRB Print Billing Form You may print a copy of the registration summary for your records Registration came 2 6 Add Additional Organization Type to an Existing MSRB Registration If you already have an MSRB registration and wish to add an additional organization type the individual designated as the organization s primary contact must log into MSRB Gateway and edit the organization type Use the following steps to add an organization type Step 1 The primary contact must navigate to the MSRB Onlin
16. Administrator 7 MSRB ID A7259 SHORT System Email Address ohamilton msrb org EMMA Primary Market Submissions Title Agent Designation 7 Department EMMA Secondary Market Submissions 7 Address 123 ANY ST Electronic G 37 SUITE 600 ANY ST 12345 Phone Number 222 222 2222 Fax Number Last Updated i 10 21 2010 2 10 34 by Municipal Securities Rulemaking Board 40 TABLE OF CONTENTS MSRB Gateway User Manual 4 2 Update User Account and Save Changes Make appropriate updates to the account After making updates to a user s account click Continue You may also click Return to Accounts to abandon changes Edit User Account Account Details Account Access Rights UserID PPAN Select the Access Rights to assign to this User Account MSRB ID A7259 This user will have the following Access Rights in MSRB Gateway Group s No groups setup Account Administrator 1 e First Name PETER SHORT System Middle Name a EMMA Primary Market Submissions Last Name PAN 2 s Agent Designation Email Address ohamitonEmsrb org 2a l EMMA Secondary Market Submissions 7 Confirm Email ohamitton msrb ora Electronic G 37 7 Title Department L Force password change on next login Phone Number 3 222 2222 Cl Disable the user account Fax Number he i Address1 Address2 SUITE 600 City State Zip 12345 Country lt
17. An organization can register as one of the following organization types broker dealer bank dealer municipal advisor and with a dual registration as a Municipal Securities Dealer or Bank Dealer and a Municipal Advisor A user can also register as an issuer agent or obligated person to make continuing disclosure submissions The organization type identified during registration is determined by the market activities that will be performed Broker dealers bank dealers and municipal advisors can add an additional organization type to their existing registration to reflect new market activities that they will perform To start the registration process the user will go to the MSRB website www msrb org Step 1 From the MSRB homepage select the user type from the dropdown menu Each user s section has a registration link that will direct the user to an overview for MSRB registration Click the registration link to be directed to the appropriate registration page Dealers MSRB Gateway Login Log into the password protected entry point for secure transactions with the MSRB Gateway access is required for submitting data and documents to the MSRB Trade Reporting Read about dealer requirements for reporting of municipal bond transactions to the MSRB_ To access related documentation click here Primary Market Document Reporting Read about dealer requirements for reporting official statements and other primary market documents
18. MSRB Gateway Test Group AAA Admin TTESTING1 7 SS ee See C 727 Test Group BBB Admin NMIMOUSE Test Group CCC Admin TTESTING SHORT System EI 17 Group s Test Group DDD For single selection dick once For single de selection ctrl key click i i de selection hold down ctrl key amp make selections Agent Designation ll 7 belongs to sre highlighted in blue EMMA Secondary Market Submissions ly EMMA Primary Market Submissions EI 173 First Name Middle Name Rule G 40 Account CI 171 Last Name Transfer to this user your G40 role or ceate transfer Optionsl Electronic Mail Contact role Electronic G 37 27 Email Address ohamilton msrb org Confirm Email ohamitton msrb org Title Department Phone Number 333 333 _ 3333 Exe 1900 DUKE ST l ALEXANDRIA C Force password change on next login C Disable the user account Step 2 A confirmation screen will appear Click Confirm User Account to save changes The individual is now a User associated with no Group 9 7 Create Group Account Administrator To create a Group Account Administrator the Master Account Administrator must grant Account Administrator account access rights to a new or existing user and assign the user to a Group s A Group Account Administrator can be created by e Adding a Global Account Administrator to a Group e Crea
19. MSRBD DOOM msrbdev l2g email com Name comapray Title Director Phone Number 703 730 2222 Ext 100 Department MIPO Fax Number 703 780 3333 Existing Roles s None Address 1900 st Roles s being assigned Obligor Secondary Market Agent alex va 22310 Roles s being removed None Phone Number 703 730 2222 Ext 100 Fax Number 703 780 3333 alex va 22510 Soomi Edit User Details If confirming manually the Manual Confirmation Document will appear after submission Print the Manual Confirmation Document and mail or fax it along with other required documentation to the MSRB Municipal Securities Rulemaking Board 66 TABLE OF CONTENTS MSRB Gateway User Manual a eS Continuing Disclosure Registration Manual Confirmation Document You will need this document which includes your confirmation number to complete the manual confirmation process Please print this page and send it to the MSEE along with the documentation identified in one of the options below MSRB ID DOOIFM Confirmation Number 0000 AAHL For issuers and obligated persons Send this document along with a letter requesting confirmation on your organization s letterhead signed your organization s chief financial officer or the person responsible for financial matters to the address below or Send this document along with a letter requesting confirmation and your organization s IRS Form 8038 to the address below This option is not avail
20. On CHOOK1 10 21 2010 5 07 02 PM CHOOK1 10 21 2010 5 02 57 PM CHOOK1 10 21 2010 4 49 37 PM CHOOK1 10 21 2010 4 41 54 PM CHOOK1 10 21 2010 4 28 06 PM AEBe Account access rights history shows a history of the user s account access rights when acccount access rights were granted removed and who changed the access rights User Account Access Rights History Showing 1 4 of 4 Application Access Updated By Updated On Account Administrator ACCESS REMOVED CHOOKI1 10 21 2010 5 07 02 PM EMMA Secondary Market Submissions ACCESS GRANTED CHOOK1 10 21 2010 5 07 02 PM Agent Designation ACCESS GRANTED CHOOK1 10 21 2010 4 28 06 PM Account Administrator ACCESS GRANTED CHOOK1 10 21 2010 4 28 06 PM anna Municipal Securities Rulemaking Board 80 TABLE OF CONTENTS MSRB Gateway User Manual 3 4 Password Management There are several scenarios in which a user will need to reset their Gateway password These scenarios include e A security requirement by Gateway that forces users to periodically change their password e Users who get locked out after three unsuccessful log in attempts e Users who forget their password and use the Forgot Password feature e Users who desire to create a new password The password can be changed by clicking the Change Password link located in the user s My Profile box 8 4 1 Create Password for New User Account After a Gateway account Is created the user will receive a system generated
21. RB Login About MSRB Publications Glossary Email Notification Contact and Support System Status gt 7 4 HS Rulemaking Board A E Municipal Bond Market Rules and Interpretations Market Disclosures and Data Market Topics News and Events MSRB for ji ji Ji ji i Investors a Protecting inve Reseatchingovssnads E wo g public interest re CE and efficient n Saa Issuers Login gt to MSRB systems 2 Click Issuer Issuers Continuing Disclosure Submission lssuer Registration Lear about how to submit continuing disclosures to the Ree br to submit continuing disclosure documents MSRB for publication on its EMMA website through a secure web based interface called MSRB Gateway Continuing Disclosure Confirmation Process Continuing Disclosure Subscription Services Read about the confirmation process associated with Read about purchasing a real time subscription to submitting continuing disclosures to the MSRB municipal bond continuing disclosures submitted to the L 55 Registration ne Municipal Securities Rulemaking Board 62 TABLE OF CONTENTS From EMMA org MSRB Gateway User Manual Go to www emma org locate the menu bar in the upper section of the webpage and click EMMA Dataport Ty MSR8 sical About EMMA Muni Search Market Activity Muni Search Click Register to Submit EMMA Dataport Overview About EMMA Submissions Primary M
22. Retum to Accounts Retum to Account Management After continuing with the changes click Confirm User Account to complete the update Confirm User Account Account Details Account Access Rights UserID PPAN Click on Confirm User Account to complete the process User Name PETER PAWN MSRB ID A7259 Group s Email Address ohamilton msrb org Title Department Address 123 ANY ST SUITE 600 ANY ST 12345 Phone Number 222 223 2222 Fax Number Municipal Securities Rulemaking Board 41 TABLE OF CONTENTS MSRB Gateway User Manual 4 3 Confirm Updates Made to User Account After the changes are saved a screen will confirm that the account was successfully updated User Account Update Results The following User Account was successfully updated An email confirmation was sent to the user UserID PPAN Z MSRB ID A7259 Name PETER PAWN Email Address ohamilton msrb org An email will be sent to the account holder describing the updates made to their account The email will also identify the person who made the update Please keep this information confidential to prevent unauthorized use of this account The MSRB account registered for this email address PPAN has been updated by CAPTAIN HOOK CHOOK1 The following Access Right s have been granted Electronic G 37 You may login and check your account details and update history by going to http 68 142 182 137 msrb1 control default asp Th
23. TABLE OF CONTENTS MSRB Gateway User Manual E ccc TT MSRB Registration Organization Summary To accept this information and complete your submission please click the Confirm button below Organizational Details cdi Organizational Roles Organization Name Dealer Registration 1 Broker dealer Status Pending MSRB ID A7246 Phone Number 333 444 3333 Ext 444 Broker dealer SEC ID 22222222222 Fax Number Broker dealer CRD Number 8888888 Address 1 33 Any St Address 2 City Any State ST Zip 12345 Country G 40 Primary Contact i G 40 Optional Contact First Name Testing None currently defined Middle Name Last Name Dealer Name Suffix Email Address chamilton msrb org Phone Number 333 444 3333 Ext Addressi 33 Any 5t Addressa City Any State 5T Step 4 After returning to the Organization Summary screen click Affirm The updates will be saved and the amended registration will be resubmitted to the MSRB MSRB Registration Organization Summary To accept this information and complete your submission please click the Confirm button below Organizational Details Edi Organizational Roles Organization Name Dealer Registration i Broker dealer Status Pending MSRB ID A7246 Phone Number 333 444 3333 Ext 444 Broker dealer SEC ID 22222222222 Fax Number Broker dealer CRD Number 8888888 Address 1 33 Any St Address 2 City Any State 5T Zip 12345 Country G
24. UTETE E A a 27 Ti E E O o E E EE A E E E E O E o Municipal Securities Rulemaking Board 5 TABLE OF CONTENTS MSRB Gateway User Manual Gateway Overview MSRB Gateway serves as a secure access point for all MSRB systems All users are required to register with the MSRB via the online registration process in Gateway before an MSRB Gateway account is created Once the MSRB Gateway account is created certain account types allow the Master Account Administrator and Account Administrator to add additional user accounts to their organization and grant access rights to various MSRB systems to those users Gateway is single access point for all MSRB systems including and not limited to the systems listed below e Electronic Municipal Market Access EMMA e Real time Transaction Reporting System RTRS e Short term Obligation Rate Transparency SHORT System e G 3 submission portal Dealers can grant appointed agents access to MSRB Gateway to submit documents or information to the MSRB on their behalf e g primary market documents in connection with the MSRB s Electronic Municipal Market Access EMMA system Dealers can also grant Gateway access to program dealers remarketing agents auction agents and designated agents for submitting information to MSRB s SHORT system Instructions for agent designations can be found in the companion user manual entitled MSRB Gateway Agent Invitation and Designation User Manual Gateway has
25. YOU MUST CHANGE YOUR PASSWORD NOW TO CONTINUE TO ACCESS THIS SYSTEM To change your password you must Enter your new password Enter your new password again to confirm Click Continue New passwords must meet the following criteria Must be between eight 8 and fifteen 15 characters long Must be different from your current password Must not contain your User ID Must contain characters from at least three of the following four categories Uppercase characters A Z Lowercase characters a z Numeric characters 0 9 Special characters S o amp etc excluding spaces New Password Retype New Password Step 7 You will be directed to a confirmation screen Click Return for the Gateway Main Menu Transaction Confirmation You have successfully changed your password 8 4 2 System Forced Password Reset Follow the steps below to reset your password for the first three scenarios described above Municipal Securities Rulemaking Board 83 TABLE OF CONTENTS MSRB Gateway User Manual See Welcome to MSRB Gateway the secure access point for all MSRB applications including EMMA For guidance on user account management and information about the MSRB s UserID applications and how to use them please refer to the appropriate MSRB User Manual If you are an issuer obligated person or primary or secondary market agent making continuing disclosure submissions to EMMA please see the Continuing Disclosu
26. a Groups feature that makes user account management easier for large organizations This feature allows the Master Account Administrator to create smaller groups of users which are managed by a group account administrator Enforcement agencies using Gateway to access Regulator Web may refer to the Regulator Web User Manual for more instructions on how to use the regulator web application in Gateway The Regulator Web User Manual also provides guidance on how to use the Groups function in Gateway Municipal Securities Rulemaking Board 6 TABLE OF CONTENTS MSRB Gateway User Manual 1 Gateway Users Each MSRB Gateway account will be classified under one of the roles described below Master Account Administrator The Master Account Administrator also known as the primary contact is created during the MSRB registration process According to MSRB Rule G 40 each broker dealer municipal securities dealer or municipal advisor must appoint a primary contact For broker dealer organizations the primary contact must be a registered municipal securities principal The Primary Contact will automatically assume the role of Master Account Administrator Organizations that register as an issuer agent or obligated person are not subject to MSRB Rule G 40 The Master Account Administrator can manage all user accounts in Gateway Account management functions include e Manage organization details Add new user accounts
27. approval of your registration c A button to print the registration summary for proof of registration Congratulations you have successfully submitted your firm s registration to the MSRB Your MSRB Registration Number MSRB ID is A7259 Your registration is pending Your broker dealer registration is pending SEC ID verification and payment of applicable registration fees Print the required billing form and mail the form together with your registration fee payment to the MSRB Print Billing Form You may print a copy of the registration summary for your records Very shortly you will receive an email acknowledging receipt of your submission A system generated email will also be sent to email address given during registration The email will summarize the registration and provide the following information 1 Registration status 2 MSRB ID and organization name 3 Primary Contact information Optional Contact information if available 4 Temporary key and a registration link to amend a registration after submission 5 Link for broker dealers and bank dealers to access instructions for completing Form RTRS ee SSC Municipal Securities Rulemaking Board 17 TABLE OF CONTENTS MSRB Gateway User Manual ip ED Thank you for submitting your organization s registration information to the Municipal Securities Rulemaking Board MSRB Your registration status is Pending until MSRB review and your payment is processed The cur
28. at 703 797 6600 or you may obtain more information at www msrb org When the user clicks the link in the email they will be directed to the first step of the continuing disclosure registration process The email address and invitation code will be pre populated Click Next to continue with the registration process Continuing Disclosure Registration Step 1 Welcome Welcome to the registration page for the continuing disclosure submission service on the MSRE s Electronic Municipal Market Access EMMA system If you are anew user seeking to register as an issuer obligor andor agent to submit documents to EMMA please provide a valid e mail address below to continue the registration process All users that received an invitation code via e mail from MSRB must enter an e maill address and the invitation coded below If these fields have been pre populated for you click Next Existing users of MSRB Gateway may use them existing credentials to register for the continuing disclosure submission service and to edit existing roles within Gateway Click below to enter your credentials Please be advised that all actions taken on MSEEB systems inchiding but not lmuted to the EMMA system by a user through a User Account shall be your responsibility New Users E mail Address ohamitton marb org Invitation code jreth UMW Sig MV zy 1ICCvJT Dv Rydux required Applies only to users who received an invitation code from MSREB v
29. choose the role you will be assuming for submitting continuing disclosure documents to EMMA You may choose more than one role Please note that you are responsible for ensuring that the role s vou select below accurately reflect your actual role in connection with submissions of continuing disclosure documents to the EMMA system Select Role s you wish to add Issuer 7 F Obligor 7 Secondary Market Agent 7 Step 5 Choose confirmation method electronic or manual 6 1 1 Electronic Confirmation Enter the email address of a confirmed user A confirmed user can be any person with a Gateway account who will agree to confirm the registering user e g a co worker or an underwriter Click Next and proceed to Step 6 Continuing Disclosure Registration Step 5 Confirmation Electronic Please enter the e mail address of the person confirming you This person should be a confirmed user in MSRB Gateway acting as an issuer obligor secondary market agent or dealer underwriter If you do not have the e mail address of a confirmed user pust leave the box below blank and click Next to proceed to an alternative confirmation method Confirmer s Email Address confimer company or Previous oy 6 1 2 Manual Confirmation If the registering user cannot find a confirmed user the MSRB can manually confirm the registration Instructions and required documentation for manual confirmation are stated on the Manual Confirma
30. email with their user ID and a link to request password creation Click the link to start the password creation process Please keep this information confidential to prevent unauthorized use of this account An MSRB Gateway Account has been created for this email address ohamilton msrb org by ORLENE HAMILTON OHAMILTON The following Access Right s have been granted SHORT System You have been added to the following Group s dicky do and the donts Your New UserID is TADMIN You may retrieve your password by going to https 68 142 182 137 msrb1 control forgotpassword asp This is a system generated e mail PLEASE DO NOT REPLY REPLIES ARE NOT MONITORED If you need assistance with your account please contact an account manager at your organization or You may also obtain more information about MSRB Gateway at https 68 142 182 137 msrbi control default asp Step 1 Enter your user ID and click Submit Reset Password To reset your password enter your User ID below If you do not know your User ID or you need an MSRB Gateway account contact a representative in the Market Information Department at 703 797 6668 UserID Step 2 An email will be sent with a link to create a password Click the link Municipal Securities Rulemaking Board 81 TABLE OF CONTENTS MSRB Gateway User Manual i ees We have received your request for a new password Please note that our records have been updated and we recommend that
