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MSRB Gateway User Manual for Issuers, Obligated Persons and

1. Secondary Market Agent Municipal Securities Rulemaking Board 40 MSRB Gateway User Manual for Issuers Obligated Persons and Agents Confirm Registration for Continuing Disclosure Account Users are able to submit continuing disclosures without completing the confirmation process However any submissions made while in an unconfirmed status will be flagged on EMMA as an unconfirmed submission There are two ways to become confirmed manual confirmation processed by the MSRB or electronic confirmation by another confirmed user Since the manual process requires physically mailing or faxing a document to the MSRB one advantage to using the electronic process is that the user may become confirmed in a shorter amount of time To get confirmed electronically users must request a user with a Gateway account to perform the confirmation If such a confirmed user is not known the manual confirmation process must be followed Manual Electronic Confirmation Process Enter a confirmed user s email address then 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 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 just leave the box below blank and click Next to proceed to an alternative confirmation
2. Market Transparency Systems Access MSRE systems to submit documents and data related to municipal market activity and political contributions gt EMMA Dataport Submit documents and information to EMMA lf the account is confirmed the confirmation status reads Confirmed If unconfirmed or if confirmation is pending it will state Declined Add Remove Roles ase 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 you 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 Remove Confirmation Status Confirmed Issuer E Obligor Secondary Market Agent Menu Municipal Securities Rulemaking Board 100 MSRB Gateway User Manual for Issuers Obligated Persons and Agents Initiate Reinitiate Confirmation Continuing Disclosure Accounts Only Users who did not confirm their account during registration can get confirmed at anytime by using the reinitiating confirmation process in Gateway Users can also use this process if their confirmation is in pending status awaiting confirmation Use the following steps to reinitiate confirmation On the Gateway main menu click Add Remove Roles for Continuing Disclosure Service MSRB Gateway Main Menu My Profile
3. Municipal Securities Rulemaking Board 80 MSRB Gateway User Manual for Issuers Obligated Persons and Agents Click Replace Contact MSRB Organization Account Set up Add Master Account Administrator Information Please provide contact details for the Master Account Administrator If the address is the same as your organization s information click Copy to copy from your organization s details You may replace this contact if needed Master Account Administrator First Name BOB Middle Name Last Name DOE Name Suffix Email Address bdoe issuenqz com Confirm Email Phone Number 411 zp 33 Addressi 101 Main Street Address City State Zip Country required Choose an existing user in the organization or create a new user account Formal Registration Replace Organizational Primary Contact Please select a current user from the list below or click the NEW button to create a new user Name Email Phone Number JANE DOE jndoe is suemyz c 111 222 3333 LISADOE idoeissuenyze 111 222 3333 NANCY DOE Indoe issuerxyzcom tst i OCOCOC C C C C KUDa TOM DOE tdoe ussuermyz com 111 222 3333 Page 1 of 1 Municipal Securities Rulemaking Board 81 MSRB Gateway User Manual for Issuers Obligated Persons and Agents The user s details appear in the Master Account Administrator contact screen If needed amend the details Enter the email address again as confirmati
4. On the Organization Summary screen click Confirm to save the changes MSRB Organization Account Setup Organization Summary Click on Edit to make changes to your information Once edits are complete click OK to return to this summary page To accept this information click Confirm Your changes will not be accepted if you do not click Confirm Organization Details Additional Information Organization Name AGENT XYZ Organization Type AGENT Phone Number 111 222 3333 Federal Tax EIN 88 9999999 Fax Number Address 1 101 MAIN STREET Address 2 City CITY State ST Zip 12345 Country Master Account Administrator E Required Documentation 1 Information on Letterhead delivered as Information on Letterhead pdf 2 Second Form of Identification delivered as Second Form of Identification pdf First Name TOM Middle Name Last Name DOE Name Suffix Email Address tdoe agentxyz com Phone Number 111 222 3333 Address 1 101 MAIN STREET Address 2 City CITY State ST Zip 12345 Country Cancel Account Setup C o E a a aa aoU 2 Municipal Securities Rulemaking Board MSRB Gateway User Manual for Issuers Obligated Persons and Agents Enter the required information for the person making the amendment and click Submit MSRB Organization Account Set up Account Information Provider Please provide the name title and telephone number of the person who completed the information for this organizatio
5. Agent organization account set up differs from issuer and obligated person account set up in the following respects e The organization account set up guidelines have content specific to agents e You are not asked if you have an existing user account e The documents you are required to upload are specific to agents Upon verification of your account set up documents and information MSRB staff will establish your Gateway organization account After establishing your Gateway account log in and click Manage Agent Relationships MSRB Gateway Main Menu My Profile Welcome to MSRB Gateway Your User Account has the following Access Rights User 10 BDOE Master Account Role Administrator Click on a section to expand ieee ieee Bob Doe Organization Name Issuer XYZ MSRB ID P000258 Email Address bdoe issuemyzcom Change Password Account and Organization Management Manage profile information for your User Account or for your organization Agent Relationship Management Invite and approve agent invitations to from organizations Manage Agent Relationships lt lt Manage your organization s relationships with other organizations Registrant Information Forms Submit forms to provide information about your organization Market Transparency Systems Access MSRB systems to submit documents and data related to municipal market activity and political contributions EMMA Dataport Submit documents and information t
6. Welcome to MSRB Gateway Your User Account has the following Access Rights User ID MDGES Role User Click on a section to expand User Name MIKE DOE Organization Name Organization WXYZ Account and Organization Management MSREB ID D00213 gt Manage Continuing Disclosure Confirmation Requests Email Address mdoe5 isuenyz com Approve confirmation requests and invite individuals to register to submit continuing disclosure submissions Change Password Add Remove Roles for Continuing Disclosure Service Update your roles or manage the confirmation process How to get confirmed Read about the process for getting confirmed Request Consolidation Send request to consolidate account Agent Relationship Management Invite and approve agent invitations to from organizations Manage Agent Relationships Manage your organization s relationships with other organizations Market Transparency Systems Access MSRE systems fo submit documents and data related fo municipal market activity and political contributions gt EMMA Dataport Submit documents and information to EMMA The screen will show that your confirmation status is declined Click Restart confirmation process to start the process Choose to confirm using the electronic or manual process Refer to Part 6 for instructions on completing the confirmation process Add Remove Roles Please choose the role you will be assuming for submitting continuing disclosure
7. 12345 Country Master Account Administrator Required Documentation ot ee Boh 1 Information on Letterhead Verified by MSRB Par eee 2 Second Form of Identification Verified by MSRB Last Name Doe Name Suffix Email Address bdoe issuerxyz com Phone Number 111 222 3333 Ext Address1 101 Main Street Address City City State ST Zip 12345 Country After the account information is submitted the MSRB sends an acknowledgement email to the Master Account Administrator at the email address provided The email should be retained for recordkeeping purposes and will be needed for changes to your registration before approval This completes the account set up process the account will be pending until the MSRB verifies the information provided The MSRB may contact the Master Account Administrator to acquire or validate information Once the account has been approved update the Master Account Administrator Account to suit your organizational needs Municipal Securities Rulemaking Board 14 MSRB Gateway User Manual for Issuers Obligated Persons and Agents Organization Account Set up for Agents An agent organization is an organization that intends to make data or disclosure submissions on behalf of a dealer municipal advisor issuer or obligated person designating organizations where the agent organization is not itself a dealer municipal advisor issuer or obligated person Agent organizations may initi