31. following User Account was successfully updated An email confirmation was sent to the user User ID DDUCEK1 MSRB ID MSRE4 Name DONALD DUCK Email Address ohamilton msrb org Step 5 The user will receive a confirmation email informing him her that he she is now a Group Account Administrator for the selected Group s If the new Group Account Administrator replaces an existing Group Account Administrator the Group Account Administrator being replaced will receive a similar email stating that they are no longer the administrator for the Group s Please keep this information confidential to prevent unauthorized use of this account The MSRB account registered for this email address DDUCK1 has been updated by MASTER TESTER MTESTER3 You are now appointed as Account Administrator of the following Group s Test Group AAA Test Group BBB You may login and check your account details and update history by going to http web 4 msrb org msrb1 control default asp This is a system generated e mail PLEASE DO NOT REPLY REPLIES ARE NOT MONITORED If you need assistance with your account please contact an account manager at your organization or You may also obtain more information about MSRB Gateway at https web 4 msrb org msrbi control detault asp Municipal Securities Rulemaking Board 96 TABLE OF CONTENTS MSRB Gateway User Manual 9 8 Remove Group Account Administrator from a Group Only the Master Account Administr
32. get invited by a registered MSRB user For further questions regarding registration contact the MSRB via e mail at GatewaySupport msrb org or call the Market Information Department at 703 797 6668 Use the following steps to log into Gateway 1 Go to www msrb org and click on Login M S RB Login About MSRB Publications Glossary Email Notification Contact and Support System Status maga yp 4 Rulemaking Board Advanced Search Municipal Bond Market Rules and Interpretations Market Disclosures and Data Market Topics News and Events MSRB for Protecting investors and the Protecting Investors public interest through a fair lt and efficient municipal market Login gt to MSRB systems MSRB for Investors Issuers Dealers 2 You will be directed to the Gateway login page Enter valid user ID and password and click Login Note From the Gateway log in page the following can also be accessed User manuals system status page which provides the availability of all MSRB systems Email address and phone number for Gateway support Forgot password link to create a new password he Municipal Securities Rulemaking Board 8 TABLE OF CONTENTS MSRB Gateway User Manual Gateway Management for Municipal Securities Dealers and Municipal Advisors Zs Registration for Municipal Securities Dealers and Municipal Advisors MSRB registration is performed via secure online access in Gateway
33. name email or by Group To view details select the desired User Account from the list Please be advised that all actions taken on MSRB systems by a user through a User Account established for your company shall be your company s responsibility Search for a user Showing 1 2 of 2 By first name Last Last User Name Updated Updated By last name By On By email I CAPTAIN HOOK CHOOK1 10 21 2010 4 13 29 PM By Right A PETER PAN CHOOK1 10 21 2010 4 22 17 PM By Group Step 2 A listing of all user accounts will be displayed on the right Disabled user accounts will be grayed out Select the user account that you wish to re enable and edit the user s account User Accounts The following are User Accounts for your company Depending on your MSRB Gateway Access Rights you can add edit or disable User Accounts and search for User Accounts by name email or by Group To view details select the desired User Account from the list Please be advised that all actions taken on MSRB systems by a user through a User Account established for your company shall be your company s responsibility Search for a user Showing 1 3 of 3 7 ya By first name disabled accounts shown in gray By last name Last Last or User Name Updated Updated By On By Right W CAPTAIN HOOK CHOOK1 10 21 2010 4 13 29 PM By Group nage Grou PETER PAN CHOOK1 10 21 2010 4 22 17 PM Af TINKER BELL CHOOK1 10 21 2010 4 41 54 PM By email Show disabl
34. new User Accounts within the appropriate Group After creating a Group move User Accounts to a specific Group by accessing each User Account checking on the Edit User Account button and selecting the appropriate Group You can also add or remove User Accounts from Groups by clicking on the Users by Group link above Please be advised that all actions taken on MSEB systems by a user through a User Account established for your company shall be your company s responsibility Showing 1 3 of 3 Group Name Test Group AAA Es reo View User Accounts Admin TTESTING1 Test Group BBB View User Accounts Admin MMOUSE TestGroupccc BAES View User Accounts Admin TTESTING1 E E E Add New Group _ User Account List Retim to Account Management Step 3 1 Enter the Group Name 2 Select a Group Account Administrator from the drop down menu option which provides a list of all Account Administrators within the organization optional a Group Account Administrator can be added at a later point if an Administrator has not been appointed yet or if the desired Administrator is not an option in the drop down menu 3 Enter a brief description of the Group optional 4 Click Save to create the Group Groups Complete the required information below to create a new Group You can appoint a Group Account Administrator at this time or later by editing this Group or the Account Administrator s Account Group Name Test Group DOD Group A
35. of the screen Click on the dealer to continue with the invitation process Approved invitations will be located in the lower portion of the screen Principals The organization s listed below Principals have invited you to act as Agent on their behalf to submit certain documents and information to MSRB systems To view contact information for a Principal select the Principal below To edit a relationship with a Principal select an Action next to the Principal Pending Invitations There are currently no pending invitations Approved Designations There are currently no Principals on whose behalf you can submit Municipal Securities Rulemaking Board 55 TABLE OF CONTENTS MSRB Gateway User Manual Step 3 Click Continue to continue with the invitation Click Decline Invitation to decline the invitation Agent Invitation The organization below has invited you to act as an Agent on its behalf to submit certain documents and information to the MSRB Questions about this designation should be directed to the organization named below If you wish to continue with the designation process select Continue below If this invitation Was sent in error or you do not wish to serve as an Agent select Decline Invitation Invitor Name GATEWAY REDEALER Organization Name GRE testing Phone Number Q0 Address 1900 Duke st Alexandria VA 22314 Submission Type EMMA Primary Market Disc
36. organization Email of invitee mstbdev40 gmail com Organization Name Comapny 6 Role Agent x Agent Obhizor required Back to CD Management Retum to Account Management Step 4 The registration confirmation status of the invited user will be displayed on the next Gateway screen The invited user s status will determine what actions the inviter and the invited user take next 6 2 1a The Invited User is Registered and Confirmed If the invited user is registered and confirmed the following screen will display and no further action is necessary Municipal Securities Rulemaking Board 68 TABLE OF CONTENTS MSRB Gateway User Manual E Continuing Disclosure Invitation The user with email address msrbdev1 gmail com already has an MSRB Account which is confirmed and has following roles assigned Issuer Obligor Secondary Market Agent Retum to Continuing Disclosure Management Retum to Company Management 9 Municipal Securities Rulemaking Board All Rights Reserved Terms and Conditions of Use 6 2 1b The Invited User has an Unconfirmed MSRB Registration If the invited user has an unconfirmed MSRB registration the inviter can confirm the user by clicking Confirm This User The invited user is now confirmed and no further action is necessary Continuing Disclosure Invitation The user with email address msrbdev3 gmail com already has an MSRB Account which 1s unconfirmed and has following role
37. s No groups setup Account Administrator First Name TINKER SHORT System sete gan EMMA Primary Market Submissions Agent Designation 7 EMMA Secondary Market Submissions Electronic G 37 Last Name BELL Email Address chamitton msrb org Confirm Email Title i Department Sas Ll Force password change on next login es t 222 Disable the user account Fax Number 5 Address1 Address2 o 7 city ay State Zip 1235 Country Step 3 Click Confirm User Account to disable the account The disabled user will receive an email stating that their account has been disabled Confirm User Account Account Details Account Access Rights UserID TBELL This User Account will be disabled User Name TINKER BELL Click on Confirm User Account to complete the process MSRB ID A7259 Group s Email Address ohamilton msrb org Title Department Address 123 ANY ST ANY ST 12345 Phone Number 222 223 2222 Fax Number 4 7 Re Enable User Account Step 1 Navigate to the User Accounts screen Click the box Show disabled User Accounts Click Municipal Securities Rulemaking Board 46 TABLE OF CONTENTS MSRB Gateway User Manual See Search User Accounts The following are User Accounts for your company Depending on your MSRB Gateway Access Rights you can add edit or disable User Accounts and search for User Accounts by
38. s behalf Please be advised that all actions taken on MSRB systems on behalf of your company by an Agent you have designated shall be your company s responsibility Care should be taken in designating Agents to act on your company s behalf Adda Agent Pending Agent Invitations What s this MSRBID wane Submission Type Status GO000U test SHORT System Approval needed Process Agent Approved Agents What s this MSRB ID Name Submission Type Action Go0010 Bloomberg LP SHORT System Go000s test 21 EMMA Primary Market Submissions GOo00P test organization 1 SHORT System Municipal Securities Rulemaking Board 61 TABLE OF CONTENTS MSRB Gateway User Manual Gateway Management for Issuers Agents and Obligated Persons 6 Registration for Issuers Agents and Obligated Persons Issuers agents and obligated persons must register with the MSRB and establish a Gateway account in order to make continuing disclosure filings A Gateway account can be established in two ways the continuing disclosure registration process or the invitation process The two methods are outlined below 6 1 Continuing Disclosure Registration amp Confirmation Process To start the continuing disclosure registration process navigate to the MSRB Online Registration page The registration page can be accessed through www msrb org or www emma org From MSRB org 1 Go to www msrb org and select the user type from the dropdown menu a M S
39. to the Agents Account Management The menu below provides you with the ability subject to your User Accounts Access Rights to manage new and existing MSRB Gateway User Accounts your Organization Profile and any Agent relationships with other companies Make your selection Manage User Accounts Add edit and disable User Accounts for your organization Manage Organization Profile Update contact information for your organization Manage Groups Note this feature is recommended only for large organizations Lse Groups to help organize your organization s User Accounts Manage Agents Designa cAgent to submit certain information to MSRB systems on your behalf Manage Principals Manage companies who have designated your organization as Agent to submit certain information to VSARAB systems on their behalf Manage Continuing Disclosure Requests Process confirmation requests and invite agents for CD submissions View Account Administrators View your organization s Account Administrators screen Step 2 Agents pending the dealer s approval will be listed in the upper portion of the Agents screen Click Process Agent to completed the agent invitation process Agents that have been approved are listed on the lower section of the Agents screen The agent can be de authorized at any time by clicking De authorize Agent Agents You can designate Agents to submit certain information to MSRB systems on your organization
40. to the MSRB Questions about this designation should be directed to the organization named below If you wish to continue with the designation process select Continue below If this invitation was sent in error or you do not wish to serve as an Agent select Decline Invitation Invitor Name GATEWAY REDEALER Organization Name GRE testing Phone Number 0 Address 1900 Duke st Alexandria VA 22314 Submission Type EMMA Primary Market Disclosure Invitation sent on 2 16 2010 10 51 54 AM Decline Invitation 9 Municipal Securities Rulemaking Board All Rights Reserved Terms a ondition fUse 10 230 10 61 Step 7 Ifthe agent continues with the invitation the agent will be asked if they have a Gateway account Municipal Securities Rulemaking Board 58 TABLE OF CONTENTS MSRB Gateway User Manual i es Agent Invitation You have accepted the invitation by the organization below to act as an Agent An invitation to and acceptance by an Agent through the MSRB Gateway is not intended to form the basis of a contract between your company and the organization listed below You may wish to contact this organization to ensure that you have reached a mutual understanding of the scope of duties you will be undertaking on its behalf and the terms of your relationship Organization Name GRE testing Submission Type EMMA Primary Market Disclosure Do you have an existing MSRB Gateway Account OYes ONo
41. type that was added in addition to the SEC ID and FINRA CRD if applicable Click Affirm to submit the changes to the MSRB MSRB Organization Summary Form G 40 Amendment Affirmation This form is used for a registrant seeking to either file an amended Form G 40 pursuant to rule G 40 b i or affirm information related to its primary Electronic Mail Contact such changes are automatically considered an amendment or affirmation pursuant to rule G 40 Click on Edit to make changes to your information Once edits are complete click OK to return to this summary page and affirm your G 40 contact information by clicking on the Affirm button below Organizational Details Edit Organizational Roles Organization Name Dealer Registration 1 Broker dealer Status Authorized MSRB ID A7246 2 Municipal Advisor Phone Number 333 444 3333 Ext 444 Fax Number Municipal Advisory Activities Include Address 1 33 Any St 1 Financial Advisor Address 2 2 Third Party Marketer City Any State ST Broker dealer SEC ID 22222222222 Zip 12345 Broker dealer CRD Number 8888888 Country Municipal Advisor SEC ID 9999999999 I affirm that this information is correct Mim Step 6 You will receive a confirmation screen acknowledging the update Municipal Securities Rulemaking Board 23 TABLE OF CONTENTS MSRB Gateway User Manual ipa es The organization type that was added will be in Pending status until the regist
42. 22009 Municipal Securities Rulemaking Board All Rights Reserved Terms a sofUse 10 230 10 61 Step 8 After selecting yes the user will be prompted to log into Gateway The user will be directed to the Agent Invite Confirmation screen and click Continue to accept the invitation Agent Invite Confirmation You have accepted the invitation to act as an Agent for submitting documents to the MSRB on behalf of the organization named below Organization Name GRE testing MSRB ID B9999 Phone Number 0 Address 1900 Duke st Alexandria VA 2009 Municipal Securities Rulemaking Board All Rights Reserved Terms a iitic Fuse 10 230 10 61 5 3 Decline the Invitation Step 1 The invited agent can click Decline to decline the invitation Agent Designation Confirmation There was a problem in establishing Agent Principal relationship for your company The reason is Only a Master Account Administrator can use an invite Here are your options for the next step Click on Transfer Transfer the invitation to authorized personnel from your organization Click on Decline Decline the invitation Click on Continue to Main Menu Not sure at this time and continue to Main Menu Municipal Securities Rulemaking Board All Rights Reserved Terms anc ditions of Use 10 230 10 61 L L Step 2 The next screen requires the agent to confirm that the are declining the invi
43. 9 Address 1 123 Any St Broker dealer CRD Number 8888888 Address 2 City Any State ST Zip 12345 Country G 40 Primary Contact i G 40 Optional Contact First Name None currently defined Middle Name Last Name Pan Name Suffix Email Address chamilton msrb org Phone Number 222 222 2222 Ext Addressi1 123 Any St Address City State Zip Step 9 The person submitting the registration must identify themselves on the Submitter Information screen and then click Submit to submit the registration to the MSRB MSRB Registration Submitter Information Please provide the name title and telephone number of the person who prepared this form First Name Middle Name Last Name Name Suffix Title Phone Number Phone Extension Step 10 A Gateway screen will inform you that your registration was successfully submitted and is in Pending status pending verification of FINRA CRD no and SEC ID numbers and payment of registration fees Be advised that broker dealers cannot effect municipal securities transactions until FINRA membership is approved Municipal Securities Rulemaking Board 16 TABLE OF CONTENTS MSRB Gateway User Manual The Gateway screen will also contain a Your pending MSRB ID b A button to print the billing form The completed form along with a check for registration fees must be mailed to the MSRB Failure to mail a completed billing form and payment will delay
44. All Rights Reserved Terms and Conditions of Use 10 230 10 61 Municipal Securities Rulemaking Board 54 TABLE OF CONTENTS MSRB Gateway User Manual 5 3 Agent Accepts the Invitation Step 1 Once logged into Gateway the agent will navigate to the Agent Invitation screen and click Manage Principals Gateway Main Menu gt Account and Organization Management gt Manage Principals Account Management The menu below provides you with the ability subject to your User Accounts Access Rights to manage new and existing MSRB Gateway User Accounts your Organization Profile and any Agent relationships with other companies Make your selection Manage User Accounts Add edit and disable User Account for your organization Manage Organization Profile Update contact information for your organization Manage Groups Note this feature is recommended only for large organizations Use Groups to help organize your organization s User Accounts Manage Agents Designate Agents to submit certain information to MSA systems on your behalf Ma Principals sa je coip who fave designated your organization as Agent to submit certain information to MSAB systems on their behalf Manage Continuing Disclosure Requests Process confirmation requests and invite agents for CD submissions View Account Administrators View your organization s Account Administrators Step 2 Pending invitations from a dealer will be located in the upper portion
45. Click on Edit to modify any of the information shown Your MSRB ID G0OO001T Name GRE Business Phone Number 703 797 6689 Fax Number Address 1900 Duke st Alexandria VA 22314 us The following User will be the Master Account for your company Your Master Account can add new contacts after you confirm your Account User name GREBMASTI1 Name GAteway REBMAST Email msrbdevid email com Title Miaster Department Business Phone Number 703 797 6639 Fax Number Address 1900 Duke st Alexandria VA 22314 2009 Municipal Securities Rulemaking Board AH Rights Reserved T 10 230 10 61 c The agent will receive a Gateway account confirmation screen The agent will also receive an email with a user ID and a link to create a password to access Gateway The agent will log into his Gateway account to accept the invitation New Agent Account Confirmation Your Agent Account has been created Your Master Account will receive a confirmation email with your Account details You will be able to make submissions to the MSRB as Agent only after you have received final approval by the inviting organization Your Master Account will be able to view your status as Agent for this organization through MSRB Gateway and will receive an email notification of final approval Organization Name GRE testing MSRB ID B9999 Phone Number 0 Address 1900 Duke st Alexandria VA 22314 9 Municipal Securities Rulemaking Board
46. Copy to copy from your organizational details Copy Primary Contact First Name Peter Middle Name Last Name Name Suffix Email Address Confirm Email chamiton msrb org Phone Number i ii i Addressi Address city State Country E Step 8 Create Optional Contact if applicable If there is no Option Contact click Skip Optional Contact First Name eet f Middle Name Eo g Last Name Name Suffix ia Email Address een Confirm Email eo Phone Number i Ext Addressi C j Address a ay State Country required i oe The Organization Summary page will appear next The Organization Summary page gives a summary of the organization details provided during registration Review summary page for accuracy e lf information is correct click OK to save the information Municipal Securities Rulemaking Board 15 TABLE OF CONTENTS MSRB Gateway User Manual See e lf updates are necessary click the edit link for the corresponding section make the appropriate updates and click OK MSRB Registration Organization Summary To accept this information and complete your submission please click the Confirm button below Organizational Details Edit Organizational Roles Organization Name Neverland Inc i Broker dealer Phone Number 222 2232 2222 Ext Fax Number Broker dealer SEC ID 999999999
47. E YOU MUST CHANGE YOUR PASSWORD NOW TO CONTINUE TO ACCESS THIS SYSTEM To change your password you must Enter your new password Enter your n w password again to confirm click Continue New passwords must meet the following criteria Must be between eight 8 and fifteen 15 characters long Must be different fram your current password Must not contain your User ID Must contain characters from at least three of the following four categories Uppercase characters A z Lowercase characters a z Numeric characters 0 9 Special characters sS o amp etc excluding spaces New Password OoOo Retype New Password Step 5 The Retrieve Password screen will appear again Enter the user ID and click Submit Municipal Securities Rulemaking Board 82 TABLE OF CONTENTS MSRB Gateway User Manual SSS Retrieve Password To validate your request for anew password enter your User ID below If you do not know your User ID or you need an MSRB Gateway account contact a representative in the Market Information Department at 705 797 0668 User ID CHOOK Step 6 On the Change Password screen create new password in accordance with the password criteria Click Continue Change Password THE MSRB REQUIRES THAT USERS CHANGE THEIR PASSWORDS PERIODICALLY FOR SECURITY PURPOSES USERS ARE ALSO ASKED TO CHANGE THEIR PASSWORD UPON INITIAL LOGIN OR AFTER USING THE Forgot your password FEATURE
48. NOVEMBER 2010 MSRB GATEWAY USER MANUAL Version 2 0 TABLE OF CONTENTS MSRB Gateway User Manual Revision History Major Changes 2 0 November 2010 Update screenshots incorporated new registration process and G 40 account management Municipal Securities Rulemaking Board 2 TABLE OF CONTENTS MSRB Gateway User Manual TABLE OF CONTENTS RA WU OV sereia EAE ctetanecueusetyaueeseorentes L TZ Re NIGER cages tce pace tages tapect aecet EE E EE E eer eee MO VEO Va eee c ete cence eters E E EE E A Gateway Management for Municipal Securities Dealers and Municipal Advisors 2 Zl ZZ 2 3 2 4 2 5 2 6 2 7 3 3 1 Registration for Municipal Securities Dealers and Municipal Advisors ssssssessss nsn Register as a Municipal Securities Dealer ssssssssssssssssnrrsnrsrrssrrssrnrrrrerrrssrsenrnrrnrressrnenns PT As aE a DEAE E EE EN Register as Municipal Advisor secsics ctncrmcetascathemaetocecateeeerts PTE MAEA Register as a Municipal Securities Dealer or Bank eden amp Muina rom aes Amend a Pending Registration E T Add Additional Organization Type to an Existing MSRB Registration T Amend Advisor Roles on a Municipal Advisor Registration ssessssssesssresrrsssessrnrrrrereeres G 40 Account Management sssssssssssnnnssrnrsununnnnnnsenunnnosusenrrenununnsonruuuuuonnnnacnnnnnnernnanennnn onena Transfer G 40 Rights 0 3 1a Transfer G 40 Rights toa New eet poe e
49. RB Gateway User Manual Deo Quand Acent OCC Dts te IVON ieaiai Tow Cananea Aca anotace eao AE EA A T E ET ETE 5 3 3 Transfer the invitation sassassnsennnnnunnnnnnnnnnnnnnnnnnnnnnennnnnnn nnn unnann nannan nannan sdsuavurabbeaveuteieadveun 5 3 Decline the Invitation oeccccccceccccccececsccccecscaecccacaeaeeccacueaueccusuesuceeaeasaueeeacaeaueesauaaaeeseaeauneeesans 60 5 3 5 Take no Action 5 4 Dealer Process the Agents DON NOD oaoa ree ar ete ete ents ee ee tt Gateway Management for Issuers Agents and Obligated Persons cssccsseeesseeeeeeeeeees 6 Registration for Issuers Agents and Obligated Persons cccceceesseeseeeeceeseeeseeeeeeeeeeseaees 6 1 Continuing Disclosure Registration amp Confirmation Process aiectscieucrciestitacresecneateveeieances 6 1 1 Electronic Confirmation seassssssesnnennennnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnn nunnur nnn nnn nnna 6 1 2 Manual Confirmation c cccceccccccccccccececccceccceuaeeccacasaueccacueaueucueauaueeeaeauaueusasaeaueguaeauaueeeseaaa GA OMe Disdosure VOM PROCESS siesrocrrrirtr kiere keri nna AEE E Gad r aeae Ae AO aeina a EEEE E EEDS 71 6 3 Confirmation Timeframes 7 User Account Management Iscuiers Te Obligated Berson E E Te NC COTM r E E E E A A E E E l e Reme CONTON oE E EEEE Er Ao Update Continuing Disclosure ROIS gecisspsccnseeegacaeutenece perce i Naaa 74 Manage Re quests for Confirmation ssss
50. Rulemaking Board 39 TABLE OF CONTENTS MSRB Gateway User Manual The User Accounts screen displays all users in the organization on the right side of the screen From this list select the user account that you would like to edit If a user is not listed a Gateway account can be created for the user If a user has a Gateway account and the account is not displayed the account may be disabled and will need to be re enabled Locate the user you would like to edit and double click on the user s name User Accounts The following are User Accounts for your company Depending on your MSRB Gateway Access Rights you can add edit or disable User Accounts and search for User Accounts by name email or by Group To view details select the desired User Account from the list Please be advised that all actions taken on MSRB systems by a user through a User Account established for your company shall be your company s responsibility Search for a user Showing 1 2 of 2 By first name Last Last User Name Updated Updated By last name By On By email FF CAPTAIN HOOK CHOOK1 10 21 2010 4 13 29 PM By Right W PETER PAN PPAN2 10 21 2010 2 10 34 PM By Group Show disabled User Accounts C ss Reset After selecting user click Edit User User Account Profile and Access Rights Account Details Account Access Rights UserID PPAN This user has the following Access Rights in MSRB Gateway UserName PETER PAN Account
51. ST Address a City State Zip 1235 Country L regquired Contine vew Pnie Account Access Rights Select the Access Rights to assign to your User Account You will have the following Access Rights in MSRB Gateway Account Administrator SHORT System EMMA Primary Market Submissions Agent Designation EMMA Secondary Market Submissions Electronic G 37 E E B E a E a O Ea Cl Force password change on next login Cl Disable the user account Municipal Securities Rulemaking Board ual 77 TABLE OF CONTENTS 8 2 View Account Administrators MSRB Gateway User Manual Users can view Account Administrators within their organization to request user account information or make updates to their account Step 1 link Select View Account Administrators MSRB Gateway Main Menu Welcome to MSRB Gateway Your User Account has the following Access Rights Click on a section to expand Account and Organization Management Manage profile information for your User Account or for your organization gt Manage User Accounts Add edit and disable individual User Accounts for your organization View Account Administrators View your organization s Account Administrators Manage Groups Note this feature is recommended only for large organizations Use Groups to help organize your organization s User Accounts Manage Agents Designate Agents to submit certain informat
52. This organization is a bank dealer FINRA CRD 3682888 My firm engages in municipal advisory activities C Municipal Advisor SEC ID Zz Register as a Bank Dealer Click the box Municipal Securities Dealer and click the Bank Dealer box to identify the organization as a bank Enter the SEC ID Click OK proceed to step 8 to create G 40 contact and continue with registration MSRB Registration Add Organizational Roles Please choose the organization role s You may choose more than one role Enter the corresponding SEC ID for each role selected Broker dealers must also provide their CRD number Please note that you are responsible for ensuring that the role s you select below accurately reflect your organization s actual role s My organization has the following role s My firm engages in municipal securities dealer activities Municipal Securities Dealer SEC ID 99999999999 This organization is a bank dealer My firm engages in municipal advisory activities Municipal Advisor SEC ID 2 3 Register as Municipal Advisor On the Organizational Roles screen select Municipal Advisor Enter SEC ID Click OK Municipal Securities Rulemaking Board 12 TABLE OF CONTENTS MSRB Gateway User Manual ia es MSRB Registration Add Organizational Roles Please choose the organization role s You may choose more than one role Enter the corresponding SEC ID for each role selected Broker d
53. able to agents For users submitting disclosure documents as an agent on behalf of issuers or obligated persons Send this document along with a letter requesting confirmation AND a document signed by an issuer or obligated person designating you as an agent e g continuing disclosure agreement to the MSEB at the address below All correspondence should be addressed to MSRB Attention Market Information Department 1900 Duke Street Alexandria VA 22314 6 2 Continuing Disclosure Invitation Process An issuer may invite an agent or obligated person to make continuing disclosure filings on their behalf In the invitation process the issuer extends an invitation to a user and the user can accept or decline the invitation If the user accepts the invitation the issuer must confirm the acceptance to qualify the relationship The following steps are used in the invitation process 6 2 1 Inviter Sends an Invitation Step 1 To send an invitation expand the Account and Organization Management link on the Gateway homepage and click Manage Continuing Disclosure Requests MSRB Gateway Main Menu My Profile User IO MOEW4 Role Liser Click on a section to expand USPEHA eee Organization Name coke inc Account and Organization Management MSRE ID DOOIET gt Manage Organization Profile mail Address ohamiltenGimerb org View and edit organization level details Change Password Welcome to MSRB Gateway Your User Account
54. add Remove Issuer 7 F Obligor 7 F Secondary Market Agent V Confirmation Pending Reinitiate Confirmation Retum to Main Menu dae Initiate Reinitiate Confirmation A user who is not yet confirmed can initiate confirmation Users who already requested confirmation can change their confirmation method or re request confirmation from the same user or a different user by reinitiating confirmation Use the steps below to perform either function Step 1 From the Gateway Main Menu expand the Account and Organization Management link and click Add Remove Roles for Continuing Disclosure Service Municipal Securities Rulemaking Board 72 TABLE OF CONTENTS MSRB Gateway User Manual Se MSRB Gateway Main Menu Welcome to MSRB Gateway Your User Account has the following Access Rights Click on a section to expand Account and Organization Management Manage Organization Profile View name address and phone information for your organization Manage Continuing Disclosure Requests Process confinmation requests and invite agents for CD submissions Add Remove Roles for Continuing Disclosure Service Market Information Systems Access MISAB systems used fo submit document and data related fo municipal market activity and political contributions gt EMMA Dataport Submit document and information to EMMA Step 2 Click Restart Confirmation Add Remove Roles Please choose the role
55. an amended Form G 40 pursuant to rule G 40 bi i or affirm information related to its primary Electronic Mail Contact such changes are automatically considered an amendment or affirmation pursuant to rule G 40 Click on Edit to make changes to your information Once edits are complete click OK to return to this summary page and affirm your G 40 contact information by clicking on the Affirm button below Organizational Details i Organizational Roles Organization Name Advisor Only Organization 1 Broker dealer MSRB ID KO197 2 Municipal Advisor Status Authorized Phone Number 999 999 9999 Ext Fax Number Municipal Advisory Activities Include Address 1 99 Any St 1 Swap Derivative Advisor Address 2 2 GIC Broker Advisoar City Any 3 Solicitor Finder State ST Zip 12345 Broker dealer SEC ID 55555555555 Country Broker dealer CRD Number 77777777F Municipal Advisor SEC ID 33333333333 Municipal Securities Rulemaking Board 25 TABLE OF CONTENTS MSRB Gateway User Manual 3 G 40 Account Management 3 1 Transfer G 40 Rights A primary contact cannot remove his her primary G 40 rights but can transfer these rights to another user In the event the primary G 40 contact role must be transferred to another user and the Gateway account cannot be accessed the MSRB must be contacted Once the primary G 40 role is transferred to another user that user becomes the new Master Account Administrator for the organi
56. arket Document Submissions Continuing Disclosure Submissions 529 College Savings Plan Submissions MSRB Subscription Services MSRB System Status Documents Home Alerts Feedback Contact EMMA Electronic Municipal Market Access The Official Source for Municipal Disclosures and Market Data Muni Search Education Center EMMA Dataport Welcome to EMMA EMMA is the comprehensive source for official statements continuing disclosure documents advance refunding documents and real time trade price information on municipal securities Municipal Securities Document Submission fim aad bond underwriters and issuers must provide the Municipal Securities Rulemaking Board MSRB with electronic documents to be posted on the EMMA website Document submissions are made through a utility called the EMMA Dataport For additional information about primary market continuing disclosure and 529 college savings plan document submission please click on the links below Primary Market Document Submissions WSRB rules require municipal bond underwriters to provide electronic primary market documents and related information to the MSRB These primary market documents which include official statements and advance refunding documents are posted on the EMMA website within 15 minutes of receipt FAQs About Primary Market Submission POF Presentation on Primary Market Submission PDF Presentation on Advance Refunding Docu
57. at any time Follow steps below to remove the optional G 40 contact role Municipal Securities Rulemaking Board 34 TABLE OF CONTENTS MSRB Gateway User Manual Step 1 On the Organization Summary screen edit the Optional G 40 contact MSREB Organization Summary Form G 40 Amendment Affirmation This form is used for a registrant seeking to either file an amended Form G 40 pursuant to rule G 40 bI0i or affirm information related to its primary Electronic Mail Contact such changes are automatically considered an amendment or affirmation pursuant to rule G 40 Click on Edit to make changes to your information Once edits are complete click OK to return to this summary page and affirm your G 40 contact information by clicking on the Affirm button below Organizational Details Organizational Roles Organization Name Neverland Inc 1 Broker dealer Status Authorized MSRB ID A7259 Phone Number 222 222 2222 Ext Broker dealer SEC ID 999999999090 Fax Number Broker dealer CRD Number 8888888 Address 1 123 Any St Address 2 City Any State 5ST Zip 12345 Country G 40 Primary Contact i G 40 Optional Contact First Name CAPTAIN First Name PETER Middle Name Middle Name Last Name HOOK Last Name PAN Name Suffix Name Suffix Email Address chamilton msrb org Email Address ohamilton msrb org Phone Number 222 222 2272 Ext Phone Number 2272 222 2222 Ext Addressi 123 ANY ST Addr
58. ation Summary Form G 40 Amendment Affirmation This form is used for a registrant seeking to either file an amended Form G 40 pursuant to rule G 40 bICi or affirm information related to its primary Electronic Mail Contact such changes are automatically considered an amendment or affirmation pursuant to rule G 40 Click on Edit to make changes to your information Once edits are complete click OK to return to this summary page and affirm your G 40 contact information by clicking on the Affirm button below Organizational Details Edit Organizational Roles Organization Name Neverland Inc 1 Broker dealer Status Authorized MSRB ID AY259 Phone Number 222 222 2222 Ext Broker dealer SEC ID 9999999999 Fax Number Broker dealer CRD Number 8888888 Address 1 123 Any St Address 2 City Any State 5ST fip 12345 Country G 40 Primary Contact i G 40 Optional Contact First Name Peter None currently defined Middle Name Last Name Pan Name Suffix Email Address chamilton msrb org Phone Number 222 222 2222 Ext Addressi 123 Any St Address Suite 600 City Any State ST Zip 12345 Country I affirm that this information is correct Afim Step 3 If there are no other Gateway accounts in the organization create a new user to replace the G 40 contact Click New User Note If there are other Gateway accounts in the organization the button will read Replace instead o
59. ator can remove the Group Account Administrator from a group Once this role is removed the individual is a Gateway User who is not assigned to any Group It is important that the user is granted at least one account access right otherwise the account will be disabled e Ifthe Group Account Administrator is removed from all Groups but still has Account Administrator rights he she will become a Global Account Administrator e Ifthe Group Account Administrator is removed from all Groups and Account Administrator rights are removed the individual will become a Gateway User who does not belong to any Group e tis important that the user is granted at least one account access right otherwise the user s account will be disabled Step 1 To remove the users Group Account Administrator role navigate to the User Account screen and update the desired user s account The Group s managed by the user will be highlighted in blue Edit User Account Account Details User ID MIMOUSE MSEE ID MSRB4 Test Group AAA Admin MMOUSE Test Group BEB Admin MMMOUSE Test Group COC Admin TTESTING Group s Test Group DDD For single selection dick once For single de selection cirl key click For multiple selection de selection hold down cil key amp make selections Groups that this User belongs to are highlighted in blue First Name MINNIE Middle Name Last Name MOUSE Email Address Confirm Email T
60. bmissions 7 any other non Master User Account If you wish for this User Account to be restricted to administering only User Accounts in specific Groups add itto one or more Groups after clicking on Edit User Account You have removed this User Account from the following Groupis Test Group BRB Click on Confirm User Account to complete the process Phone Number 333 333 3333 Ext 4444 Agent Designation I p Fax Number EMMA Secondary Market Submissions 7 Rule G 40 Account 7 Electronic G 37 7 Account Municipal Securities Rulemaking Board 93 TABLE OF CONTENTS MSRB Gateway User Manual 9 6 Remove Global Account Administrator Only the Master Account Administrator can remove the Global Account Administrator role from a user Once this role is removed the individual is a User in Gateway who is not assigned to any Group It is important that the user is granted at least one account access right otherwise the account will be disabled Follow the steps below to remove the Global Account Administrator role from a user Step 1 The Master Account Administrator must edit the Global Account Administrator s user profile and remove the Account Administrator account access right by deselecting this right Click Continue Please ensure that the user is granted at least one account access right otherwise the account will be disabled MSRB ID MSRB This user will have the following Access Rights in
61. c Mail Contact such changes are automatically considered an amendment or affirmation pursuant to rule G 40 Click on Edit to make changes to your information Once edits are complete click OK to return to this summary page and affirm your G 40 contact information by clicking on the Affirm button below Organizational Details Edit Organizational Roles Organization Name Neverland Inc 1 Broker dealer Status Authorized MSRB ID A7259 Phone Number 222 222 2222 Ext Broker dealer SEC ID 9999999999 Fax Number Broker dealer CRD Number 8888888 Address 1 123 Any St Address 2 City Any State 5ST Zip 12345 Country G 40 Primary Contact i G 40 Optional Contact First Name PETER None currently defined Middle Name Last Name PAN Name Suffix Email Address ochamilton msrb org Phone Number 222 222 2222 Ext Addressi1 123 ANY ST Address2 SUITE 600 City ANY State 5T Zip 12345 Country Cancel I affirm that this information is correct Affirm 3 2 Swap G 40 Contact Roles The Primary G 40 Contact and Optional G 40 Contact can swap their contact roles Step 1 On the Organization Summary screen click Edit on any G 40 contact G 40 Primary Contact i G 40 Optional Contact First Name PETER First Name CAPTAIN Middle Name Middle Name Last Name PAN Last Name HOOK Name Suffix Name Suffix Email Address ohamilton msrb org Email Address ochamilton msrb org Phone Number