8. Update Submission Types Municipal Securities Rulemaking Board 76 MSRB Gateway User Manual for Issuers Obligated Persons and Agents Requests from organizations that are waiting for your approval are shown in the upper section of your Relationships screen Click either Remove Relationship to decline the request or Approve Relationship to accept the request Relationship with AGENT XYZ MSRB ID G00247 Phone Number 111 222 3333 Fax Number Address 101 MAIN STREET CITY ST 12345 Modifications successfully processed Types of submissions this organization can make on your behalf Submission Type Relationship Status EMMA Continuing Disclosure Active EMMA Voluntary Financial Information Active Remove Relationship Types of submissions for which you would like this organization to act as your agent EMMA Voluntary OS ARD Submission EMMA Voluntary Preliminary OS Submission Add Submission Type Retum to Agent Menu Retum to Main Menu After you accept a delegated right you may reverse the decision and remove the right Municipal Securities Rulemaking Board 77 MSRB Gateway User Manual for Issuers Obligated Persons and Agents The Master Account Administrator of an agent organization will be warned of the implications for their users and will be asked to confirm this action should they remove an agent relationship This will remove all related submission rights from users within the organization If the ri
9. 2 Your account is now one of several accounts associated with the same organization and certain functions on EMMA will become a shared resource of the organization Other users within your organization will be able to access and modify any groups you have create and you will be able to access and modify any groups other users in your organization created Other users will be able to update disclosure submissions you have made and vice versa 3 The Master Account Administrator may grant you permission to make the following types of submission to EMMA if applicable preliminary official statements and other presale documents Voluntary primary market information including official statements advance refunding documents or 529 college savings plan disclosure documents Information about the timing and accounting standard used in annual financial filings Continuing disclosure event and financial filings 4 You cannot undo the account consolidation For further information about this and other MSRB Gateway functions go here http www msrb org Market Disclosures and Data MSRB Gateway aspx If you need further assistance please contact MSRB s support line at 202 838 1330 This is a system generated email PLEASE DO NOT REPLY REPLIES ARE NOT MONITORED Municipal Securities Rulemaking Board 63 MSRB Gateway User Manual for Issuers Obligated Persons and Agents Impacts on Agent Relationships Post Consolidation All
10. Edit User Account Retum to Main Menu Municipal Securities Rulemaking Board 97 MSRB Gateway User Manual for Issuers Obligated Persons and Agents View Account Administrators Users can view Account Administrators within their organization if there are questions about the user account or if they need EMMA submission rights Go to the MSRB Gateway Main Menu and expand Account and Company Management then select View Account Administrators The following screen appears From the Gateway Main Menu expand the link Account and Organization Management and click View Account Administrators MSRB Gateway Main Menu My Profile Welcome to MSRB Gateway Your User Account has the following Access Rights User ID MDOE Role User Click on a section to expand User Name NANCY DOE Organization Name lssuer XYZ Account and Organization Manag ent MERE ID Poog258 gt View Account Administrators View your organization s Account Administrators Email Address ndceissuerxyz cam Change Password gt Manage Continuing Disclosure Confirmation Requests Approve confirmation requests and invite individuals to register to submit continuing disclosure submissions Market Transparency Systems Access MSE systems to submit documents and data related to municipal market activity and political contributions gt EMMA Dataport Submit documents and information to EMMA The Account Administrators will be listed with relevant contact informati
11. 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 An e mail with your MSRB Gateway log in information will be sent to the address below You will need this log in information to submit continuing disclosure documents to EMMA Individual Information Organization Information Name Nancy Doe Name Issuer XYZ E mail ndoe issuerxyz com Phone Number 111 222 3333 Existing Roles s None Address 101 Main Street Roles s being assigned Issuer Obligor City ST 12345 Roles s being removed None Phone Number 111 222 3333 Address 101 Main Street City ST 12345 Review the information on the confirmation screen to ensure that the information is correct then click Submit Click Edit User Details to make any changes to the information displayed Municipal Securities Rulemaking Board 42 MSRB Gateway User Manual for Issuers Obligated Persons and Agents For manual confirmations the following screen appears The user will not be confirmed until the MSRB has received the information requested in the manual confirmation document ontinuing 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 MSRB along with the documentation identified in
12. Fax Number Last Updated by On 6 28 2012 11 36 11 AM Edit User Account Return to Main Menu Municipal Securities Rulemaking Board 99 MSRB Gateway User Manual for Issuers Obligated Persons and Agents View Confirmation Status Continuing Disclosure Accounts Only To verify the confirmation status of your user account log into your Gateway account and follow the steps below From the Gateway Main Menu expand the Account and Organization Management link and click Add Remove Roles for Continuing Disclosure Service MSRB Gateway Main Menu My Profile Welcome to MSRB Gateway Your User Account has the following Access Rights User ID MDOES Role User Click on a section to expand User Name MIKE DOE Organization Name Organization XYZ MSRB ID D00913 Email Address mdcetisuerxyz com Account and Organization Management Manage Continuing Disclosure Confirmation Requests Approve confirmation requests and invite individuals to register to submit continuing disclosure submissions Change Password Add Remove Roles for Continuing Disclosure Service Update your roles or manage the confirmation process How to get confirmed Read about the process for getting confirmed Request Consolidation Send request to consolidate accounts Agent Relationship Management Invite and approve agent invitations to from organizations gt Manage Agent Relationships Manage your organization s relationships with other organizations
13. Guidelines Welcome to MSRB s organization account setup for issuers and obligated persons To set up an organization account please read the guidelines below and have the necessary information available including your federal tax employer identification number and another form of identification e g an official statement You will be required to acknowledge that you have read and understand the account setup guidelines before you can proceed Required Documents To help the MSRB identify your organization you will be required to provide your federal tax Employer Identification Number EIN on your organization s letterhead along with another form of identification for your organization e g a page from the official statement that identifies you as the obligated person a federal or state tax document or a letter from the conduit issuer stating that you are an obligated person The MSRB recommends that you upload copies of those documents in PDF format during the setup process Alternative means of delivery will be identified during the organization account setup for those unable to upload these documents Master Account Administrator When setting up an account each organization must designate an MSRB Master Account Administrator who will be responsible for the management of the organization s account and the creation and maintenance of the organization s users This administrator may be changed at any time If you wish to have additional
14. MSRB Gateway Create an MSRB Gateway Account Toolkit Gateway access is required for submitting data and Te ld ade jst create account with the MSRB to sin documents to the EMMA website To log into an existing submit continuing disclosures pre sale or other primary account click here market documents and data to the EMMA website Click here to get started Agent Submissions Go to the EMMA Website An agent is an organization designated by another The EMMA website is the official source for municipal market organization to submit documents to the MSRB on its behalf disclosures and data Learn more about submitting as an agent SEC Rule 15c2 12 Hiring a Dealer or Advisor Securities and Exchange Commission Rule 15c2 12 contains Check to see if your municipal securities dealer or municipal municipal securities disclosure requirements advisor is registered with the MSRB Protection of Municipal Entities and Obligated Persons File a Complaint The MSRB s mission includes the protection of issuers of Issuers public pension plans and other municipal entities can municipal securities public pension plans and entities whose file a complaint against a municipal securities dealer or credit stands behind municipal securities municipal advisor select the Create an organization account to option for Issuers and Obligated Persons then click Next Welcome to MSRB Online Registration and Organization Account Set up If you already have an MSRB accou