62. case characters a z Numeric characters 0 9 Special characters 2 sS o07 amp 7 etc excluding spaces J Current Password eas New Password Loo O Retype New Password Step 3 The Transaction Confirmation screen will confirm that the password was successfully changed Click Return for the Gateway Main Menu Municipal Securities Rulemaking Board 86 TABLE OF CONTENTS MSRB Gateway User Manual ip Transaction Confirmation You have successfully changed your password Municipal Securities Rulemaking Board 87 TABLE OF CONTENTS MSRB Gateway User Manual Groups Management a s ee CO r s It is Highly Recommended that Lar ge Organizations Utilize the Groups Feature J Groups The Groups feature in Gateway give the Master Account Administrator the option of forming smaller subgroups in Gateway This will facilitate easier account management for large organizations that must manage several user accounts These smaller subgroups can be formed based on geographical location department sector job title etc It is highly recommended that large organizations utilize the Groups Feature to assist with user account management 9 1 Group Roles and Responsibilities User roles and responsibilities for Groups are described below Master Account Administrator Master Account Administrators can perform the following functions e Create edit and delete a Group Add users to a Group Rem
63. ccount details in their Gateway account e Email address e Phone number s e Address The following information cannot be updated by the user User ID This is system generated and cannot be modified e MSRB ID This is system generated and cannot be modified e User Name To update a user name the Master Account Administrator must disable the users account and create a new account Use the following steps to update user account details Step 1 On the Gateway Main Menu go to the My Profile box located in the upper right and click Edit MSRB Gateway Main Menu My Profile Welcome to MSRB Gateway Your User Account has the following Access Rights User ID TBELL Role Account Administrator Click on a section to expand User Name TINKER BELL Organization Name Meverland Inc Account and Organization Management NM SRB ID AT 59 Manage profile information for your User Account or for your organization Einail Address gt Manage User Accounts ohamiltongmab org Change Password Add edit and disable individual User Accounts for your organization View Account Administrators View your organization s Account Administrators gt Manage Agents Designate Agents to submit certain information to MISAB systems on your behalf Manage Continuing Disclosure Requests Process confirmation requests and invite agents for CD submissions Manage Principals Accept and decline invitations from companies that have designated your organi
64. counts from Groups by clicking on the ough a User Account established for vonr conmany ha LA Delete the Test Group DDD group i S You will not be able to reinstate this Group User Account s that belong to this Group will be disassociated Showing 1 4 of 4 l N Group Name TestGroup AAA EET See eee Admin DDUCKI Test Group BBB Delete View User Accounts _ Admin TestGroup ccc Eta ee eee ee Admin TIESTING1 Test Group DDD View User Accounts Admin Pele a Step 3 A confirmation page will appear Groups Confirmation You have deleted the Group Test Group DDD This Group cannot be reinstated User Accounts that belonged to this Group have been disassociated Retum to Groups Retum to Account Management Municipal Securities Rulemaking Board 99
65. d access the user s Gateway account 4 5 Grant User Account Access Rights Gateway User Account Access rights are granted to a user by an Account Administrator with the exception of the Account Administrator access right This right can only be granted by the Master Account Administrator The following is a list of user account access rights that can be granted in Gateway Municipal Securities Rulemaking Board 43 TABLE OF CONTENTS MSRB Gateway User Manual e Account Administrator This right can only be granted by the Master Account Administrator Users with this right can manage other users accounts They can perform most functions of the Master Account Administrator but not all e SHORT Make auction rate and variable rate submissions e EMMA Primary Market Submissions Submit official statements and advanced refunding documents e EMMA Secondary Market Submissions Make continuing disclosure filings e Agent Designation Designate another dealer to make primary market document submissions e Electronic G 37 Make political contribution filings Use the following steps to grant user account access rights Step 1 Navigate to the User Accounts screen and select the user you would like to grant account access rights User Accounts The following are User Accounts for your company Depending on your MSRB Gateway Access Rights you can add edit or disable User Accounts and search for User Accounts by name email
66. d e Step 5 The agent that the invitation was transferred to will receive an email with details of the invitation The email will include a link to accept the invitation MSRB Gateway Agent Invitation Transfer Inbox x gt MSRB Gateway to me show details 10 51 AM 15 minutes ago Reply Y Please keep this information confidential to prevent unauthorized use Y Hello GATEWAY REDEALER GRE testing 89999 has invited your company 46665 to be an Agent on its behalf in connection with submission of EMMA Primary Market Disclosure documents and related information ta the MSRB s Electronic Municipal Market Access system EMMA Please click on the link below ta accept or decline the invitation You will not be able to act as an Agent until you have accepted this invitation lf the link above does not work please navigate to https_ code PLEASE DO NOT REPLY REPLIES ARE NOT MONITORED This is a system generated e mail If you need assistance please contact a representative in the Market Information Department on 703 r97 66658 You may also obtain more information about MSRB Gateway at https wwew msrb org msrb1 control default asp Step 6 Ifthe agent clicks the link to accept the invitation a Gateway screen will give the user the option to continue with the invitation or decline the invitation Agent Invitation The organization below has invited you to act as an Agent on its behalf to submit certain documents and information
67. d will have access to other users accounts in the organization e Atleast one account access right must be granted to a user to keep the account active If no account access rights are granted the account will be disabled e To read a description of an access right click the icon located next to each account access right Add User Account Complete all required information below and assign one or more Access Rights to create a new User Account If no Access Rights are given the User Account will be automatically disabled Account Details Account Access Rights MSRB ID A7259 Select the Access Rights to assign to this User Account Group s No groups setup This user will have the following Access Rights in MSRB Gateway First Name Account Administrator 7 Middle Name SHORT System 7 Last Name EMMA Primary Market Submissions Email Address Agent Designation Confirm Email chamitton merb org EMMA Secondary Market Submissions 7 Title Electronic G 37 Department Phone Number 2z Ext is Fax Number 5 i Addressi 123 Any St Address City State 5 Zip 12345 Country Step 3 After the user account has been created click Continue to continue with the changes and Confirm User Account to confirm the new account Step 4 After the Gateway account has been created the new user will receive an email with a user ID and a link to create a password an
68. displayed Select the Group s you wish to assign to the new Group Account Administrator by clicking on the Group s To select multiple Groups hold down the control and select the Groups If the Group you select has an existing Group Account Administrator the new Group Account Administrator will replace the existing Group Account Administrator Click Continue Edit User Account Account Details Account Access Rights User D Selectthe Access Rights to assign to this User Account MSRE ID This user will have the following Access Rights in MSRB Gateway Test Group AAA Admin TTESTING1 Account Administrator 7 Test Group BEB Admin MMMOUSE Test Group CCC Admin TTESTING1 SHORT System 7 se EMMA Primary Market Submissions Op For single selection cick once For single deselection ctrl key click For multiple selectionideselection hold down ctrl key amp make selections Agent Designation L 7 Groups that this User belongs to are highlighted in blue a First Name DONALD EMMA Secondary Market Submissions CI 7 Middle Name Rule G 40 Account al i3 Lid Nama DUCK Transfer to this user your G40 role or peste transfer Optional Electronic Mail Contact role Electronic G 37 CI 7 Confirm Fmail C Force password change on next login Title C Disable the user account Department Phone Number Fax Number Address1 1900 DUKE ST Address City State VA Step 3 After selecting a Group s a messag
69. dministrator optional No Group Admin Assignment ote Group Description optional Retum to Groups Step 4 You will get a Groups confirmation screen which confirms the addition of a new Group After a Group is created and saved you will see the Group confirmation screen You may click on the Accounts List button to get a listing of all users in the organization Groups Confirmation You have added Group Test Group DDD To add User Accounts or Appoint Account Administrators for this Group select Accounts List Accounts List Retum to Groups Retam to Account Management Municipal Securities Rulemaking Board 90 TABLE OF CONTENTS MSRB Gateway User Manual 9 3 Add User to a Group This function can only be performed by an Account Administrator Step 1 Navigate to MSRB Gateway Main Menu and expand the Account and Organization Management Link Click on Manage User Accounts to get a listing of all users in the organization e On the User Accounts page select the user you would like to add to a Group and update their account e lf the user is not listed on the User Accounts page add the new user by clicking on Add New Account and create an account for the user see section 16 to create a new account User Accounts The following are User Accounts for your company Depending on your MSRB Gateway Access Rights you can add edit or disable User Accounts and search for User Accou
70. e Registration page and select the second option under the Regulated Entities Welcome to MSRB Online Registration Please select the applicable registration type from the options listed below Issuers Obligors and Agents Lam registering as an issuer obligor and or agent to submit documents to EMMA Regulated Entities lam registering as a broker dealer municipal securities dealer or municipal advisor and have already registered with the SEC My organization already has an MSRB registration and wants to add either a municipal security dealer or municipal advisor role to our existing registration a section Municipal Securities Rulemaking Board 21 TABLE OF CONTENTS MSRB Gateway User Manual Step 2 On the MSRB Gateway Main Menu expand the link Registrant Information Forms and click the link Edit or Affirm Your Organization s G 40 Filing MSRB Gateway Main Menu My Profile Welcome to MSRB Gateway Your User Account has the following Access Rights User ID TDEALER Mester Account polec Administrator Click on a section to expand ri x k aei ser Name esting Dealer Account and Organization Management Important notice Please click to expand Organization Name Desler Registration Manage profile information for your User Account or for your organization MSRB ID AT246 Registrant Information Forms Email Address ohamilton msrb org Submit forms that provide information about your
71. e changes An email will be forwarded to the user informing them of the changes to their account 4 1 Navigate to the User Accounts Screen From MSRB Gateway Main Menu expand the Account and Organization Management link Click Manage User Accounts to be directed to the User Account screen MSRB Gateway Main Menu My Profile Welcome to MSRB Gateway Your User Account has the following Access Rights User ID CHOOKT Master Account Hole Administrator Click on a section to expand eee enter JIS 7 Name Account and Organization Management Organization Name Neverland Inc Manage profile information for your User Account or for your organization MSRE ID AT259 gt Manage User Accounts Email Address ohamilton msrb ong Add edit and disable individual User Account for your organization Change Password gt View Account Administrators View your organization s Account Administrators Manage Groups Note this feature is recommended only for large organizations Use Groups to help organize your organization s User Accounts Manage Agents Designate Agents to submit certain information to MSAB systems on your behalt Manage Continuing Disclosure Requests Process confirmation requests and invite agents for CD submissions Manage Principals Accept and decline invitations fram companies that have designated your organization as Agent to submit certain information to MSAB systems on their behalf Municipal Securities
72. e inita code qgtTSnidUFB4CHIB VW igeT pKxgErwp PLEASE DO NOT REPLY REPLIES ARE NOT MONITORED This is a system generated e mail If you need assistance please contact a representative in the Market Information Department on 703 797 6669 You may also obtain more information about SRE Gateway achttes www marb org msih l contral defaght asp Municipal Securities Rulemaking Board 52 TABLE OF CONTENTS MSRB Gateway User Manual Step 2 When the agent clicks the link to accept the invitation they will be asked if they have a Gateway account If the agent has a Gateway account the agent will select Yes and log into Gateway to accept the invitation Proceed to section 5 3 Agent Invitation You have accepted the invitation by the organization below to act as an Agent An invitation to and acceptance by an Agent through the MSRB Gateway is not intended to form the basis of a contract between your company and the organization listed below You may wish to contact this organization to ensure that you have reached a mutual understanding of the scope of duties you will be undertaking on its behalf and the terms of your relationship Organization Name GRE testing Submission Type EMMA Primary Market Disclosure Do you have an existing MSRB Gateway Account OYes ONo 62009 Municipal Securities Rulemaking Board All Rights Reserved Terms and Conditions of Use 10 230 10 61 5 2 2 Agent Receives Invitation and does not have a Gatewa
73. e nothed by emai the invitation is accepted or declined Agent Name Now Inc Invitation senton 7 14 2010 8 30 43 AM Submission Type EMMA Primary Market Disclosure Back to Agent Management Retum to Account Management agent 5 2 Agent Receives Invitation After the dealer sends the invitation the prospective agent will receive an email to act upon the dealer s invitation To take action the agent must be the primary contact of the organization If the agent has a Gateway account he can accept the invitation If the agent does not have a Gateway account an account must be created before the agent can accept the invitation 5 2 1 Agent Receives Invitation and has a Gateway Account Agents who have a Gateway account will use the following steps to accept the invitation Step 1 When the agent receives the invitation email they can click the link to accept the invitation Please keep this information confidential to prevent unauthorized use GRE testing 89999 has invited your company to be an Agent on its behalf in connection with submission of EMMA Primary Market Disclosure documents and related information to the MSRB s Electronic Municipal Market Access system EMMA Please click on the link Gelow to accept or decline the imitation You will not be able to act as an Agent until you have accepted this imitation if ihe link above does nol work please navigate to https web _ marb org mgrb 1 Unegistration agent default asp and us
74. e to Main Menu Not sure at this time and continue to Main Menu L Municipal Securities Rulemaking Board All Rights Reserved Te 7 ditions of Use 10 230 10 61 Step 2 A Gateway screen will state that their invitation is pending and they have 30 days to take accept the invitation If no action is taken within 30 days the invitation will expire Agent Designation Invitation Pending You have not taken an action on the invitation from GRE testing to act as an Agent This invitation will expire in 30 days from the date of invitation email and remain in pending state until any action is taken please follow the Agent invitation email to take action at a later time 309 Municipal Securities Rulemaking Board All Rights Reserved Terms a tic fUse 10 230 10 61 Municipal Securities Rulemaking Board 60 TABLE OF CONTENTS MSRB Gateway User Manual 5 4 Dealer Process the Agents Acceptance to Invitation Once the agent accepts the invitation the dealer must process the agent s acceptance to complete the invitation process and identify the invited agent as someone who can make primary market submissions on the dealer s behalf The dealer will use the following steps to complete the invitation process Once the agent accepts the invitation the dealer must process the agent s acceptance Use Step 1 Navigate to the Account Management screen and click Manage Agents link to get directed
75. e will be displayed confirming that the user will be a Municipal Securities Rulemaking Board 95 TABLE OF CONTENTS MSRB Gateway User Manual Group Account Administrator for the selected Group s If the user is replacing an existing Group Account Administrator a message will be displayed noting this change Click Confirm User Account Confirm User Account Account Details Account Access Rights User ID DDUCK1 This user will be a Group Administrator for the following Group s Test Group AAA User Name DONALD DUCK Test Group BBB and will be unable to administer User Accounts outside of this MSRB ID MSRB4 Group s If you wish for this user to administer all of your company s User Accounts S Test Group AAA i z Group s Test Group BBB click on Edit User Account deselect the Group s and click on Continue at the Email Address ohamilton msrb org bottom of the page Title This User Account will replace existing Group Administrators Department Click on Confirm User Account to complete the process Address 1900 DUKE ST Account Administrator 2 ALEXANDRIA VA 22314 SHORT System 2 EMMA Primary Market Submissions 7 Phone Number 333 333 3333 Agent Designation Fax Number EMMA Secondary Market Submissions Rule G 40 Account 7 Electronic G 37 Confirm User Account Edit User Account Step 4 A confirmation screen will appear User Account Update Results The
76. ealers must also provide their CRD number My organization has the following role s My firm engages in municipal securities dealer activities _ Municipal Securities Dealer SEC ID i _ FINRA CRD My firm engages in municipal advisory activities Municipal Advisor SEC ID aii ii es e O Select the Municipal Advisor role s If the advisory role is not listed select Other and give a brief description of the municipal advisor activity Click OK proceed to step 8 to create G 40 contact and continue with registration MSRB Registration Add Municipal Advisor Subtypes What type s of municipal advisory services does your organization provide Check all that apply Municipal Advisor Subtypes Financial Advisor Swap Derivative Advisor GIC Broker Advisor Placement Agent Solicitor Finder Third Party Marketer Other specify OO O o 2 4 Register as a Municipal Securities Dealer or Bank Dealer amp Municipal Advisor Click the box Municipal Securities Dealer and Bank Dealer for a bank and enter the SEC ID and FINRA CRD if applicable Click on Municipal Advisor and enter SEC ID Click OK Municipal Securities Rulemaking Board 13 TABLE OF CONTENTS MSRB Gateway User Manual i ees MSRB Registration Add Organizational Roles Please choose the organization role s You may choose more than one role Enter the corresponding SEC ID for each role selected Broker dealers m
77. ed User Accounts Seach Reset Step 3 Deselect the Disable the user account box by clicking on the check mark Click Continue Municipal Securities Rulemaking Board 47 TABLE OF CONTENTS MSRB Gateway User Manual Edit User Account Account Details Account Access Rights UserID TBELL Select the Access Rights to assign to this User Account MSRB ID A7259 This user will have the following Access Rights in MSRB Gateway Group s No groups setup Account Administrator First Name TINKER SHORT System Middle Name ee EMMA Primary Market Submissions Last Name BELL Agent Designation 7 Email Address ohamitton msrb org EMMA Secondary Market Submissions Confirm Email chamitton msrb org A Electronic G 37 7 Title Department C Force password change on next login Phone Number Disable the user account Fax Number J Address1 Address City ANY State St Zip 12345 Country Continue Retum to Accounts Retum to Account Management Step 4 Click Confirm User Account Confirm User Account Account Details Account Access Rights UserID TBELL This User Account will be disabled UserName TINKER BELL Click on Confirm User Account to complete the process MSRB ID A7259 Group s Email Address ohamilton msrb org Title Department Address 123 ANY ST ANY ST 12345 Phone Number 222 222 2222 Fax Numb
78. ee adore pm pees ace E E A ET oe Ue Mee ye tooled ae G 40 Rients toan Existing U2 qaeeercreeeer reer ererrcerere rer rt trrerer cer crt rr rect rer 3 2 3 3 3 4 4 4 1 4 2 4 3 4 4 4 5 4 6 4 7 Ji 5 1 sm SWP GAO LONCE ROIS wt reeiea cet renan an r a iEn raira dae ae Aida enki Remove Optional G 40 Contact Transfer Primary G 40 Rights in ihe dhene of the sisting G 40 Contact PAET User Account Administration Municipal Securities Dealers and Municipal Advisors Navigate to tie Ser ACOS SCLC CID sececceniecenattdeetecesadacenatacescaeesyessncectenectareelacenavecansneneees Update User Account and Save CCS panes ienccescossetensan tecteareurwiannvanseuuiereeteemeceeaeent Confirm Updates Made to User ACCOUN scrsrrsscrsrsserssio i Enearena Create New User nann set E E E EE E E E E E E eee Grant User Account TORN 5 Rights Beetle E E E A Disable User Account Re Enable User Account Agent Designation Primary Market Develo al Een N 10 Cee ee eee ee eee r nn eee tn ee ee ee ee re rcs Agent Receives Invitation 5 2 1 Agent Receives Invitation and er a Gateway Account 5 2 2 Agent Receives Invitation and does not have a CNA ACCO sissniinasniaiianan 5 3 Agent Accepi tie INMIATOT issand aiaia Raa AEAEE E ENEE Municipal Securities Rulemaking Board 3 11 12 12 13 18 21 24 26 26 26 29 32 34 37 39 39 41 42 42 43 45 46 49 49 a2 a2 53 55 TABLE OF CONTENTS MS
79. er Step 5 A confirmation screen will be displayed The user will receive a confirmation email indicating that his her account has been re enabled Municipal Securities Rulemaking Board 48 TABLE OF CONTENTS MSRB Gateway User Manual ip User Account Update Results The following User Account was successfully disabled An email confirmation was sent to the user User ID TBELL MSRB ID A7259 Name TINKER BELL Email Address ohamilton msrb org 5 Agent Designation Primary Market A dealer may designate an agent from another organization to make primary market submissions on the dealer s behalf Only persons within the dealer s organization with Agent Designation account access rights can perform this function Only persons serving as the primary contact within the prospective agent s organization may accept an agent designation Below is an overview of the designation process e Dealer extends an invitation to a prospective agent via MSRB Gateway e Agent designated as the primary contact can accept or decline the invitation e Dealer confirms agent s acceptance to complete the invitation process The dealer may also decline the agent s acceptance 5 1 Dealer Extends Invitation To begin the invitation process a dealer will extend an invitation to a prospective agent 1 The dealer will access the agent designation function by expanding the Account and Organization Management link and select Manage Agents
80. ers dealers municipal securities dealers collectively municipal securities dealers and municipal advisors Registration with the MSRB is only required if you engage in municipal securities dealer activities or municipal advisory activities If you wish to register as a new municipal securities dealer or municipal advisor please read the registration guidelines below and have the necessary information available You will be required to acknowledge that you have read and understand the registration guidelines before you can proceed with registration If you already have an MSRB registration and want to add either a municipal securities dealer or municipal advisor role to your account the organization s Primary Contact must log into Gateway and edit the organization roles Click here to access the Gateway log in page oo Municipal Securities Rulemaking Board 10 TABLE OF CONTENTS MSRB Gateway User Manual Primary Contacts For purposes of electronic communication between a registered organization and the MSRB each registered organization must provide the MSRB with a contact person and this individual s email address This individual will be referred to as the Primary Contact This individual will also assume the role of the organization s Master Account Administrator and will be responsible for the organization s user account management The Primary Contact role will be automatically assigned to the person who registers the orga
81. essi 123 ANY ST Address Address SUITE 600 City ANY City ANY State ST State 5T Zip 12345 Zip 12345 Country Country I affirm that this information is correct Affirm Step 2 On the contact details screen click Remove Optional Contact First Name Middle Name Last Name P Name Suffix Email Address ohamitton merb org Confirm Email More wuss E he kh Addressi 123ANYST Address2 isuITEsoO sd City any State fip Country required aK Step 3 Click OK Municipal Securities Rulemaking Board 35 TABLE OF CONTENTS MSRB Gateway User Manual E Optional Contact First Name C Middle Name Oo Name Suffix dl Email Address Pe Confirm Email a Phone Number i i Ext Addressi Address a city State iad Country fe required Step 4 Gateway will prompt user to enter contact details Click Skip Optional Contact First Name I ennai Please enter a valid first name Middle Name a Last Name L 3 Please enter a valid last name Name Suffix M Email Address Le Please enter a valid email address Confirm Email hs Phone Number E Ext e Please enter a valid phone number and or extension Addressi Please enter a valid address address City Please enter a valid city State Please enter a 2 letter state code Zip Please enter a 5 or 9 di
82. f New User Primary Contact First Name Peter sd Middle Name ee Last Name Name Suffix i Email Address ohamitton merb org Confirm Email Stonctimicest 22 a e el Addressi 123 Any St Address City State fip Country required A Municipal Securities Rulemaking Board 27 TABLE OF CONTENTS MSRB Gateway User Manual See Step 4 Populate fields with the new contact details Click OK Primary Contact First Name Captain Middle Name Last Name Hook Name Suffix Email Address ohamitton msrb org Confirm Email ohamitton msrb org Phone Number 22 l 222 _ 2222 ext _ Addressi 123 Any St Address City Any State Fip Country required Step 5 The Organization Summary screen will reflect the new G 40 contact Click Affirm to save the update MSRB Organization Summary Form G 40 Amendment Affirmation This form is used for a registrant seeking to either file an amended Form G 40 pursuant to rule G 40 b fi or affirm information related to its primary Electronic Mail Contact such changes are automatically considered an amendment or affirmation pursuant to rule G 40 Click on Edit to make changes to your information Once edits are complete click OK to return to this summary page and affirm your G 40 contact information by clicking on the Affirm button below O
83. ferent offices you can create a Group for each and categorize existing or new User Accounts within the appropriate Group After creating a Group move User Accounts to a speciic Group by accessing each User Account clicking on the Edit User Account button and selecting the appropriate Group You can also add or remove User Accounts from Groups by clicking on the Users by Group ink above Please be advised that all actions taken on MSEB systems by a user throu established for your company shall be your company s responsibility a User Account Showing 1 4 of 4 lt lt A TestGroup BBB EZEN TestGroupccc SEES BEETS TextGroup pop META EREN a il e Group Name Test Group AAA View User Accounts Wiew User Accounts View User Accounts Wiew User Accounts User Account List Municipal Securities Rulemaking Board 98 TABLE OF CONTENTS MSRB Gateway User Manual Step 2 A dialogue box will appear stating that the Group cannot be reinstated once it has been deleted and that users belonging to that Group will be disassociated After reviewing the message click on OK to confirm the deletion Groups Users by Group You can use Groups to organize your pea s User Accounts For me if your organization has three different offices you can create a Group for each and categorize existing or ney Lise ah omy Afte za Cry r zc toa specific Group by accessing each User Account chatre ihe iets Ea temove User Ac
84. git zip code Country required Step 5 The Organization Summary screen will reflect that the Optional G 40 contact has been removed Click Affirm to save the change Municipal Securities Rulemaking Board 36 TABLE OF CONTENTS MSRB Gateway User Manual RR mmm cc TT G 40 Primary Contact i G 40 Optional Contact First Name CAPTAIN None currently defined Middle Name Last Name HOOK Name Suffix Email Address chamilton msrb org Phone Number 222 222 2222 Ext Addressi1 123 ANY ST ANY I affirm that this information is correct Affirm Step 6 The user will see a Gateway screen confirming the update and receive an email documenting the update Congratulations you have successfully updated your firm s registration with the MSRB Your MSRB Registration Number MSRB ID is A7259 You may print a copy of the registration summary for your records 3 4 Transfer Primary G 40 Rights in the absence of the existing G 40 Contact In the event the primary G 40 contact role must be transferred to another user and the Gateway account cannot be accessed the MSRB must be contacted The MSRB will request that the following information be forwarded on company letterhead e Organization Name e Address e Phone number e MSRB registration Number e Organization s CRD number The request must also contain the following information about the individual designated as the new primary G 40 contact e Name
85. has the following Access Rights gt Manage Continuing Disclosure Requests Process confirmation requests and invite agent for CD submissions gt Add Remove Roles for Continuing Disclosure Service Update your roles or manage the confirmation process Market Information Systems Access ISAS systems used to submit document and data related to municipal market activity and political contributions EMMA Dataport Submit document and information to EMMA ee SSC Municipal Securities Rulemaking Board 67 TABLE OF CONTENTS MSRB Gateway User Manual See Step 2 Enter the email address of the user you wish to invite and click Invite for Continuing Disclosure Continuing Disclosure Confirmation Invitation Pending Continuing Disclosure Confirmations These are requests from MSRB tegistered users to be confirmed by you to submit contimung disclosures There are currently no pending confirmations to process Invite user for Continuing Disclosure submissions Send an invitation to a user to submit continuing disclosures by providing the user s email address On the next screen you will be asked to select a specific role for the user Email inewuser company org Invite for Continuing Disclosure Retum to Account Management Step 3 Select the role of the invited user and click Send Invitation Continuing Disclosure Invitation Select a role to assign to the mvitee You may also enter the name of the user s
86. ia e mail Existing Users Login ee SSS Municipal Securities Rulemaking Board 70 TABLE OF CONTENTS MSRB Gateway User Manual SSS 6 3 Confirmation Timeframes How quickly a user gets confirmed can be determined by the confirmation method selected Electronic confirmation is the quickest confirmation method however the confirmation process depends on how quickly a user responds to the confirmation request It is possible for confirmation to occur within minutes if the confirmed user immediately responds to a request Manual confirmation will occur approximately two business days following receipt by the MSRB of the manual confirmation document and other required documentation If there are documentation deficiencies the MSRB will attempt to contact the user This will prolong the processing time to perform the manual confirmation To check the processing status of a confirmation request contact the confirmed party for electronic confirmation and the MSRB for manual confirmation T User Account Management Issuers Agents Obligated Persons Issuers agents and obligated persons perform few account management functions in Gateway The account management functions that are performed include e View confirmation status Initiate reinitiate the confirmation process Update continuing disclosure roles Manage requests for confirmation Manage organization details 7 1 View Confirmation Status If a user is unsure of his her co
87. ial to prevent unauthorized use of your account The current registered information for this account is MSRB REGISTRATION NO A7259 ORGANIZATION NAME Neverland Inc USER NAME Captain Hook EMAIL ADDRESS ohamilton msrb org PHONE 222 222 2222 CONTACT TYPE Primary You can log in to the G 4 Account section of the MSRB web site through http 68 142 182 137 msrbi control default asp The former G 40 contact will receive an email stating that they no longer serve as a G 40 contact Your organization has designated a new G 4 Primary Contact through an amended MSRB Rule G 46 filing The following account no longer serves as a G 4 Primary Contact ORGANIZATION NAME Neverland Inc USER ID PPAN This is a system generated e mail PLEASE DO NOT REPLY REPLIES ARE NOT MONITORED If you need assistance please contact a representative in the Market Information Department on 703 797 6668 You may also obtain more information about MSRB Gateway at https ww msrb org msrbi control detault asp 3 1b Transfer G 40 Rights to an Existing User Primary G 40 rights can be transferred to another user within the organization Follow the steps below to transfer G 40 account access rights Municipal Securities Rulemaking Board 29 TABLE OF CONTENTS MSRB Gateway User Manual Step 1 On the Organization Summary screen click Edit on the G 40 contact MSRB Organization Summary Form G 40 Amendment Affirmation
88. if applicable The email will provide the following information 1 Registration status 2 Provide user ID and a link to create a password to access MSRB Gateway 3 Link for broker dealers and bank dealers to access instructions for completing Electronic Form RTRS Your MSRB registration is now authorized and your Gateway account has been created You will use your Gateway account to access MSRB systems and forms and to make updates to your organization details To access your Gateway account please click on the link below and enter the user ID provided USER ID PPAN2 PASSWORD RETRIEVAL LINK http 68 142 182 137 msrb1 control forgotpassword asp Please keep this information confidential to prevent unauthorized use of your account Form RTRS is used by municipal securities dealers to submit and update details about their organization and information required to report municipal securities trade activity in connection with the MSRB s Real Time Transaction Reporting Service RTRS Please go to http www msrb org msrb1i pdfs FormRTRSInstructions pdf to print instructions for completing Form RTRS The registered information for this account is MSRB REGISTRATION NUMBER MSRB ID A7259 ORGANIZATION NAME Neverland Inc CURRENTLY AUTHORIZED REGISTRATION Municipal Securities Dealer USER NAME Peter Pan EMAIL ADDRESS ohamilton msrb org PHONE 222 222 2222 CONTACT TYPE Primary You can log in to the authenticated access area of
89. iiesissvsaiienseosriisononnrnin aranin enaa eiia 6 Poa User Management PCTS rnern EEEE ir yl Update User Account DEIS aces pecpeeceecr sete ceca cece rsa r Erra E SEKATEN EEEREN EE AN ANE ETEEN ENESE o View PCC OPN CII Sh AOI siimi ai ra ine EOE DEEE Era ni eee E 81 8 3 View User Account History 8 4 Password Management 8 4 1 Create Password for New Te Boae EE E E E E AEE E T E DA System Forced Password KESET smsiseaiiesreirpiraii virite etii ren kEi EE AIMAN ADE nEn niaii aariin Ra 8 4 3 User Initiated Password Reset u cececccececcccccececccccceceecccecuaueceaucacaeaueueacaeaeeeaueauaueeeasanaeeesaeas CROUGS NAN AP CMNCING ar aen E Gain NE i GOUD etessestes 56 56 57 59 61 62 62 62 65 65 67 67 71 71 TZ 74 75 76 76 78 o1 83 86 88 88 9 1 Group Roles and Resporisibilities E EE A EEE E TE O Oe Me ee ING GOUD aai E E EET O E AA E EE Jo PNET Oa aa E E E DA Delte User Toma CTO serseri narnia ENR EE EEEa EE EEEE 9 5 Create Global Account Administrator oo cece cee ccccceceesccccecuecccccuceeaueccacaeacersaueeeaeauaueeeaeaeaeegeeens 9 6 Remove Global Account Administrator easeasssesnesnnennnnnnnennnnnnnnunnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnnan 94 Municipal Securities Rulemaking Board 38 39 91 92 93 TABLE OF CONTENTS MSRB Gateway User Manual 9 7 Create Group Account Administrator EEEE E A 9 8 Remove Grou Account Administrator from 4 Group
90. ink Change Password MSRB Gateway Main Menu My Profile Welcome to MSRB Gateway Your User Account has the following Access Rights User ID MTESTER2 Master Account Role Administrator Click on a section to expand User Name MASTER TESTER Account and Organization Management Organization Name MSRB Manage profile information for your User Account or for your organization MSRB ID MSRB Market Information Systems Email Address ohamilton msrb org Access MMSRB systems used to submit documents and data related to municipal market activity and political contributions Change Password Restricted Content Confidential information related to your service with the MSRB Regulator Web Access to reports etc gt All Enforcement Agencies Staff Content Access to staff only content Administration Access to Gateway administration tools Step 2 You will be required to enter your current password and create your new password Change Password To change your password you must Enter your current password to confirm your tdentity Enter your new password Enter your new password again to confirm Click Continue New passwords must meet the following criteria Must be between eight 83 and fifteen 15 characters long Must be different from your current password Must mot contain your User ID Must contain characters from at least three of the following four categories Uppercase characters A 2 Lower
91. ion Click on Continue to Main Menu Not sure at this time and continue to Main Menu L 2009 Municipal Securities Rulemaking Board All Rights Reserved Terms anc ditions of Use 10 230 10 61 The agent must take one of the following actions Municipal Securities Rulemaking Board 56 TABLE OF CONTENTS MSRB Gateway User Manual Ss 1 Transfer the invitation to an authorized user in his organization 2 Decline the invitation 3 Do nothing with the invitation 5 3 3 Transfer the invitation Step 1 If the agent opts to transfer the invitation to an authorized user click Transfer Agent Designation Confirmation There was a problem in establishing Agent Principal relationship for your company The reason is Only a Master Account Administrator can use an invite Here are your options for the next step Click on Transfer Transfer the invitation to authorized personnel from your organization Click on Decline Decline the invitation Click on Continue to Main Menu Not sure at this time and continue to Main Menu Municipal Securities Rulemaking Board All Rights Reserved Terms anc fitions of Use 10 230 10 61 L Step 2 On the Agent Invitation Transfer screen select the authorized user from the dropdown menu Agent Invitation Transfer Select user from list below to transfer invitation to Select user Select user GATEWAY REBMAST
92. ion you must use the MSRB Registration Number MSRB ID and temporary key sent to you via email to log in below Click here for help If you need your Registration Number please contact MSRB staff at 703 797 6668 If you are the Primary Contact for a registered organization click here to log in If you have forgotten your UserID please contact MSRB staff at 703 797 6668 Login MSRB Registration Number 7255 Temporary Key Lia Municipal Securities Rulemaking Board 38 TABLE OF CONTENTS MSRB Gateway User Manual 4 User Account Administration Municipal Securities Dealers and Municipal Advisors Gateway Account Administrators can perform the following account management functions to in Gateway e Create new user Disable user account Re enable user account Grant user account access rights Modify user account details All account management functions are performed on the User Account screen Master Account Administrators and Account Administrators will navigate to this screen differently when performing account administration functions for other users Use the steps below to navigate to this screen Follow these steps whenever updates are made to a user s account Please refer to this section for navigation guidance as these steps will not always repeat for each scenario illustrated in this section After updates are made to the user s account click through the screens to continue with the updates and confirm th