15. Menu Do O OE Municipal Securities Rulemaking Board 62 MSRB Gateway User Manual for Issuers Obligated Persons and Agents Impacts on Your User Account Post Consolidation After an account is consolidated the user that was consolidated will receive the email below The email contains details about the new organization account and how the consolidation will impact their user account Their old MSRB registration will be automatically withdrawn The user will now assume the MSRB ID of the organization account into which they were consolidated Any account access rights that were previously granted to the user will transfer to the new organization account The user will maintain their user ID and password which they can use to log into the new account The user will share the EMMA dashboard with other users in the organization They will also have access to modify EMMA submissions made by other users in the organization and can access all CUSIP groups This email is for your information only No action is required BOB DOE has accepted your request to consolidate MSRB Gateway accounts As a result the organization information associated with your user account has changed to the following MISRB ID POO248 Name Bob Doe Please be advised of the following 1 You can continue to use the same username and password You will also continue to have access to any submission groups you may have established in the EMMA Dataport
16. OS ARD Submission Email Address bdoe issuerxyz com EMMA Voluntary Preliminary OS Submission Title Master Account Administrator Department Address 101 Main Street City ST 12345 Phone Number 111 222 3333 Fax Number Last Updated by BDOE On 7 2 2012 5 01 59 PM View Profile History View Rights History Edit User Account Municipal Securities Rulemaking Board 32 MSRB Gateway User Manual for Issuers Obligated Persons and Agents Grant the account access rights by clicking the appropriate boxes on the right then click Continue Edit User Account Account Details Account Access Rights User ID BDOE Select the Access Rights to assign to your User Account MSRB ID P000258 You will have the following Access Rights in MSRB Gateway First Name Bob EMMA Continuing Disclosure Submissions Middle Name EMMA Voluntary Financial Information Last Name Doe EMMA Voluntary OS ARD Submission Email Address bdoe issuenyz com EMMA Voluntary Preliminary OS Submission Confirm Email bdoe issuenyz com Master Account Administrator Title Department Phone Number Fax Number Address1 101 Main Street Address 2 City State Zip Country required Retum to Accounts Retum to Main Menu Click Confirm User Account Confirm User Account Account Details Account Access Rights UserID BDOE Click on Confirm User Account to complete the proc
17. Online Registration and Organization Account Set up If you already have an MSRB account click here to log in If you need to establish an MSRB account please select the applicable option from the list below Issuers and Obligated Persons Create an organization account to Submit all type of continuing disclosure and primary market filings to EMMA Shared access by multiple users allows the organization to better manage the disclosure filings Create an individual user account to Immediately make continuing disclosure filings to EMMA No other EMMA filings can be made with an individual user account but the account can later be upgraded to an organization account Dealers and Municipal Advisors Register as a broker dealer municipal securities dealer or municipal advisor Your organization must already be registered with the SEC and the appropriate enforcement agency e g FINRA or a bank regulatory agency Create an account to make submissions on behalf of designating organizations Create this account if you are not an issuer obligated person continuing disclosure agent dealer or municipal advisor Municipal Securities Rulemaking Board 16 MSRB Gateway User Manual for Issuers Obligated Persons and Agents CO Follow the steps to set up an organization account for issuers and obligated persons 4 Agent organization account set up differs from issuer and obligated person account set up in the
18. Relationship Types of submissions for which you would like to act as this organization s agent EMMA Voluntary Financial Information EMMA Voluntary OS ARD Submission EMMA Voluntary Preliminary OS Submission Add Submission Type Municipal Securities Rulemaking Board 75 MSRB Gateway User Manual for Issuers Obligated Persons and Agents Accept or Decline Agent Designation Rights From the Manage Organization Relationships screen select an organization for which you act as agent Organizations For Whom You Are An Agent Organizations for whom you act as an agent 4 Organization Submission Relationshi a E ii Type Status P000259 Organization XYZ EMMA Continuing Disclosure Active P0000259 Organization XYZ EMMA Voluntary Financial Information Active P000259 Organization XYZ EMMA Voluntary OS ARD Submission Active P000259 Organization XYZ EMMA Voluntary Preliminary OS Submission Active Return to Agent Menu Return to Main Menu Click Update Submission Types Relationship with Organization XYZ MSRB ID P000259 Phone Number 111 222 3333 Fax Number 999 999 9999 Address 101 Main Street City ST 12345 You act as an agent for this organization for the following types of submissions Submission Type Relationship Status EMMA Continuing Disclosure Active EMMA Voluntary Financial Information Active EMMA Voluntary OS ARD Submission Active EMMA Voluntary Preliminary OS Submission Active
19. data related to municipal market activity and political contributions gt EMMA Dataport Submit documents and information to EMMA Municipal Securities Rulemaking Board 103 MSRB Gateway User Manual for Issuers Obligated Persons and Agents Enter your current password your new password and then click Continue Change Password To change your password you must 1 Enter your current password to confirm your identity 2 Enter your new password 3 Enter your new password again to confirm 4 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 amp etc excluding spaces Current Password New Password Retype New Password Forgot User ID or Password If you forget your password reset the password by clicking Forgot your password on the Gateway log in page Follow on screen instructions to create a new password If you forget your User ID contact the MSRB at 703 797 6668 Welcome to MSRB Gateway the secure access point for all MSRB applications including EMMA Click User ID here for guidance on user account management and information about the MSRB s Gateway T
20. grant yourself user account access rights for the document submissions you wish to make to EMMA To grant account access rights click Edit in the My Profile box on the Gateway Main Menu page MSRB Gateway Main Menu aaa User ID BDOE Master Account Administrator User Name Bob Doe Organization Name Issuer XYZ MSRB ID P000258 Email Address bdoe issuenyzcom Change Password Welcome to MSRB Gateway Your User Account has the following Access Rights Role Click on a section to expand Account and Organization Management Manage profile information for your User Account or for your organization Agent Relationship Management Invite and approve agent invitations to from organizations gt Manage Agent Relationships Manage your organization s relationships with other organizations Registrant Information Forms Submit forms to provide information about your organization Market Transparency Systems Access MSRB systems to submit documents and data related to municipal market activity and political contributions gt EMMA Dataport Submit documents and information to EMMA On the next screen click Edit User Account User Account Profile and Access Rights Account Details Account Access Rights UserID BDOE You have the following Access Rights in MSRB Gateway User Name Bob Doe EMMA Continuing Disclosure Submissions MSRB ID P000258 EMMA Voluntary Financial Information Group s EMMA Voluntary
21. is the official source for municipal market disclosures and data Hiring a Dealer or Advisor Check to see if your municipal securities dealer or municipal advisor is registered with the MSRB File a Complaint Issuers public pension plans and other municipal entities can file a complaint against a municipal securities dealer or municipal advisor Welcome to MSRB Online Registration and Organization Account Set up If you already have an MSRB account click here to log in If you need to establish an MSRB account please select the applicable option from the list below Issuers and Obligated Persons Create an organization account to News Events amp Training On the resulting Issuers screen click Create an MSRB Gateway Account MSRB for Toolkit Click the Create an individual user account option then click Next Submit all type of continuing disclosure and primary market filings to EMMA Shared access by multiple users allows the organization to better manage the disclosure filings Create an individual user account to Immediately make continuing disclosure filings to EMMA No other EMMA filings can be made with an individual user account but the account Dealers and Municipal Advisors can later be upgraded to an organization account Register as a broker dealer municipal securities dealer or municipal advisor Your organization must already be registered with the SEC and Agents the appropri