93. ion to MSRB systems on your behaif Manage Continuing Disclosure Requests Process confirmation requests and invite agents for CD submissions Manage Principals Accept and decline invitations from companies that have designated your organization as Agent to submit certain information to MSRB systems on their behait Registrant Information Forms Submit forms that provide information about your organization gt Form RTRS gt Edit or Affirm Your Organization s Form G 40 Filing Step 2 Account Administrators Go to the MSRB Gateway Main Menu and expand Account and Company Management My Profile User ID CHOOK1 Master Account Administrator CAPTAIN HOOK Organization Name Neverland Inc MSRB ID A7259 Email Address Role User Name ohamilton msrb org Change Password The screen will show all Account Administrators for the organization The following is contact information for Account Administrators for your organization You can contact an Account Administrator for assistance with updating your account profile or to add Rights to your account Showing 1 2 of 2 SeA Group Name Email J CAPTAIN HOOK a PETER PAWN Phone Number 222 222 2222 222 222 2222 ohamilton msrb org ohamilton msrb org Municipal Securities Rulemaking Board 78 TABLE OF CONTENTS MSRB Gateway User Manual 8 3 View User Account History Users can view a history of changes that were made to their acco
94. iple ONE E hold down ciri key Agent Designation 7 Groups that this User belongs to are highlighted in bliwe First NWame AGENT Middle N Rule G 40 Account E i7 ENOLA Secondary Market Submissions CI 73 Transfer to this user ur G 40 role oo cestetranster Optional Electronic Mail Contact role Last Name TESTER a Electronic G37 7 Email Address chamitton msrb org ities Emai teresa a C Force password change om next login Title LC Disable the user account Department Phone NWumber Fax Number Addressil Address City updates sae Municipal Securities Rulemaking Board 91 TABLE OF CONTENTS MSRB Gateway User Manual See Step 3 The confirmation screen notes updates to the user s account The user will receive an email detailing the changes to their account Click Confirm User Account to confirm the update Confirm User Account Account Details Account Access Rights User ID ATESTER1 This user will be a Group Administrator for the following Groupish Test Group ODD User Name AGENT TESTER MSEE ID MSRB4 Group s Test Group DDD Email Address ohamilton imsrb ore Title Account Administrator E Department SHORT Syst 7 Address 123 OAK BLVD Macias STE EMMA Primary Market Submissions and willbe unable to administer ser Accounts outside ofthis Group s Ifyou wish for this user to administer all of your company s User Accou
95. irmation requests Click the Confirm button to take action on the confirmation requests Continuing Disclosure Confirmation Invitation Pending Confirmation Requests These are the request from CD users to confirm for a CD role Issuer Obligor Secondary Market Agent Invite user for CD Submissions You may send an invite to a user by proving user s emai address On the next screen you wil be asked to select a CD role Issuer Obligor Secondary Market Agent to mrvite user for Pending Continuing Disclosure Confirmations What s this MSRB ID Name Action DO012A NEW USER Invite user for Continuing Disclosure submissions What s this Invite for Contmumg Disclosure Step 3 The user can confirm the registration or reject the registration CD Approval Please note that you are responsible for ensuring that the users you confirm below is known to you Organization Name Company 6 Email newuser company org OBLIGOR SMAGENT Confirm Resistration Reject Registration ee CSCC Municipal Securities Rulemaking Board 75 TABLE OF CONTENTS MSRB Gateway User Manual 8 Global User Management Functions Gateway users can perform basic account management functions in Gateway These functions include e Modifying user account details e Viewing account administrators in the organization e Viewing user account history e Managing passwords 8 1 Update User Account Details Users can update the following user a
96. is is a system generated e mail PLEASE DO NOT REPLY REPLIES ARE NOT MONITORED If you need assistance with your account please contact an account manager at your organization or You may also obtain more information about MSRB Gateway at httpos 68 142 182 137 msrbi1 control default asp 4 4 Create New User Step 1 From the User Accounts screen select Add New Account User Accounts The following are User Accounts for your company Depending on your MSRB Gateway Access Rights you can add edit or disable User Accounts and search for User Accounts by name email or by Group To view details select the desired User Account from the list Please be advised that all actions taken on MSRB systems by a user through a User Account established for your company shall be your company s responsibility Search for a user Showing 1 2 of 2 By first name Last Last ee User Name Updated Updated By last name By On By email P CAPTAIN HOOK CHOOK1 10 21 2010 4 13 29 PM ny nee A PETER PAN CHOOK1 10 21 2010 4 22 17 PM By Group Show disabled User Accounts Municipal Securities Rulemaking Board 42 TABLE OF CONTENTS MSRB Gateway User Manual See Step 2 Enter the account details for the user on the left side of the screen Select the account access rights you would like to grant the user on the right side of the screen e Users who are granted Account Administrator rights will be an Account Administrator an
97. ith the MSRB Gateway to make submissions on your behalf You will be notified by email the invitation is accepted or declined Please be advised that all actions taken on MSRB systems on behalf of your organization by an Agent you have designated shall be your organization s responsibility Care should be taken in designating Agents to act on your organization s behalf An invitation to and acceptance by an Agent through the MSRB Gateway is not intended to form the basis of a contract between your organization and such Agent It is your organization s responsibilty to ensure that your organization and your Agent have reached a mutual understanding of the scope of duties and the terms of your relationship Agent organization Name GRE Business Agent Email marbdev 1 qgmail com Confirm Agent Email marbdev 1 gmail com Submission ype EMMA Primary Market Disclosure SHORT System E EMMA Primary Market Disclosure Send Invitation Cancel Invitation Back to Agent List Retum to Account Management 2009 Municipal Secuntes Rulemaking Board All Rights Reserved Terms and Conditions of Use 10 230 10 61 Municipal Securities Rulemaking Board 51 TABLE OF CONTENTS MSRB Gateway User Manual See 7 The dealer will see a confirmation screen to show that the invitation was sent to the prospective Agent Invitation Confirmation An email invitation to serve as your Agent has been sent to the following prospective Agent You will b
98. itle Department Phone Number 2 Fax Number Account Access Rights Selectthe Access Rights to assign to this User Account This user will have the following Access Rights in MSRB Gateway Account Administrator 7 SHORT System 7 EMMA Primary Market Submissions O Agent Designation 7 EMMA Secondary Market Submissions O 7 Rule G 40 Account O 7 Transfer to this user your 6 40 role or ceste tansfer Optional Electronic Mail Contact role Electronic G 37 7 C Force password change on next login C Disable the user account Municipal Securities Rulemaking Board 97 TABLE OF CONTENTS Step 2 To deselect a Group click on that Group To deselect several groups control key and click on the Groups you would like to deselect Click Continue Edit User Account Account Details User ID MSEB ID First NWame MMOUSE MSRB4 Test Group AAA Admin MMOLSE 7 Test Group BBB Admin MMIOUSE Test Group CCC Admin TTESTING1 Test Group DDD For single selection dick once For single deselection ctrl hey click For multiple selection deselection hold down col key amp make selections Groups that this User belongs to are highlighted in blue MINNIE Account Access Rights Select the Access Rights to assign to this User Account This user will have the following Access Rights in MSR Gateway Account Administrator SHORT System EMMA Primary Market Submissions Agent Designa
99. losure Invitation sent on 2 16 2010 10 51 54 AM E Corie f Decine Invitation 9 Municipal Securities Rulemaking Board All Rights Reserved Terms a jitions of e 10 230 10 61 5 3 1 Qualified Agent Accepts the Invitation lf an agent who is qualified to accept the invitation clicks Continue to continue with the invitation process the agent will be directed to the Gateway screen below Click Continue and the invitation will be accepted Agent Invite Confirmation i You have accepted the invitation to act as an Agent for submitting documents to the MSRB on behalf of the organization named below Organization Name GRE testing MSRB ID B9999 Phone Number 0 1900 Duke st Alexandria VA 2009 Municipal Securities Rulemaking Board All Rights Reserved Te 5 itions of Us 10 230 10 61 5 3 2 Unqualified Agent Cannot Accept the Invitation If the agent is not qualified to accept the invitation the agent will receive the following error after selecting Continue on the Agent Invitation screen step 2 section 5 3 above Agent Designation Confirmation There was a problem in establishing Agent Principal relationship for your company The reason is Only a Master Account Administrator can use an invite Here are your options for the next step Click on Transfer Transfer the invitation to authorized personnel from your organization Click on Decline Decline the invitat
100. ment Submission POF Manual for Primary Market Submission PDF New Developments MSRB Receives SEC Approval on Disclosure Proposals June 2 2010 MSRB MSRB GATEWAY Access EMMA to Submit Documents LOGIN User Account Management Manual Agent Invitation and Designation Manual Continuing Disclosure Submitters Register to Submit Documents Read About Registration Read About Confirmation Access Continuing Disclosure Manual Read About Recent Enhancements to Continuing Disclosure Submission as of 02 26 2010 After navigating through either link the user will be directed to the MSRB Online Registration page select the registration option for Issuers Obligors and Agents Click Next Welcome to MSRB Online Registration Please select the applicable registration type from the options listed below Issuers Obligors and Agents Lam registering as an issuer obligor and or agent to submit documents to EMMA Regulated Entities Lam registering as a broker dealer municipal securities dealer or municipal advisor and have already registered with the SEC My organization already has an MSRB registration and wants to add either a municipal security dealer or municipal advisor role to our existing registration Municipal Securities Rulemaking Board 63 TABLE OF CONTENTS MSRB Gateway User Manual ee Register using the steps below Step 1 Enter email addres
101. nfirmation Pending Reimitiate Confirmation Retum to Mam Menu role Municipal Securities Rulemaking Board 74 TABLE OF CONTENTS MSRB Gateway User Manual 7 4 Manage Requests for Confirmation An organization may receive requests from users in another organization to confirm their registration These confirmation requests are managed in Gateway The user can view the pending request and confirm the user Use the steps below to view and confirm confirmation requests Step 1 From the Gateway main menu expand the link Account and Organization Management and click Manage Continuing Disclosure Requests My Profile MSRB Gateway Main Menu User ID TUSER10 Welcome to MSRB Gateway Your User Account has the following Access Rights Role Uke User Hame TEST USER Click on a section to expand Finain ams Gopan 6 MSRB ID D0011Y Email Address ohemiltonGhnsrb ong Change Password Account and Organization Management Manage Organization Profile View and edit organization level details gt Manage Continuing Disclosure Requests Process confirmation requests and invite agents for CO submissions gt Add Remove Roles for Continuing Disclosure Service Market Information Systems Access MSAB systems used fo submit documents and data related to municipal market activity and political contributions gt EMMA Dataport Submit documents and information to EMMA Step 2 View pending continuing disclosure conf
102. nfirmation status the user can view confirmation status by logging into their Gateway account and following the steps below Step 1 From the Gateway Main Menu expand the Account and Organization Management link and click Add Remove Roles for Continuing Disclosure Service Municipal Securities Rulemaking Board 71 TABLE OF CONTENTS MSRB Gateway User Manual E MSRB Gateway Main Menu Welcome to MSRB Gateway Your User Account has the following Access Rights Chick on a section to expand Account and Organization Management gt Manage Organization Profile View name address and phone information for your organization Manage Continuing Disclosure Requests Process confirmation requests and invite agents for CD submissions Add Remove Roles for Continuing Disclosure Service Market Information Systems Access MISAB systems used to submit documents and data related fo municipal market activity and political contributions gt EMMA Dataport Submit documents and information to EMMA Step 2 View the confirmation status Add Remove Roles Please choose the role you will be assuming for submitting continuing disclosure documents to EMMA You may choose more than one role Please note that you are responsible for ensuring that the role s vou select below accurately reflect your actual role in connection with submissions of continuing disclosure documents to the EMMA system Select Role s you wish to
103. nistrators from one group to another The Global Account Administrator cannot perform the following functions e Add edit or delete a Group e Grant Account Administrator account access rights therefore cannot create Global Account Administrators or Group Account Administrators e Remove Account Administrator account access rights therefore cannot remove Global Account Administrator or Group Account Administrator roles Group Account Administrator Group Account Administrators have administrative rights that are limited to users within his her group A Group Account Administrator can perform the following functions e Manage user accounts within his her Group s e Create new users The new user will be added to a Group that the Group Account Administrator manages C E e strator a Group Account Administrator can administer to multiple Groups 9 2 Create a New Group To use the Groups feature the Master Account Administrator must first create a Group using the following steps Step 1 From the MSRB Gateway Main Menu expand Account and Company Management link Click Manage Groups MSRB Gateway Main Menu My Profile Welcome to MSRB Gateway Your User Account has the following Access Rights User ID MTESTERS hlaster Account pe Administrator Click on a section to expand A User Name MASTER TESTER Account and Organization Management Organization Name MSRB4 iManage profile information for pour U
104. nization This role can be switched at any time In the event that a new role is being added to an existing MSRB registration the person performing this task must be the Primary Contact There will be an opportunity for this individual to change the Primary Contact For municipal securities dealer organizations the Primary Contact must be either a Series 53 registered municipal securities principal or a Series 51 registered municipal fund securities limited principal No qualifications are required for municipal advisor organizations at this time Registration Fees Upon completing the online portion of the MSRB registration you will be directed to print the MSRB registration confirmation complete the accounting contact section and mail it along with a payment of 600 100 for initial registration and 500 for annual fee The annual fee is due for each MSRB fiscal year in which the municipal securities dealer or municipal advisor is registered with the MSRB and is not pro rated The MSRB fiscal year runs from October 1 September 30 is Please note If you are adding organization roles to an existing organization no fees apply Each firm pays only once Registration Status Until the MSRB verifies your SEC number and if applicable processes your payment your registration and or your respective account role will be in Pending status Once the payment is processed the MSRB account role status will be changed to Authorized and a c
105. nts click on Edit User Account deselect the Group s and click on Continue atthe bottom of the page Click on Confirm User Account to complete the process BASILLUS WA 54123 Agent Designation 7 EMMA Secondary Market Submissions Phone Number 123 125 1254 Rule G 40 Account 7 Fax Number 123 123 1254 Electronic G 37 7 Confirm User Account User Account Retum to Accounts Retur to Account Management 9 4 Delete User from a Group Use the following steps to delete a user from a group Step 1 Navigate to the users Account Details page and click Edit User Account Step 2 On the user s account detail screen the group s that the user belongs to will be highlighted To remove the user from a group click on the highlighted group to deselect the group Note if the user has Account Administrator account access rights and is removed from all groups the user will become a Global Account Edit User Account Account Details Account Access Rights User ID ATESTER1 Selectthe Access Rights to assign to this User Account MSEB ID This user will have the following Access Rights in MSRB Gateway Test Group AAA Admin TTESTING1 hc ceteriit Adaim Test Group BBB Admin MIVIOUSE SHORT System 7 EMALA Primary Market Submissions 7 For multiple selection de selection hold down ctrl key amp make selections Agent Designation 7 Groups that this User belongs to are highlighted in blue Fir
106. nts by name email or by Group To view details select the destred User Account from the list Please be advised that all actions taken on MSEEB systems by a user through a User Account established for your company shall be your company s responsibility Search for a user Showing 1 10 of 10 By first name Last Last i User Name Updated Updated Ey last name By On By email B AGENT TESTER MTESTER3 6 16 2010 2 41 09 PM FR pONALD DUCK MTESTER3 6 15 2010 2 27 02 PM By Desay A MASTER TESTER MTESTER3 6 15 2010 2 26 49 PM Fi xaNNIE MOUSE DDUCKI 6 16 2010 10 2026 AM Show disabled User Accounts L Ay MOLLY TESTER MTESTER3 6 16 2010 2 29 10 PM FRrorty TESTER DDUCKI 6 15 2010 4 27 28 PM Le Ee A ROLLY TESTER DDUCKI 6 16 2010 10 2948 AM FR TALLY TESTING DDUCKI 6 16 2010 11 50 02 AM Add New Account A UP DOWN TTESTINGI 6 16 2010 10 4332 AM Step 2 Add the user to a Group by clicking on the Group A user can be placed in several Groups by holding down the control key while selecting the Groups Click Continue to continue with the Edit User Account Account Details Account Access Rights User ID Select the Access Rights to assign to this User Account MSEB ID This user will have the following Access Rights in MSRB Gateway Test Group AAA Admin TTESTING1 7 Accu Administeater 7 Test Group BBB Admin MOIVIOUSE Test Group CCC Admin TTESTINGI SHORT System 7 EMMA Primary Market Submissions 7 For mult
107. onfirmation emailed to the Primary Contact SE ee Ee Step 5 Enter the organization information Click OK MSRB Registration Organization Information Please provide your organization s details Organization Name Neverand Inc Phone Number 222 2 222 2222 Ext Fax Number i J z L l Address 1 123 Any St Address 2 a city ky State st Country required a OK Step 6 Select organization type An organization can register as any of the following organization types Municipal Securities Dealer Bank Dealer Municipal Advisor or have a dual registration as a Municipal Securities Dealer or Bank Dealer and Municipal Advisor See registration options below for registration requirements 2 1 Register as a Municipal Securities Dealer Click the box Municipal Securities Dealer and enter the SEC ID and FINRA CRD Click OK Municipal Securities Rulemaking Board 11 TABLE OF CONTENTS MSRB Gateway User Manual See proceed to step 8 to create G 40 contact and continue with registration MSRB Registration Add Organizational Roles Please choose the organization role s You may choose more than one role Enter the corresponding SEC ID for each role selected Broker dealers must also provide their CRD number My organization has the following role s My firm engages in municipal securities dealer activities Municipal Securities Dealer SEC ID 39939999939
108. or by Group To view details select the desired User Account from the list Please be advised that all actions taken on MSRB systems by a user through a User Account established for your company shall be your company s responsibility Search for a user Showing 1 2 of 2 By first name Last Last User Name Updated Updated By last name By On By email Lf CAPTAIN HOOK CHOOKi 10 21 2010 4 13 29 PM Show disabled User Accounts L Step 2 Click the account access right s you would like to grant the user Add User Account Complete all required information below and assign one or more Access Rights to create a new User Account If no Access Rights are given the User Account will be automatically disabled Account Details Account Access Rights MSRB ID Select the Access Rights to assign to this User Account Group s i ip This user will have the following Access Rights in MSRB Gateway First Name Account Administrator 7 Middle Name SHORT System 7 Last Name EMMA Primary Market Submissions Email Address Agent Designation Confirm Email EMMA Secondary Market Submissions Title Electronic G 37 Department Phone Number Fax Number Addressi Address City State fip Country Step 3 Save and confirm the updates Municipal Securities Rulemaking Board 44 TABLE OF CONTENTS MSRB Gateway User Manual See Users can view access rights that they have been granted by expanding the
109. organization Change Password gt Form RTRS gt Edit or Affirm ty Organization s Form G 40 Filing Market Informati Systems Access MSRB systems used to submit documents and data related to municipal market activity and political contributions Restricted Content Confidential information related to your service with the MSRB Regulator Web Access to reports etc gt All Enforcement Agencies Staff Content Access to staff only content Administration Access to Gateway administration tools Step 3 On the Organization Summary screen edit the organization type MSRB Organization Summary Form G 40 Amendment Affirmation This form is used for a registrant seeking to either file an amended Form G 40 pursuant to rule G 40 b ii or affirm information related to its primary Electronic Mail Contact such changes are automatically considered an amendment or affirmation pursuant to rule G 40 Click on Edit to make changes to your information Once edits are complete click OK to return to this summary page and affirm your G 40 contact information by clicking on the Affirm button below Organizational Details i Organizational Roles Organization Name Dealer Registration 1 Broker dealer Status Authorized MSRB ID A7246 Phone Number 333 444 3333 Ext 444 Broker dealer SEC ID 22222222222 Fax Number Broker dealer CRD Number 8888888 Address 1 33 Any St Address 2 City Any State
110. organization does not have an existing account with Milestones the MSREB click here to begin the MSRB online registration process MSRB For lf the registering organization is already registered with the MSRB as a municipal advisor the municipal securities dealer registration can be completed by logging into the organization s current MSRB account and adding the role of municipal securities dealer to the account The Primary Contact can click here to log into Gateway and modify the Registered Dealer List organization role About Municipal Securities Investor Resources Step 3 Select registration for Regulated Entities Click the first option to register as a broker dealer municipal securities dealer or municipal advisor Welcome to MSRB Online Registration Please select the applicable registration type from the options listed below Issuers Obligors and Agents I am registering as an issuer obligor and or agent to submit documents to EMMA Regulated Entities I am registering as a broker dealer municipal securities dealer or municipal advisor and have already registered with the SEC My organization already has an MSRB registration and wants to add either a municipal security dealer or municipal advisor role to our existing registration me Step 4 Read the registration guidelines and press Accept when finished MSRB Registration Registration Guidelines Welcome to the MSRB online registration page for brok
111. ospective Agent You will be notified by email if the invitation is accepted or declined Agent Name MSRB4 MSRB ID MSRB4 Phone Number Address 1900 Duke Street Suite 600 Alexandria VA 22314 Submission Type SHORT System v Confirm Invitation Cancel Invitation Back to Agent List Retum to Account Management 5 If the agent is not found click Add Agent to add agent details Municipal Securities Rulemaking Board 50 TABLE OF CONTENTS MSRB Gateway User Manual E Add a New Agent To designate an Agent you must first search to see f the Agent has already registered Please be advised that all actions taken on MSRE systems on behalf of your company by an Agent you have designated shall be your company s responsibility Care should be taken in designating Agents to act on vour company s behalf Search by The following agents have been found If you are unable to find the correct Agent refine your search criteria or select Add an Agent Orpuitin Name below or MSRB D No results found BHAE Showing 1 0 of 0 Back to Agent Management Retum to Account Management 6 Provide the requested information for the agent and click Send Invitation Logout Agent Invitation Add a New Agent To mvite an unregistered new Agent to submit certain mformation to the MSRB on vour behalf fill in the required mformation below The Agent will receve an email invitation to register w
112. ove users from a Group Add himself herself to a Group Master Account Administrator privileges will not be affected Appoint Group Account Administrators Remove a user s Group Account Administrator role by gt Removing the user from the Group s that he she manages If removed from all groups the user will become a Global Account Administrator or gt Remove the user s Account Administrator account access right The user will remain in the group that he she previously managed but will no longer have administrative rights e Appoint Global Account Administrators by granting the user Account Administrator account access rights but not appointing the user to a group e Remove a user s Global Account Administrator role by removing the user s Account Administrator account access rights The user will no longer have administrative rights and the user s account will be disabled if no other user account access rights are granted Global Account Administrator Global Account Administrators can perform the following functions for all users except the Master Account Administrator e Add users to a group with the exception of Global Account Administrators e Edit all Group accounts Municipal Securities Rulemaking Board 88 TABLE OF CONTENTS MSRB Gateway User Manual e Move users from one Group to another Group with the exception of Global Account Administrators who do not belong to a Group e Move Group Account Admi
113. pdate their account in Gateway to reflect the change Use the steps below to make the updates Step 1 From the Gateway Main Menu expand the link Account and Organization Management and click Add Remove Roles for Continuing Disclosure Service MSRB Gateway Main Menu Welcome to MSRB Gateway Your User Account has the following Access Rights Chck on a section to expand Account and Organization Management Manage Organization Profile View name address and phone information for your organization Manage Continuing Disclosure Requests Process confirmation requests and invite agents for CD submissions Add Remove Roles for Continuing Disclosure Service Market Information Systems Access MISAEB systems used to submit documents and data related fo municipal market activity and political contributions gt EMMA Dataport Submit documents and information to EMMA Step 2 Click inside the box to add a role Click on the check inside the box to deselect a Add Remove Roles Please choose the role you will be assuming for submitting continuing disclosure documents to EMMA You may choose more than one role Please note that you are responsible for ensuring that the role s vou select below accurately reflect your actual role in connection with submussions of continuing disclosure documents to the EMMA system Select Role s you wish to add Remove Issuer 7 CI Obligor 7 CI Secondary Market Agent 7 Co
114. pursuant to rule G 40 b i or affirm information related to its primary Electronic Mail Contact such changes are automatically considered an amendment or affirmation pursuant to rule G 40 Click on Edit to make changes to your information Once edits are complete click OK to return to this summary page and affirm your G 40 contact information by clicking on the Affirm button below Organizational Details Organizational Roles Organization Name Neverland Inc 1 Broker dealer Status Authorized MSRB ID A7259 Phone Number 222 222 2222 Ext Fax Number Address 1 123 Any St Address 2 City Any State ST Zip 12345 Country Broker dealer SEC ID 9999999999 Broker dealer CRD Number 8888888 G 40 Primary Contact G 40 Optional Contact First Name Middle Name Last Name Name Suffix Email Address Phone Number Address1 Address City State Zip Country CAPTAIN HOOK ohamilton msrb org 222 222 2222 Ext 123 ANY ST ANY oT 12345 First Name PETER Middle Name Last Name PAN Name Suffix Email Address Phone Number Address1 Address City State Zip ohamilton msrb org 222 222 2222 Ext 123 ANY ST SUITE 600 ANY ST 127345 Country Cancel I affirm that this information is correct Affirm 3 3 Remove Optional G 40 Contact While the primary G 40 contact cannot remove their role the optional G 40 contact can remove this role
115. r s account can be re enabled at anytime See Section 5 to re enable a user account Use the following steps to disable a user account Step 1 Navigate to the User Accounts screen and double click the user you wish to disable Click Edit User Account User Accounts The following are User Accounts for your company Depending on your MSRB Gateway Access Rights you can add edit or disable User Accounts and search for User Accounts by name email or by Group To wiew details select the desired User Account from the list Please be advised that all actions taken on MSRB systems by a user through a User Account established for your company shall be your company s responsibility Search for a user Showing 1 3 of 3 By first name Last Last User Name Updated Updated By on By last name By email is COS ET CAPTAIN HOOK CHOOK1 10 21 2010 4 13 29 PM By Right E PETER PAN CHOOK1i 10 21 2010 4 22 17 PM GT TINKER BELL CHOOKL 10 21 2010 4 28 06 PM ev croup E Show disabled User Accounts C Ee Step 2 Click in the box Disable the user account Click Continue Municipal Securities Rulemaking Board 45 TABLE OF CONTENTS MSRB Gateway User Manual ii Edit User Account Account Details Account Access Rights UserID TBELL Select the Access Rights to assign to this User Account MSRB ID A7259 This user will have the following Access Rights in MSRB Gateway Group
116. ration is authorized The organization can still perform functions authorized under the existing organization type but cannot perform functions under the new organization type until the Pending status is lifted Congratulations you have successfully submitted your firm s registration to the MSRB Your MSRB Registration Number MSRB ID is K0197 Your registration is pending Your broker dealer registration is pending SEC ID verification You may print a copy of the registration summary for your records Registration Summary pan Amend Advisor Roles on a Municipal Advisor Registration A Municipal Advisor can update their MSRB registration to reflect any updates to the municipal advisory activities they perform Use the following steps to add remove Municipal Advisor roles Step 1 Navigate to the Organization Summary page and edit the organization roles MSRB Organization Summary To accept this information and complete your submission please click the Confirm button below Organizational Details Edit Organizational Roles Organization Name Advisor Only Organization 1 Municipal Advisor Status Authorized MSRB ID K0197 Phone Number 999 999 9999 Ext Municipal Advisory Activities Include Fax Number 1 Swap Derivative Advisor Address 1 99 Any St 2 GIC Broker Advisor Address 2 City Any Municipal Advisor SEC ID 33333333333 State ST Zip 12345 Country Step 2 Ensure that the Municipal Ad
117. re Submission Manual Password for information on creating an account in MSRB Gateway To return to MSRB org from within MSRB Gateway application click on the MSRB Home link at the top right corner of the current web page If you are experiencing log in or other system related problems please check the MSRB Forgot your password System Status Page for more information If you need additional help please contact the Jy MSRB via email at GatewaySupport msrb org or by phone at 703 797 6668 Step 2 Enter your user ID and click Submit If you do not Know your user ID contact an Account Administrator in your organization See section 26 to find an Account Administrator Reset Password To reset your password enter your User ID below If you do not know your User ID or you need an MSEB Gateway account contact a representative in the Market Information Department at 705 797 6668 UserID Step 3 You will see a screen stating that an email containing a link to reset your password has been emailed to you Check your email inbox MSRB Account Password A link to reset your password has been emailed to the address registered with the MSRB for this account If you are having problems receiving this link please contact a representative in the Market Information Department at 703 797 6668 Step 4 Retrieve the email and click on the link to reset your password Municipal Securities Rulemaking Board 84 TABLE OF CONTENTS
118. rent registered information for this account is MSRB REGISTRATION NUMBER MSRB ID A7259 ORGANIZATION NAME Neverland Inc PRIMARY CONTACT Peter Pan EMAIL ADDRESS ohamilton msrb org PHONE 222 222 2222 To change your organization s registration information prior to MSRB authorization please click on the link below and authenticate using your MSRB Registration Number MSRB ID and this temporary key Temporary Key WBB7NMFGN7 Temporary Key Expiration Date 12 5 2010 10 44 27 AM Eastern Registration Link https www msrb org msrbi control registration FormalRegistration g40 asp Please keep this temporary key confidential to prevent unauthorized modification of your organization s G 40 registration This temporary key is valid for 45 days or until your first successful submission using it Form RTRS is used by municipal securities dealers to submit and update details about their organization and information required to report municipal securities trade activity in connection with the MSRB s Real Time Transaction Reporting Service RTRS Please go to http www msrb org msrb1 pdfs FormRTRSInstructions pdf to print instructions for completing The registration status will change from Pending to Authorized after the MSRB confirms FINRA CRD no SEC ID number s the payment is processed and FINRA registration is complete for broker dealers and bank dealers An email will be sent to the primary contact and optional contact
119. required TBELL A7259 TINKER BELL ohamilton msrb org ohamiltont merb ong 22 z2 222 ext et at _ Account Access Rights Select the Access Rights to assign to your User Account You will have the following Access Rights in MSRB Gateway Account Administrator SHORT System 7 EMMA Primary Market Submissions Agent Designation EMMA Secondary Market Submissions Electronic G 37 7 C Force password change on next login C Disable the user account Retum to Accounts Retum to Account Management Municipal Securities Rulemaking Board 79 TABLE OF CONTENTS MSRB Gateway User Manual Step 3 View User Account Profile History or User Account Access Rights History User Account Profile and Access Rights Account Details Account Access Rights UserID TBELL You have the following Access Rights in MSRB Gateway UserName TINKER BELL Account Administrator 7 Email Address ohamilton msrb org Title Department Address 123 ANY ST ANY ST 12345 EMMA Primary Market Submissions Agent Designation 7 EMMA Secondary Market Submissions Electronic G 37 Phone Number 222 222 2222 Fax Number Last pai CHOOK1 On ee 5 0257 Ss Vew User Access Fights History Profile history shows all updates to the account and who made the updates User Account Profile History Click on an entry for available detail Showing 1 5 of 5 Jott Updated
120. rganizational Details Edit Organizational Roles Organization Name Neverland Inc 1 Broker dealer Status Authorized MSRB ID A7259 Phone Number 222 222 2222 Ext Broker dealer SEC ID 9999999999 Fax Number Broker dealer CRD Number 33838888 Address 1 123 Any St Address 2 City Any State ST Zip 12345 Country G 40 Primary Contact i G 40 Optional Contact First Name Captain None currently defined Middle Name Last Name Hook Name Suffix Email Address chamilton msrb org Phone Number 222 222 2222 Ext Address1 123 Any St Address City Any State ST Zip 12345 Country I affirm that this information is correct Affirm Municipal Securities Rulemaking Board 28 TABLE OF CONTENTS MSRB Gateway User Manual Step 6 The confirmation screen will confirm the update Congratulations you have successfully updated your firm s registration with the MSRB Your MSRB Registration Number MSRB ID is A 259 You may print a copy of the registration summary for your records Step 7 Gateway system generated emails will be forwarded to both parties affected by the update The new G 40 contact will receive an email stating that their account is now active for MSRB Rule G 40 Your account is now active for MSRB Rule G 40 USER ID CHOOK1 To change your password please visit the link below http 68 142 182 137 msrb1 control forgotpassword asp Please keep this information confident
121. s assigned Issuer Obligor Secondary Market Agent You may confirm this account by clicking on Confirm this User Confirm this User Retum to Continuing Disclosure Management Retum to Company Management 6 2 1c Both Users have Unconfirmed MSRB Registrations If both users have unconfirmed MSRB registrations the invited user must initiate the confirmation process For instruction on how to initiate a confirmation process see section 22 If the invited user is not registered with the MSRB a link will be emailed to the user to start the registration process after an invitation has been sent Municipal Securities Rulemaking Board 69 TABLE OF CONTENTS MSRB Gateway User Manual E ccc CTT Please keep this information confidential to prevent unauthorized use Mahesh Co D 11V has invited you to register to submit continuing disclosure documents and related information to the MSRB s Electronic Municipal Market Access system EMMA Please click on the link below to accept or decline the invitation You will not be able to act as an Agent until you have accepted this invitation httos www mseb org msrbi control registration cod landin If the link above does not work please navigate to https www msrb org msrbi control registration cod landing asp and use invite code MQuv92Z7ZbBaNgaQuFhwzktmWwyFH1P PLEASE DO NOT REPLY REPLIES ARE NOT MONITORED This is a system generated e mail If you need assistance please contact the MSRB
122. s of the person registering Continuing Disclosure Registration Step 1 Welcome Welcome to the registration page for the continuing disclosure submission service on the MSRB s Electronic Municipal Market Access EMMA system If you are a new user seeking to register as an issuer obligor and or agent to submit documents to EMMA please provide a valid e mail address below to continue the registration process All users that received an invitation code via e mail from MSRB must enter an e mail address and the invitation coded below If these fields have been pre populated for you click Next Existing users of MSRB Gateway may use them existing credentials to register for the continuing disclosure submission service and to edit existing roles within Gateway Click below to enter your credentials Please be advised that all actions taken on MSRB systems inchiding but not limited to the EMMA system by a user through a User Account shall be your responsibility New Users E mail Address newuser7 company org Invitation code Applies only to users who received an invitation code from MSRB via e mail required Existing Users Logm Step 2 Enter user information Continuing Disclosure Registration Step 2 User Information Please fill out your personal information including name e mail address phone number and address Please be advised that if you submit a continuing disclosure document to the EMMA
123. ser Account or for your onganization MSRE ID MSRB4 gt Manage User Accounts Email Address ochemiltondatmarb ong Add edit and disable individual User Accounts for your organization Change Password 2 View Organization Profile View mame address and phone information for your organization gt Manage Groups Note this feature is recommended only for large organizations Use Groups to help organize your organization s User Accounts gt Manage Agents Designate Agents to submit certain information to ISAS systems on your behalf 2 gt Manage Continuing Disclosure Requests Process confirmation request and invite agents for CD subniissrons Manage Principals Accept and decline invitations from companies that have designated your organization as Agent to submit certain information to MSA systems on their behalf gt View Account Administrators View pour organization s Account Aaministrators Registrant Information Forms Submit forms that provide information about your organization gt Form RTRS Form G 40 Electronic Mail Contacts Municipal Securities Rulemaking Board 89 TABLE OF CONTENTS MSRB Gateway User Manual Step 2 A list of Groups within the organization will be displayed Click Add New Group Groups Users by Group You can use Groups to organize your company s User Accounts For example E your organization has three different offices you can create a Group for each and categorize existing or