22. method Confirmer s Email Address ndoe issuenyz com To be confirmed manually leave the Confirmer s email address field blank then 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 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 just leave the box below blank and click Next to proceed to an alternative confirmation method Confirmer s Email Address rex Municipal Securities Rulemaking Board 41 MSRB Gateway User Manual for Issuers Obligated Persons and Agents A confirmation screen appears displaying your user level and organization level information If either of the following conditions exists an error message appears and the confirmation process will not proceed a the email address entered for the confirmed user is not known to MSRB Gateway or b the email address entered is known to Gateway but the user is not confirmed Continuing Disclosure Registration Step 6 Information Verification You have chosen electronic confirmation 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
23. municipal securities and public pension plans by promoting a fair and efficient municipal market The MSRB fulfills this mission by regulating securities firms banks and municipal advisors that engage in municipal securities and advisory activities To further protect market participants the MSRB promotes disclosure and market transparency through its Electronic Municipal Market Access EMMA website provides education and conducts extensive outreach The MSRB has operated under Congressional mandate with oversight by the securities and Exchange Commission since 1975 The EMMA website is a centralized online database operated by the MSRB that provides free public access to official disclosure documents and trade data associated with municipal bonds issued in the United States In addition to current credit rating information the EMMA website also makes available real time trade prices and primary market and continuing disclosure documents for over one million outstanding municipal bonds as well as current interest rate information liquidity documents and other information for most variable rate municipal securities This manual describes how issuers obligated persons and agents set up and maintain a Gateway account The manual also describes how to convert a continuing disclosure account into an organization account and consolidate continuing disclosure accounts into an organization account Instructions are also given on how to manage agent r
24. only for large organizations Use Groups to help organize your organization s User Accounts Manage Continuing Disclosure Confirmation Requests Approve confirmation requests and invite individuals to register to submit continuing disclosure submissions Manage Consolidations Send manage or view account consolidation requests Agent Relationship Management Invite and approve agent invitations to from organizations gt Manage Agent Relationships Manage your organization s relationships with other organizations Registrant Information Forms Submit forms to provide information about your organization Market Transparency Systems Access MSRB systems to submit documents and data related to municipal market activity and political contributions gt EMMA Dataport Submit documents and information to EMMA Click the View tab to display requests received as well as requests made For requests that you have received two options are available Accept or Decline Click Accept to accept a consolidation request Click Decline to decline the consolidation request For requests that you initiated the option to remove can be executed by clicking Remove The impacted organization will be notified via email of the actions that were taken Consolidation Requests Search and Send View Manage Consolidations Organization Name MSRB ID User Name Action ba ae Doo912 NANCY DOE a lt a ree Doo9I3 MIKE DOE a Return to Main
25. submission using it If you need assistance please contact MSRB s support line at 202 838 1330 This is a system generated email PLEASE DO NOT REPLY REPLIES ARE NOT MONITORED gwH012 After the MSRB approves the conversion your existing MSRB ID will be automatically withdrawn A new MSRB ID will be generated to identify the account as an organization account Your user ID and password will remain the same Municipal Securities Rulemaking Board 53 MSRB Gateway User Manual for Issuers Obligated Persons and Agents Part 9 Consolidate Gateway Accounts Consolidating Gateway accounts allows users to operate as one organization rather than several organizations consisting of single user accounts Once an organization account is established both the Master Account Administrator of the organization account and the single user of the continuing disclosure account must take action to effect the consolidation Either party can initiate the request and acceptance process to consolidate accounts Consolidation of MSRB Gateway accounts should only be executed between staff of the same organization Where one organization is making data and document submissions on behalf of another organization the two organizations should establish an agent relationship Once accounts have been consolidated the consolidation cannot be undone The steps below describe how to invite others to consolidate into one organization account and how to request
26. submissions as agent for another organization Municipal Securities Rulemaking Board 65 MSRB Gateway User Manual for Issuers Obligated Persons and Agents Parties involved in agent designations receive Gateway emails to notify them of actions taken by other parties These actions include requests to become an agent and responses to requests and updates to submission rights Only Master Account Administrators can manage an organization s agent relationships Agent Relationships Overview To view the agent relationships with other organizations go to the Gateway Main Menu and expand Agent Relationship Management Click Manage Agent Relationships MSRB Gateway Main Menu My Profile User ID BDOE Welcome to MSRB Gateway Your User Account has the following Access Rights Master Account ne Administrator Click on a section to expand eee nae Role Organization Name Issuer XYZ MSRBID P000258 Email Address bdoe issuemyzcom Change Password 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 Continuing Disclosure Confirmation Re
27. the following Access Rights Click on a section to expand Account and Organization Management MSRB ID P0002558 gt View Account Administrators Email Address ndoeissuenyz com View your organization s Account Administrators Change Password Manage Continuing Disclosure Confirmation Requests Approve confirmation requests and invite individuals to register to submit continuing disclosure submissions Market Transparency Systems Access MSA6 systems to submit documents and data related fo municipal market activity and political contributions gt EMMA Dataport Submit document and information to EMMA Instructions for maintaining individual user accounts are at the end of this section Users can maintain their own account details except for managing their access rights Alternatively an Account Administrator can maintain other users account details Add or Remove Account Access Rights From the Gateway Main Menu expand the menu option Account and Organization Management Click Manage User Accounts MSRB Gateway Main Menu My Profile User ID JDQE25 Role Account Administrator User Name JANE DOE Organization Name Issuer XYZ Account and Organization Management MERE ID FOOTE Manage profile information for your Yser Account or for your organization Email Address 9 jndoe issuenyz com gt Manage User Accounts Change Password Add edit and disable individual User Accounts for your organization Welcome to MSRB Ga
28. the organization Other users within your organization will be able to access and modify any groups you have create and you will be able to access and modify any groups other users in your organization created Other users will be able to update disclosure submissions you have made and vice versa 3 The Master Account Administrator may grant you permission to make the following types of submission to EMMA if applicable preliminary official statements and other presale documents Voluntary primary market information including official statements advance refunding documents or 529 college savings plan disclosure documents Information about the timing and accounting standard used in annual financial filings Continuing disclosure event and financial filings 4 Upon acceptance YOU WILL NOT BE ABLE TO UNDO THE ACCOUNT CONSOLIDATION If you have any questions regarding the account consolidation request please contact BOB DOE at 111 222 3333 For further information about this and other MSRB Gateway functions go here http www msrb org Market Disclosures and Data MSRB Gateway aspx If you need further assistance please contact MSRB s support line at 202 838 1330 This is a system generated email PLEASE DO NOT REPLY REPLIES ARE NOT MONITORED Municipal Securities Rulemaking Board 57 MSRB Gateway User Manual for Issuers Obligated Persons and Agents The pending request will display under the invited user s Vie
29. the requested documentation please print this document submission cover sheet and fax or mall the cover sheet together with the document s to the MSRB Account Summary Please print a copy of the account summary for your records You will receive an email acknowledging receipt of your account documentation lf applicable click the Cover Sheet button on the confirmation screen to print a copy of the cover sheet that will be attached to documentation that is sent via fax or mail to the MSRB Using the cover sheet enables MSRB to quickly process the account registration This button only appears if you opted to mail or fax documentation Municipal Securities Rulemaking Board 13 MSRB Gateway User Manual for Issuers Obligated Persons and Agents Also on the Confirmation Screen is the Summary button Click Summary to view a summary of the account details and display the date and time that the account was created and submitted to the MSRB Print a copy of the organization account summary for recordkeeping purposes MSRB Organization Account Printable Summary MSRB records include the following information for your organization as of 7 2 2012 5 01 35 PM EST Organizational Details Additional Information Organization Name Issuer XYZ Organizational Type MSRB ID P000258 Municipal Security Issuer Phone Number 111 222 3333 Fax Number Aukee 8 0 aa Sk Federal Tax EIN 43 6767676 Address 2 City City State ST Zip
30. 2345 You act as an agent for this organization for the following types of submissions Submission Type Relationship Status No submission types authorized M E The lower section lists the organization s inherent submission types that you can request to submit on their behalf Select one or more of the types of submissions then click the Add Submission Type button Relationship with Organization XYZ MSRB ID P0002539 Phone Number 111 222 3333 Fax Number 999 999 9999 Address 101 Main 5treet City ST 12345 Types of submissions for which you are currently an agent for this organization Submission Type Relationship Status No current agent relationship with this organization Types of submissions for which you would like to act as this organization s agent EMMA Continuing Disclosure EMMA Voluntary Financial Information EMMA Voluntary Preliminary OS Submission Add Submission Type Municipal Securities Rulemaking Board 73 MSRB Gateway User Manual for Issuers Obligated Persons and Agents The submission status changes to Waiting for their approval In the example below you are waiting for approval to make Continuing Disclosure and Voluntary Preliminary OS submissions Relationship with Organization XYZ MSRB ID P000259 Phone Number 111 222 3333 Fax Number 999 999 9999 Address 101 Main Street City ST 12345 Types of submissions for which you are currently an ag
31. 33 06 AM Show disabled User Accounts A TOM DOE TDOE1 6 28 2012 9 32 29 AM es Add New Account Click Edit User Account User Account Profile and Access Rights Account Details Account Access Rights User ID NDOE This user has the following Access Rights in MSRB Gateway User Name NANCY DOE Account Administrator MSRB ID P000258 EMMA Continuing Disclosure Submissions Email Address ndoe issuerxyz com EMMA Voluntary Financial Information Title EMMA Voluntary OS ARD Submission Department EMMA Voluntary Preliminary OS Submission Address 101 MAIN STREET CITY ST 12345 Phone Number 111 222 3333 Fax Number Last Updated by BDOE On 6 28 2012 10 26 15 AM View Profile History View Rights History Edit User Account E Add or remove rights as appropriate At least one account access right must be granted to the user to keep the account active Click Continue and confirm the update You may also update the user details as necessary Municipal Securities Rulemaking Board 90 MSRB Gateway User Manual for Issuers Obligated Persons and Agents Edit User Account Account Details Account Access Rights User ID NDOE Select the Access Rights to assign to this User Account MSRBID P000258 This user will have the following Access Rights in MSRB Gateway Group s No groups set up Account Administrator First Name NANCY EMMA Continuing Disclosure Submissions Middle Name EMMA Volun
32. 330 Municipal Securities Rulemaking Board 23 MSRB Gateway User Manual for Issuers Obligated Persons and Agents Part 4 Amend a Pending Account The MSRB s goal is to process pending accounts within five business days of receipt if there are no discrepancies If you need to update some of the information prior to MSRB s approval follow the instructions below e Retrieve the acknowledgement email received after the account was submitted e Locate the following MSRB ID temporary key and registration link e Click the URL next to Registration Link Thank you for submitting your organization s registration to the Municipal Securities Rulemaking Board MSRB Activation of your account is pending review of your documentation Upon activation of your account you will receive an email containing information on how to access your MSRB account MSRB NUMBER MSRB ID G00247 ORGANIZATION NAME AGENT XYZ Master Account Administrator TOM DOE Federal Tax EIN 88 999999999 To change your organization s information prior to MSRB authorization please click on the link below and authenticate using your MSRB Number MSRB ID and the temporary key below Temporary Key FFAGRVMUKX Temporary Key Expiration Date 8 6 2012 4 17 44 PM Eastern Registration Link http www msrb org msrb1 control registration FormalOAkey asp Please keep this temporary key confidential to prevent unauthorized modification of your organization
33. B Gateway functions go here http www msrb org Market Disclosures and Data MSRB Gateway aspx If you need further assistance please contact MSRB s support line at 202 838 1330 This is a system generated email PLEASE DO NOT REPLY REPLIES ARE NOT MONITORED Approve or Decline Consolidation Requests A consolidation request must be accepted before consolidation can occur Alternatively the consolidation request can be declined When a consolidation request is made the party that must accept or decline the request will receive an email notification Municipal Securities Rulemaking Board 61 MSRB Gateway User Manual for Issuers Obligated Persons and Agents To accept or decline the consolidation request log into your MSRB Gateway account Click the Manage Consolidations link MSRB Gateway Main Menu My Profile Welcome to MSRB Gateway Your User Account has the following Access Rights User ID BDOE Master Account Administrator Click on a section to expand Usar iin BOB DOE Role Organization Name Issuer XYZ MSRB ID P000258 Email Address bdoe issuenyzcom Change Password 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
34. COUN serres NEEN REEE nEn 5 Comum DISClo Sure ACCOUN e a E 6 Part 2 Set up Organization Account for Issuers and Obligated Persones 7 Set up Organization Account for Agents ccccccccceececceeeeeeeeeeseeeeesseseeseaeeeseaes 15 Agent Is Invited To Set Up an Account by the Designating Organization 15 Agent Initiates Steps to Establish a Gateway Account c ccccseeeeseeeeseeeeeees 20 Part3 DUD CAS TAX D rrisnin aai a iaia Eai Aiaia 23 Part 4 Amend a Pending ACCOUNT sssisssissoininanininananinsnnenn anana aaia 24 Part 5 Set up Master Account Administrator MAA Account ceseeeeeees 29 Create a Password to Access Your Gateway ACCOUM cccseseeeseeeeeaeeeeeeees 29 Establish SEF RIONIS a diceeisetcctcnsice seviezinetesatsivndexedacs daceeis chica vnstvedachdce dactcasececesseadectie 32 PCCESS ENNA DATA DOI sencecstanestcadacedes canecaacseacteacteaezeaatecnaensianentnesuandenetanecactaaene 34 Part 6 Create Continuing Disclosure Gateway Account for Issuers Obligated Persons and Secondary Market Agents sccssssesseseeseeseeseeseesenneesenseesenseesensens 36 Confirm Registration for Continuing Disclosure ACCOUML cccseeeeseeeeeeeeees 41 Manual Electronic Confirmation Process ccccccccccsseeeeseeeeeeeeeeeseeeeseeeesaeeeeeas 41 Part 7 Invite Organizations to Register for a Continuing Disclosure Account 45 Part 8 Convert to an Organizat
35. Email of invitee tdoe issuerxyz com Organization Name ISSUER XYZ Role Agent i required Obligor Issuer patum Ma Mee The Continuing Disclosure Invitation screen appears If the invited user already has an MSRB Gateway account an invitation cannot be sent ontinuing Disclosure Invitation Your invitaton has been sent The invitee will recerre an e mail that will guide the user through a registration process Email of invitee tdoe issuerxyz com Organization Name ISSUER XYZ Role Secondary Market Agent Municipal Securities Rulemaking Board 46 MSRB Gateway User Manual for Issuers Obligated Persons and Agents Part 8 Convert to an Organization Account Organizations registered with a continuing disclosure account can convert to an organization account in order to take advantage of more management features and additional submission rights available with an organization account A user may also request to consolidate with another user in their organization who has converted their continuing disclosure account to an organization account The account conversion process Is only available to issuers and obligated persons To convert a continuing disclosure account to an organization account navigate to the Registration and Organization Account Set up screen and select the option to Create an organization account as shown below Welcome to MSRB Online Registration and Organization Account Set up If you alrea
36. MSRB Gateway User Manual for Issuers Obligated Persons and Agents Version 1 2 August 2015 ee re M sx Municipal Securities Rulemaking Board MSRB Gateway User Manual for Issuers Obligated Persons and Agents Revision History Version Date Description of Changes 1 0 April 2012 Initial version Created to accommodate increased account management for Issuers Obligated Persons and Agents a July 2012 Update Update Gateway Main Menu images Main Menu images 2 August Updated the Resources and aie ance section to reflect the 2015 change in hours of operation for Email Support Municipal Securities Rulemaking Board 2 MSRB Gateway User Manual for Issuers Obligated Persons and Agents Resources and Support MSRB Website www msrb org EMMA Website emma msrb org For assistance contact MSRB Support at 202 838 1330 or MSRBsupport msrb org Live Support 7 30 a m 6 30 p m ET Email Support 7 00 a m 7 00 p m ET Municipal Securities Rulemaking Board 1300 Street NW Suite 1000 Washington DC 20005 Tel 202 838 1500 Fax 202 898 1500 Municipal Securities Rulemaking Board 3 MSRB Gateway User Manual for Issuers Obligated Persons and Agents Table of Contents BEE OCCU e nienn tees ces ieee seen tsa neue eee E EE Dees deste ues enteun deus EEEE E E 4 Part 1 Gateway ACCOUNT Overview cccceseccceneeecenseseeseeseeneesenneesoeneesenseseonseesensesses 5 ORGANZA ON AC