124. st Name AGENT EMMA Secondary Market Submissions CO 7 Middle Name Rule G 40 Account wa 7 Transfer to this user ur 6 40 role of creste transfer Optional Electronic Mail Contact role Last Name TESTER iat oF Electronic G 37 7 Email Address ohamiltonf merb org Confirm Email ohamitton merb ong C Force password change on next login Title C Disable the user account Department Phone Number Fax Number Address1 123 OAK BLWO Address STE as Administrator _ Municipal Securities Rulemaking Board 92 TABLE OF CONTENTS MSRB Gateway User Manual 9 5 Create Global Account Administrator Only the Master Account Administrator can create a Global Account Administrator The Master Account Administrator must grant Account Administrator rights to an existing user or create a new user and grant them this right The Global Account Administrator will not be assigned to any Group Use the following steps to create a Global Account Administrator Step 1 Grant the user Account Administrator rights Click Continue Edit User Account Account Details Account Access Rights User ID MMIOUSE Select the Access Rights to assign ta this User Account MSRE ID MSRE This user will have the following Access Rights in MSRB Gateway Test Group AAA Admin TTESTING1 Arenal Adminiciesior 7 Test Group BBB Admin MMIOUSE Test Group CCC Admin TTESTING1 SHORT Sys
125. system and do not include separate issuer or obligor contact information during the submission process then your own contact information as provided on this and or the next page will be displayed on the EMMA public website in connection with such submission First Name New Last Name User aj E mail Address newuser7 company org Confirm E mail newuser7 company org Title Department Phone Number 77 z 7 7777 Ext Fax Number 2 Address1 57Any St Address2 City State Zip Country Step 3 Enter registering organization s information Continuing Disclosure Registration Step 3 Organization Information Please prowide your organization s details If this information is the same as your personal information chick on Copy waloes from user details Note If you are not associated with an organization please enter your first and last name in the Organization Mame field Copy values from user details Organization Name yer F Phone Number Fax Number l Address 1 B7Arny St Address 2 Cit State ips Country required Step 4 Select role Issuer Obligor or Secondary Market Agent Municipal Securities Rulemaking Board 64 TABLE OF CONTENTS MSRB Gateway User Manual RR mmm ccc TT Continuing Disclosure Registration Step 4 Add Roles Please
126. tation An email will be sent to the inviter stating that their invitation was declined Municipal Securities Rulemaking Board 59 TABLE OF CONTENTS MSRB Gateway User Manual ie AD Agent Invitation The organization below has invited you to act as an Agent on its behalf to submit certain documents and information to the MSRB_ Questions about this designation should be directed to the organization named below If you wish to continue with the designation process select Continue below If this invitation was sent in error or you do not wish to serve as an Agent select Decline Invitation Invitor Name GATEWAY REDEALER Organization Name GRE testing Phone Number 0 Address 1900 Duke st Alexandria VA 22314 Submission Type EMMA Primary Market Disclosure Invitation sent on 2 16 2010 10 51 54 AM 9 Municipal Securities Rulemaking Board All Rights Reserved Terms a onditions of Use 10 230 10 61 5 3 5 Take no Action Step 1 Ifthe invited agent opts to take no action time they will click Continue to Main Menu Agent Designation Confirmation There was a problem in establishing Agent Principal relationship for your company The reason is Only a Master Account Administrator can use an invite Here are your options for the next step Click on Transfer Transfer the invitation to authorized personnel from your organization Click on Decline Decline the invitation Click on Continu
127. tem 7 fest Secs EMMA Primary Market Submissions 1 For single selection dick once For single deselection ctrl key click I For multiple selection deselection hold down chil key amp make selections Agent Designation 7 Groups that this User belongs to are highlighted in blue z EMMA S r Market Submissi F First Name MINNIE econdary ubmissions O 17 Middle Name Rule G 40 Account C 7 Last Name MOUSE Transfer to this user your G 40 role of ceate transfer Optional Electronic Mail Contac role Electronic G 37 7 Email Address ohamitton msrb ong Confirm Email ohamilton merb onrg 1 Force password cl re wn n xt lest Title C Disable the user account Department Phone Number 333 333 Fax Number C Address1 1900 DUKE ST Address Cit ALEXANDRIA State Step 2 The Confirm User Account screen will reflect that that the user is an account administrator and is not assigned to any Group This user can perform most account administrative functions to any user in any Group Click Confirm User Confirm User Account Account Details Account Access Rights User ID MMMOUSE This User Account will be an Account Administrator and will be able to administer User Name MINNE MOUSE MSEB ID MSRB4 Group s Email Address ohamilton msrb org Title Department Address 1900 DUKE ST Account Administrator 7 ALEXANDRIA VA 22314 SR ye i 2 EMALA Primary Market Su
128. the MSRB web site through http 68 142 182 137 msrb1 control default asp 2 5 Amend a Pending Registration Municipal Securities Rulemaking Board 18 TABLE OF CONTENTS MSRB Gateway User Manual SSS If updates are required after a registration is submitted to the MSRB the registration can be amended while it is still in Pending status Follow the steps below to amend the registration Step 1 Retrieve the email received from the MSRB after the registration was submitted Locate the temporary key the temporary link and the MSRB ID Click on the registration link to be directed to the MSRB Registration screen Thank you for submitting your organization s registration information to the Municipal Securities Rulemaking Board M5RB Your registration status is Pending until MSRB review and your payment is processed The current registered information for this account is MSRB REGISTRATION NUMBER MSRB ID A7246 ORGANIZATION NAME Dealer Registration PRIMARY CONTACT Testing Dealer EMAIL ADDRESS ohamilton msrb org PHONE 333 444 3333 To change your organization s registration information prior to MSRB authorization please click on the link below and authenticate using your MSRB Registration Number MSRB ID and this temporary key Temporary Key JX AB446V Temporary Key Expiration Date 11 25 2010 1 17 28 PM Eastern Registration Link https www msrb org msrbi control registration FormalRegistration g46 asp
129. ting a new user with Account Administrator access rights and adding the user to a Group or e Granting an existing user Account Administrator access rights and adding the user to a Group If transferring this right to a new or existing User Account Administrator access rights must be granted to the user The Master Account Administrator can appoint a Group Account Administrator from the User Accounts screen or use the Manage Groups function Steps for both methods are described below User Accounts Screen Municipal Securities Rulemaking Board 94 TABLE OF CONTENTS MSRB Gateway User Manual Step 1 Select an existing user with Account Administrator access rights and edit the user s account User Account Profile and Access Rights Account Details Account Access Rights User ID DDUCK1 This user has the following Access Rights in MSRB Gateway User Name DONALD DUCK Account Administrator i MSEB ID MSRB4 SHORT System Py Email Address ohamilton msrb org EMMA Primary Market Submissions Title Department Address 1900 DUKE ST ALEXANDRIA VA 22514 Agent Designation 7 EMMA Secondary Market Submissions 7 Rule G 40 Account 7 Electronic G 37 7 Phone Number 335 355 3333 Fax Number Last Updated by MTESTERS On 615 2010 2 27 02 PM View Profile History View User Access Rights History Edit User Account Step 2 Under Account Details a listing of all available Groups will be
130. tion EMMLA Secondary Market Submissions 7 7 El 71 7 El 7 MSRB Gateway User Manual hold down the Rule G 40 Account CI 7 Transfer to this user your 6 40 role of cestetransfer Optional Electronic Mail Contact role Electronic G 37 7 Middle Name Last NWame MOUSE ohamilttont msrb org ohamilttont merb org Email Address Cantr Semel L Force password change on next login Title C Disable the user account Department Phone NWumber a33 _ 333__ 3233_ Ext e A Fax Number A confirmation screen will confirm User Account Update Results Step 3 The folowing User Account was successfully updated An emai confirmation was sent to the user User ID MSEE ID MMOUSE MSEE MINNIE MOUSE ohamiltonfimerb org Name Email Address Retum to Accounts Retam to Account Management updates 9 9 Delete a Group Only the Master Account Administrator can delete a Group s When the Master Account Administrator deletes a Group s the user accounts are not deleted but instead are disassociated from that Group s Follow steps below to delete a Group Step 1 From Account and Company Management on the MSRB Gateway Main Menu select Manage Groups Locate the Group s you would like to delete and click Delete next to the Group name Groups Users by Group You can use Groups to organize your company s User Accounts For example if your organization has three dif
131. tion Document This document will be available to print after Step 6 Municipal Securities Rulemaking Board 65 TABLE OF CONTENTS MSRB Gateway User Manual See To proceed with manual confirmation click Next Continuing Disclosure Registration Step 5 Confirmation Electronic Please enter the e mail address of the person confirming you This person should be a confirmed user m MSKB Gateway acting as an issuer obligor secondary market agent or dealer underwriter If you do not have the e mail address of a confirmed user just leave the box below blank and click Next to proceed to an alternative confirmation method Confirmer s Email Address fs Step 6 Verify information entered for the Gateway account and click Submit Continuing Disclosure Registration Step 6 Information Verification You have chosen manual confirmation On the next screen you will see your confirmation document Please verify that the information you have provided is correct If you wish to edit any page click on the Previous button to navigate to the appropriate screen If you need to edit any user related information please click on the Edit User Details Please note that you are responsible for the accuracy of all information provided in connection with the establishment of this account Click on Submit to create the account and generate your confirmation document Individual Information Organization Information John Doe Your
132. unt profile or to their account access rights Step 1 MSRB Gateway Main Menu Locate the My Profile box in the upper right of the Gateway Main Menu Click Edit My Profile Welcome to MSRB Gateway Your User Account has the following Access Rights User ID TBELL Role Account Administrator TINKER BELL Organization Name Neverland Inc Account and Organization Management MSRB ID AT 59 Manage profile information for your User Account or for your organization gt Manage User Accounts Click on a section to expand User Name Email Address cham iltongmea rb ong Change Password Add edit and disable individual User Accounts for your organization View Account Administrators View your organization s Account Administrators Manage Agents Designate Agents to submit certain information to MISAB systems on your behalf Manage Continuing Disclosure Requests Process confirmation requests and invite agents for CD submissions Manage Principals Accept and decline invitations from companies that have designated your organization as Agent to submit certain information to MISRE systems on their behalf Step 2 On the Edit User Account screen click View Profile Edit User Account Account Details User ID MSRB ID First Name Middle Name Last Name Email Address Confirm Email Title Department Phone Number Fax Number Address1 Address City State Zip Country
133. ust also provide their CRD number Please note that you are responsible for ensuring that the role s you select below accurately reflect your organization s actual role s My organization has the following role s My firm engages in municipal securities dealer activities Municipal Securities Dealer SEC ID 93999999999 This organization is a bank dealer FINRA CRD My firm engages in municipal advisory activities Municipal Advisor SEC ID Werte FATT i Select the Municipal Advisor role s If the advisory subtype is not listed select Other and give a brief description of the advisory activities Click OK proceed to step 8 to create G 40 contact and continue with registration MSRB Registration Add Municipal Advisor Subtypes What type s of municipal advisory services does your organization provide Check all that apply Municipal Advisor Subtypes Financial Advisor Swap Derivative Advisor GIC Broker Advisor Placement Agent Solicitor Finder Third Party Marketer Other specify S O PK Step 7 Create G 40 Primary Contact Click OK If phone no and address is same as the organization information click Copy Municipal Securities Rulemaking Board 14 TABLE OF CONTENTS MSRB Gateway User Manual MSRB Registration Add G 40 Primary Contact Information Please provide contact details If this information is the same as your organizational information click
134. visor role is selected and click OK Municipal Securities Rulemaking Board 24 TABLE OF CONTENTS MSRB Gateway User Manual ip A MSRB Registration Add Edit Organizational Roles Please choose the organization role s You may choose more than one role Enter the corresponding SEC ID for each role selected Broker dealers must also provide their CRD number F Please note that you are responsible for ensuring that the role s you select below accurately reflect your organization s actual role s My organization has the following role s My firm engages in municipal securities dealer activities C Municipal Securities Dealer SEC ID FINRA CRD My firm engages in municipal advisory activities v Municipal Advisor SEC ID 33333333333 Status Authorized a a Step 3 Select de select subtypes Click OK MSRB Registration Add Edit Municipal Advisor Subtypes if What type s of municipal advisory services does your organization provide Check al that apply Municipal Advisor Subtypes O Financial Advisor Swap Derivative Advisor GIC Broker Advisor Placement Agent Solicitor Finder Third Party Marketer Other specify ETETE E Step 4 The Organization Summary screen will reflect the updates Click Affirm to submit the changes to the MSRB MSRB Organization Summary Form G 40 Amendment Affirmation This form is used for a registrant seeking to either file
135. y Account If the agent indicates that they do not have a Gateway account the agent will be prompted to create a Gateway account in order to accept the invitation Use the steps below to create a Gateway account a Populate organization details and user details to create the Gateway account The user will be the Master Accout Administrator for the organization New Account Enter the company level information below to begin creating a new Gateway Account You will be asked to provide information for your Master Account on the next screen Company Name aan E E B pm prr ra k Fax Number e Address 1 1111 St Address 2 City Alexandria State Zip Country set J Cancel Municipal Securities Rulemaking Board 53 TABLE OF CONTENTS MSRB Gateway User Manual New Account You must provide a Master Account for your Account enter the details for that person below Additional Contacts can be added by your Master Account after your Account has been confirmed First Name John Last Name e Email Address idoe jdoe org Confirm Email idoe jdoe org Title Department Taio tein 298 e e J wef Fax Number I Addressi New Agent Account Confirmation A new Account will be created for your organization based on the following mformation Click on Confirm to create the Account
136. you will be assuming for submitting continuing disclosure documents to EMMA You may choose more than one role Please note that you are responsible for ensuring that the role s vou select below accurately reflect your actual role in connection with submissions of continume disclosure documents to the EMMA 5 Select Role s you wish to add Remove Issuer 7 F Obligor 7 F Secondary Market Agent 7 Confirmation Pending Reimtiate Confirmation Retum to Mam Menu Step 3 Select the confirmation method Enter the email address of a confirmed user to confirm electronically or click Print Confirmation Number to print the manual confirmation document and perform manual confirmation Continuing Disclosure Registration Reinitiate Confirmation At present your manual confirmation process is pending You have following options You may contact MSEB to know the status of confirmation You may reprint confirmation document by clicking on Print Confirmation Document If you have emai address of a confirmed Gateway user you may also choose to get confirmed electronically To choose electronic confirmation enter email address in a box below and click Request button Enter Confirmer sEmailAddress o OE Eee Municipal Securities Rulemaking Board 73 TABLE OF CONTENTS MSRB Gateway User Manual 7 3 Update Continuing Disclosure Roles If a user needs to add delete a continuing disclosure role the user can u
137. your new password Click Continue Change Password THE MSRB REQUIRES THAT USERS CHANGE THEIR PASSWORDS PERIODICALLY FOR SECURITY PURPOSES USERS ARE ALSO ASKED TO CHANGE THEIR PASSWORD UPON INITIAL LOGIN OR AFTER USING THE Forgot your password FEATURE YOU MUST CHANGE YOUR PASSWORD NOW TO CONTINUE TO ACCESS THIS SYSTEM To change your password you must Enter your new password Enter your new password again to confirm Click Continue New passwords must meet the following criteria Must be between eight 8 and fifteen 15 characters long Must be different from your current password 1 2 3 Must not contain your User ID 4 Must contain characters from at least three of the following four categories Uppercase characters A Z Lowercase characters a z Numeric characters 0 9 Special characters S amp etc excluding spaces New Password Retype New Password Step 7 The Transaction Confirmation screen will confirm that the password was successfully changed Click Return for the Gateway Main Menu Municipal Securities Rulemaking Board 85 TABLE OF CONTENTS MSRB Gateway User Manual i eae Transaction Confirmation You have successfully changed your password 8 4 3 User Initiated Password Reset Follow steps below if you desire to create a new password Step 1 Navigate to the My Profile box located on the Gateway Main Menu and click the l
138. zation The optional G 40 contact rights can also be transferred to a new or existing user This transfer can be performed by either the primary contact or the optional contact Before G 40 rights are transferred away from a user please ensure that at least one account access right is retained by that user If no account access rights are retained by the user the user s account will automatically be disabled 3 1a Transfer G 40 Rights to a New User G 40 rights can be transferred to a user who does not have a Gateway account Follow the steps below to create a new Gateway account and transfer G 40 rights Step 1 Click Edit or Affirm Your Organization s G 40 Filing MSRB Gateway Main Menu My Profile Welcome to MSRB Gateway Your User Account has the following Access Rights User ID PPANZ Master Account Administrator User Name Peter Pan Role Click on a section to expand Account and Organization Management Organization Name Neverland Inc Manage profile information for your User Account or for your organization MSRE ID A7259 Registrant Information Forms Email Address chamilton msrb org Submit forms that provide information about your organization Change Password gt Form RTRS Edit or Affirm Your Organization s Form G 40 Filing Municipal Securities Rulemaking Board 26 TABLE OF CONTENTS MSRB Gateway User Manual Step 2 Click on the G 40 contact you would like to edit MSRB Organiz
139. zation as Agent to submit certain information to MISAB systems on their behalf Municipal Securities Rulemaking Board 76 TABLE OF CONTENTS Step 2 Click Edit User Account User Account Profile and Access Rights Account Details UserID PPAN 2 User Name PETER PAWN MSRB ID A7259 Email Address ohamilton msrb org Title Department Address 123 ANY ST SUITE 600 ANY ST 12345 Phone Number 222 222 2222 Fax Number Last Updated by CHOOK1 On PM 10 21 2010 4 22 17 Account Access Rights Account Administrator SHORT System EMMA Primary Market Submissions Agent Designation EMMA Secondary Market Submissions Electronic G 37 View Profile History View User Access Rights History Step 3 MSRB Gateway User Man This user has the following Access Rights in MSRB Gateway Users can edit the fields in the box on the left of the screen The right side of the screen lists account access rights and can only be updated if the user is a Master Account Administrator or an Account Administrator Users should make desired updates and click Continue Edit User Account Account Details UserID TBELL MSRB ID A7259 First Name TINKER Middle Name Last Name BELL Email Address ohamilton merb ong Confirm Email chamitton msrb ora rue Department Suite 600 222 2 2222 Phone Number 22 22 22 Fax Number C Lac Addressi 123 ANY

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