37. MSRB Gateway User Manual for Issuers Obligated Persons and Agents The organization invited will receive an email stating your wish to consolidate them into your organization account The following user requests to have their MSRB Gateway user account into your MSRB organization account MSRB ID D00912 Issuer XYZ 101 Main Street City ST 12345 Agreeing to consolidate organization accounts will permit the MSRB to more effectively structure your user accounts in MSRB Gateway and allow for greater shared functionality in MSRB Market Transparency programs By accepting this invitation to consolidate your account you are acknowledging that BOB DOE is an employee consultant or temporary staff employed by the same organization as the requestor You further acknowledge that the person making this request is authorized to make data and document submissions to MSRB information systems on behalf of your organization If the invited person ceases to be employed our organization it will become the responsibility of you or your account manager to disable that person s MSRB Gateway user account After your account is consolidate the following occur 1 You can continue to use the same username and password Users will also continue to have any submission groups you may have established in the EMMA Dataport 2 Your account is now one of several accounts associated with the same organization and certain functions on EMMA will become a shared resource of
38. Middle Name Last Name Name Suffix Email Address Phone Number Address1 Address City State DOE bdoe issuerxyz com itt 272 3335 Ext 101 MAIN STREET CITY ST Zip Country The person submitting the form must identify themselves before submitting account information to the MSRB MSRB Organization Account Set up Account Information Provider Please provide the name title and telephone number of the person who completed the information for this organization account First Name Middle Name Last Name Name Suffix Title Phone Number Phone Extension required cs Bo Municipal Securities Rulemaking Board 51 MSRB Gateway User Manual for Issuers Obligated Persons and Agents After the account information is submitted to the MSRB a screen appears confirming receipt of the request to convert your continuing disclosure account The new account will remain in pending status until approved While in pending status access to the upgraded organization account is prohibited but the existing continuing disclosure account is still accessible Any prior submissions made to EMMA will be reflected under your existing MSRB Gateway Account during this period Once the upgraded account is active new document submissions will reflect the upgraded MSRB ID Congratulations you have successfully completed the first step toward establishing an organization account with the MSRB If you elect
39. Relationships Manage your organization s relationships with other organizations Registrant Information Forms Submit forms to provide information about your organization Market Transparency Systems Access MSRB systems to submjt documents and data related to municipal market activity and political contributions gt EMMA Dataport C Submit documents and information to EMMA Municipal Securities Rulemaking Board 34 MSRB Gateway User Manual for Issuers Obligated Persons and Agents The EMMA Dataport Submission Portal appears This is used to make submissions to EMMA The tabs displayed correspond to the rights granted to your account EMMA Dataport Submission Portal BOB DOE email bdoe issuerxyz com Voluntary Financial Information Preliminary Official Statement Issuer Voluntary Timing GAAP Undertaking amp URL and Pre Sale Documents Official Statement Continuing Disclosure Submission CREATE UPDATE SUBMISSION CONTROL DASHBOARD Organize Your Issues Securities Groupings Most Recent Submissions To organize your issues and securities into groupings to simplify future aR sae No submissions have been made submissions of continuing disclosure documents click here Effective April 16 2012 all agent designation functionality for EMMA will move to MSRB Gateway Click here to read more Municipal Securities Rulemaking Board 35 MSRB Gateway User Manual for Issuers Obligated Persons and Agents Par
40. SRB approval process the user is able to register and immediately make submissions to EMMA Users however must confirm their accounts to prevent their submissions from being flagged as unconfirmed on EMMA Once an account is confirmed the unconfirmed flag will drop from all past submissions and will not appear on future submissions Refer to Part 6 on Confirming Continuing Disclosure Accounts Users that have a continuing disclosure account may convert their account to an organization account Converting to an organization account allows users to have expanded submission rights as well as the ability for multiple staff in that organization to view and manage submissions Refer to Part 8 for instructions on converting to an organization account A user may also request to consolidate with another organization account Refer to Part 9 for instructions on how to consolidate Gateway accounts Municipal Securities Rulemaking Board 6 MSRB Gateway User Manual for Issuers Obligated Persons and Agents Part 2 Organization Account Set up for Issuers and Obligated Persons An organization account can be used to submit all types of continuing disclosure and voluntary primary market filings to EMMA Shared access by multiple users allows the organization to better manage the disclosure filings An individual in the organization will serve as the Master Account Administrator and can create additional user accounts grant or remove user access r
41. SSS Eo Provide the following required documentation e The tax EIN number on your organization s letterhead e Another form of identification for your organization e g a page from the official statement that identifies you as the obligated person a federal or state tax document or a letter from the conduit issuer stating that you are an obligated person Upload the electronic versions of the documents in a portable document format PDF or they can be faxed or mailed You can also do a combination of both Indicate on the screen how you will provide the documents Click OK when done Municipal Securities Rulemaking Board 11 MSRB Gateway User Manual for Issuers Obligated Persons and Agents MSRB Organization Account Set up Required Documentation In order to process your organization account setup the MSRB requires a copy of your organization s federal tax EIN on letterhead along with another form of identification for your organization e g a page from the official statement that identifies you as the obligated person a federal or state tax document or a letter from the conduit issuer stating that you are an obligated person These documents will help to uniquely identify your organization If you are unable to provide an electronic copy of these documents you can fax or mail the documents to the MSRB by selecting the fax mail option below A cover sheet will be provided to assist with the timely processing of your documen
42. This process ensures that the MSRB has the correct email address in the system Click the link in the email to continue with the password creation process 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 http www msrb org msrb1 control forgotpassword asp key g TPdG9VIESNaZRNNANfwvFtlryOnDac To change your password follow these simple steps below 1 Click on the password link above 2 On the Password Change page enter and confirm the password that satisfies the password criteria 3 Click on the Continue button This is a system generated email PLEASE DO NOT REPLY REPLIES ARE NOT MONITORED If you need assistance please contact MSRB s support line at 202 838 1330 The Reset Password screen appears Enter the 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 TDOEA Municipal Securities Rulemaking Board 30 MSRB Gateway User Manual for Issuers Obligated Persons and Agents On the Change Password screen create a password based on the pas
43. 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 4 of 4 By first name Last Last User Name Updated Updated On By last name By By email A BoB DOE BDOE 6 25 2012 3 21 42 PM By Right LISA DOE MSRB 4 20 2012 3 46 25 PM Gee BI NANCY DOE MSRB 4 20 2012 3 45 40 PM Zf TOM DOE BDOE 6 22 2012 3 40 06 PM Show disabled User Accounts Add New Account E Municipal Securities Rulemaking Board 85 MSRB Gateway User Manual for Issuers Obligated Persons and Agents Enter user details and check the box next to one or more of the access rights to assign to the user A user can be granted some or all rights A user can also be granted rights as an Account Administrator and will be able to assist the Master Account Administration in managing other user accounts Click Continue 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 UserID JDOE27 Select the Access Rights to assign to this User Account MSRB ID P000258 Group s No groups set up First Name Vane t
44. agent relationships will be transferred to the new organization account after the consolidation occurs The agent relationships will be managed by the MAA of the organization account If a designating organization consolidates the agent s will be notified of the change via email If the agent consolidates the designating organization will be notified Submission rights associated with the continuing disclosure account as a result of being designated as an agent will also transfer with the user and become available as right s that the MAA can grant to users in the organization account The impacted agents described above will be notified of the amendments to the change via the email below This email is for your information only No action is required BOB DOE has accepted your request to consolidate MSRB Gateway accounts As a result the organization information associated with your user account has changed to the following MSRB ID P00258 Name Nancy Doe Please be advised of the following 1 You can continue to use the same username and password You will also continue to have access to any submission groups you may have established in the EMMA Dataport 2 Your account is now one of several accounts associated with the same organization and certain functions on EMMA will become a shared resource of the organization Other users within your organization will be able to access and modify any groups you have create and you will
45. ake appropriate updates to the organization details then click OK to confirm the changes Municipal Securities Rulemaking Board 19 MSRB Gateway User Manual for Issuers Obligated Persons and Agents Transfer Master Account Administrator s Rights To transfer Master Account Administrator rights to another user click Edit in the Master Account Administrator s box Make the appropriate updates then click OK to confirm the changes MSRB Organization Account Set up Organization Summary Click on Edit to make changes to your information Once edits are complete click OK to return to this summary page To accept this information click Confirm Your changes will not be accepted if you do not click Confirm Organizational Details Organization Name MSRB ID Phone Number Fax Number 101 Main Street Address 2 City State Zip Address 1 Issuer XYZ P000258 tt 222 333 Ext City ST 12345 Country Master Account Administrator First Name Middle Name Last Name Name Suffix Email Address Phone Number Address1 i oe Additional Information Organization Type Municipal Security Issuer Federal Tax EIN 43 6767676 Required Documentation 1 Information on Letterhead Verified by MSRB 2 Second Form of Identification Verified by MSRB BOB DOE bdoe issuerxyz com 143 222 33393 Eat 101 MAIN STREET Address City State Zip Country CITY ST
46. al data click the Copy values from user details button to populate the fields with the user information from the previous screen A dialogue box appears to confirm this action Continuing Disclosure Registration Step 3 Organization Information Please provide your organization s details If this information is the same as your personal information click on Copy values from user details Note If you are not associated with an organization please enter your first and last name in the Organization Name field Copy values from user details Organization Name Issuer XYZ Message from webpage 111 222 Phone Number F m Are you sure you want to populate organization details with values Fax Number from user details This will overwrite currently entered values Address 1 101 Main Street Address 2 City Cty State ST Zip 12345 Country required ee L Select the appropriate continuing disclosure role s then click the Next button Continuing Disclosure Registration Step 4 Add 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 you 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 Obligor
47. appear on the User Accounts page 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 4 of 4 By first name Last Last UserName Updated Updated B On y By email AM BOB DOE BDOE 6 28 2012 9 31 33 AM By Right A JANE DOE BDOE 6 28 2012 10 18 44 AM By last name By Group A LISADOE LDOE2 6 28 2012 9 33 47 AM TOMDOE TDOE1 6 28 2012 9 32 29 AM Show disabled User Accounts Ree Add New Account Municipal Securities Rulemaking Board 93 MSRB Gateway User Manual for Issuers Obligated Persons and Agents Re enable User Account To re enable the user account for example if the user has returned from a long absence click the box Show disabled User Accounts Click 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 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
48. ate NEW ACCOUNTS seriscross aarin Ena E ESER EEA danauapiesen eaves 85 Municipal Securities Rulemaking Board 4 MSRB Gateway User Manual for Issuers Obligated Persons and Agents Add or Remove Account Access Right ccccccccseecceeeeceeeeceeeeceeeeseeeeeeeeesees 89 Dicale USEF ACC OUIM avi vexenesenessnncicuesenesesiensukveueceseectvci sve sexeubucveuseiuseessubeesesaebeesestes 91 Reene WISE AC OUN ea a E E E E 94 Part 12 Update User ACCOUNL c cccceesecceseeeeseeceseeeeneeeeseeoseeeeneeoeaeeoeseeoeaeeoeneesensess 96 VIEW ACEO UMM PGMA SUC ALON er a erecta eee 98 View Account Profile History and Rights HIStory ccceeeeeeeeeeeeeeeeeeeeeaeeeeeaees 99 View Confirmation Status Continuing Disclosure Accounts Only 0 100 Initiate Reinitiate Confirmation Continuing Disclosure Accounts Onlly 101 Manage Requests for Confirmation cccccceecccseececeeeeeceeeeesseseessaeeeseeeeeseaees 102 Reset Password aces ciceipew sere iss sctsnctesnareanemencmsnemouaeoueussacaseanesneuswouensuesouectsueeueeneecwens 103 Forgot User ID Or Password cccccccceeeeceeeeceeeecaeeeseeeeseeeeseeeeseaeesaeeesseeesaeeeeas 104 Municipal Securities Rulemaking Board 5 MSRB Gateway User Manual for Issuers Obligated Persons and Agents Introduction The Municipal Securities Rulemaking Board MSRB protects investors issuers of municipal securities entities whose credit stands behind
49. ate enforcement agency e g FINRA or a bank regulatory agency Create an account to make submissions on behalf of designating organizations Create this account if you are not an issuer obligated EC person continuing disclosure agent dealer or municipal advisor Municipal Securities Rulemaking Board 37 MSRB Gateway User Manual for Issuers Obligated Persons and Agents The MSRB Gateway Continuing Disclosure Registration page appears For new users enter your email address and click Next 4 Registration is not allowed with existing email address associated with another MSRB Gateway account 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 their 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 sy
50. ate rights that are inherent to its organization type as shown below Organization Roles and Their Inherent Submission Rights EMMA Continuing EMMA Voluntary EMMA Voluntary EMMA Voluntary Organization Roles Disclosure Financial OS ARD Preliminary OS Submissions Information Submission Submission Agent with Organization Account Issuer with Continuing Disclosure Account Issuer with Organization Account Obligated Person with Continuing Disclosure Account Obligated Person with Organization Account Secondary Market Agent with Continuing Disclosure Account Submission rights cannot be delegated to an agent if the delegating organization cannot make the submissions itself For example an issuer can designate an agent to make EMMA voluntary primary market submissions on its behalf An obligated person generally cannot make EMMA primary market submissions and therefore cannot designate an agent for that purpose An obligated person can make primary market submissions only if an issuer has designated the obligated person to do so Only issuers may designate agents to make continuing disclosure submissions on their behalf because only issuers can control CUSIPs For more information about CUSIP control refer to the EMMA Dataport Manual for Continuing Disclosure Submissions Agent designation can be reciprocal An organization can request another organization to make EMMA submissions as its agent an organization can also offer to make
51. ate the set up of an organization account or at the request of the designating organization the agent may receive an invitation to register This section will describe both methods for establishing an MSRB Gateway organization account for agents For all submission types except SEC Rule 15c2 12 disclosures the agent organization is not permitted to make submissions without first establishing an agent relationship in the MSRB Gateway system Making SEC Rule 15c2 12 disclosures on behalf of an issuer only requires the establishment of an agent relationship in MSRB Gateway in cases where the issuer has elected to control its securities In order for an agent relationship to be established both the designating organization and the agent organization must have Gateway accounts Agent Is Invited To Set Up an Account by the Designating Organization lf you have been designated to act as an agent on behalf of an organization and do not have a Gateway account you will receive an email invitation requesting you to set up an account The email will contain the organization that made the request and the submission types they would like you to make on their behalf The email will also include a link to register a Gateway account Municipal Securities Rulemaking Board 15 MSRB Gateway User Manual for Issuers Obligated Persons and Agents From the email click the registration link as shown below Agent Relationship Requested By Issuer XYZ Plea
52. ation was sent to the user UserID JDOE S MSRB ID P0000258 Name JANE DOE Email Address jndoe issuerxyz com The new user will receive an email stating that the account has been created The email will contain the User ID a link to create the password and a list of the account access rights Please keep this information confidential to prevent unauthorized use of this account The MSRB account registered for this email address jndoe issuerxyz com has been updated by Bob Doe BDOE Your account currently has no rights assigned You will not be able to access your account until at least one right is granted Your new user ID is JOOE25 You may retrieve your password by going to http www msrb org msrb1 control forgotpassword as 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 You may also obtain more information about MSRB Gateway at https www msrb org msrb1 control default asp After the new user creates a password and logs into Gateway the MSRB Gateway Main Menu appears In the example the user is an Account Administrator As such the Manage User Accounts link is used to manage other user accounts This user can also use the EMMA Dataport link located under Market Transparency Systems to make EMMA Voluntary Submissions MSRB Gateway Main Menu My Profile Welcome to MSRB Gateway Your U
53. be able to access and modify any groups other users in your organization created Other users will be able to update disclosure submissions you have made and vice versa 3 The Master Account Administrator may grant you permission to make the following types of submission to EMMA if applicable preliminary official statements and other presale documents Voluntary primary market information including official statements advance refunding documents or 529 college savings plan disclosure documents Information about the timing and accounting standard used in annual financial filings Continuing disclosure event and financial filings 4 You cannot undo the account consolidation For further information about this and other MSRB Gateway functions go here http www msrb org Market Disclosures and Data Submit Data Gateway aspx If you need further assistance please contact MSRB s support line at 202 838 1330 This is a system generated email PLEASE DO NOT REPLY REPLIES ARE NOT MONITORED Municipal Securities Rulemaking Board 64 MSRB Gateway User Manual for Issuers Obligated Persons and Agents Part 10 Agent Designation Overview An issuer can designate an agent to make submissions to EMMA Designations are made based on submission rights Organizations can control the types of submissions an agent can make on its behalf The agent also has control over the submission types it accepts An organization can only deleg
54. bmissions You will also receive emails from time to time advising you of important changes or events occurring in MSRB system that may affect your organization To access your Gateway account you will first need to create a password Please click on the link below and enter the user ID provided USER ID JOOE17 PASSWORD RETRIEVAL LINK https www msrb org msrb1 control forgotpassword as Please keep this information confidential to prevent unauthorized use of your account The registered information for this account is MSRB ORGANIZATION NUMBER MSRB ID G00243 ORGANIZATION NAME AGENT 1234 ORGANIZATION TYPE Agent MASTER ACCOUNT ADMINISTRATOR TOM DOE EMAIL ADDRESS tdoe2 agentxyz com PHONE 111 222 3333 You can log in to the authenticated access area of the MSRB website through https www msrb org msrb1 control default as This is a system generated email PLEASE DO NOT REPLY REPLIES ARE NOT MONITORED If you need assistance please contact MSRB s support line at 202 838 1330 Enter the User ID and click Submit Retrieve Password To validate your request for a new 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 Municipal Securities Rulemaking Board 29 MSRB Gateway User Manual for Issuers Obligated Persons and Agents An email containing the password reset link is sent
55. by a user through a User Account established for your company shall be your company s responsibility Search for a user Showing 1 4 of 4 By first name Last Last User Name Updated Updated B 0 By last name y n By email A BOB DOE BDOE 6 28 2012 9 31 33 AM By Right JANE DOE BDOE 6 28 2012 10 18 44 AM By Group A LISADOE LDOE2 6 28 2012 9 33 47 AM TOM DOE TDOE1 6 28 2012 9 32 29 AM Show disabled User Accounts K Adanen Aecom The disabled user s name appears grayed out Click on the user to edit the 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 5 of 5 By first name disabled accounts shown in gray By last name a ea By email User Name Updated Updated By On B ht A BoB DOE BDOE 6 28 2012 9 31 33 AM eT P JANE DOE BDOE 6 28 2012 10 18 44 AM A LISA DOE LDOE2 6 28 2012 9 33 47 AM Sac a FA NANCY DOE BDOE 6 28 2012 10 44 15 AM F TOM DOE TDOE1 6 28 2012 9 32 29 AM a Add New Account Municipal Securities Rulemaking Board 94 MSRB Gateway User Manual f
56. c role for the user Email Invite for Continuing Disclosure Municipal Securities Rulemaking Board 102 MSRB Gateway User Manual for Issuers Obligated Persons and Agents Click Accept Confirmation or Reject Confirmation The impacted organization will receive an email that states the actions taken Continuing Disclosure User Verification Please note that you are responsible for ensuring that the users you confirm below are known to you Organization Name Agent XYZ Email fdoe agentxyz com CD Role s Secondary Market Agent Bock CD Moen Reset Password Users can reset their password if they feel their password has been compromised or if they wish to change it to a new password Locate the My Profile box on the Gateway Main Menu Click Change Password MSRB Gateway Main Menu User ID BDOE Master Account Administrator User Name BOB DOE Organization Name lssuer XYZ Welcome to MSRB Gateway Your User Account has the following Access Rights Role Click on a section to expand Account and Organization Management Manage profile information for your User Account or for your organization M5RE ID POOO25S Email Address bdoeissuenyz com Agent Relationship Management Invite and approve agent invitations to from organizations Registrant Information Forms Submit forms to provide information about your organization Market Transparency Systems Access IMSRB systems to submit documents and
57. create an account for an organization with an existing account To resolve the situation click the Contact button to automatically send an email to the account administrator of the registered organization to add an individual user account MSRB Organization Account Federal Tax EIN The federal tax employer identification number tax EIN you supplied has already been provided to the MSRB by another organization Duplication of a tax EIN may occur if more than one person affiliated with the same organization attempts to establish an organization account using its tax EIN Duplication may also occur if you have mistyped your number or if a prior organization account was set up with an incorrect tax EIN Please confirm that the tax EIN you entered is correct You may click Previous to view and edit the tax EIN for this account If it is incorrect please update your EIN If your EIN is correct someone affiliated with your organization has already established an account for your organization You can use the Contact button below to send a message to the Master Account Administrator for the organization currently using this tax EIN The message transmitted will request the contact person to verify the accuracy of the tax EIN used and add an individual user account to their existing organization for the individual you identified as your Master Account Administrator If you do not want to send this information click Cancel to terminate your o
58. dministrator As the Master Account Administrator you will manage the organization account and user accounts 2 Users may be granted permission to make the following type of submissions to EMMA preliminary official statements and other presale documents voluntary primary market information including official statements advance refunding documents or 529 college savings plan disclosure documents information about the timing and accounting standard used in annual financial filings continuing disclosure event and financial filings 3 All users in the organization will share the same EMMA submission dashboard and controlled groups 4 EMMA submissions made under the old MSRB account will be associated with the new MSRB account The submission information for this account is MSRB ORGANIZATION NUMBER MSRB ID P00258 ORGANIZATION NAME ISSUER XYZ To change the submission information for the organization details prior to MSRB verification please click the registration link below and authenticate using the MSRB Registration Number in this email MSRB ID and the temporary key below Temporary Key ZY2F6C8R4X Temporary Key Expiration Date 06 30 201212 32 00 PM Eastern Registration Link http www msrb org msrb1 control registration FormalOAkey as Please keep this temporary key confidential to prevent unauthorized modification of your organization s information This temporary key is valid for 45 days or until your first successful
59. documents to EMMA You may choose more than one role Please note that you are responsible for ensuring that the role s you 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 Remove Confirmation Status Declined Issuer W Secondary Market Agent Municipal Securities Rulemaking Board 101 MSRB Gateway User Manual for Issuers Obligated Persons and Agents Manage Requests for Confirmation An unconfirmed issuer may request electronic confirmation from a user To manage these kind of requests follow the steps below On the Gateway Main Menu expand the link Account and Organization Management Click Manage Continuing Disclosure Confirmation Requests MSRB Gateway Main Menu My Profile Welcome to MSRB Gateway Your User Account has the following Access Rights User ID BOGE Master Account Administrator User Name BOB DOE Role Click on a section to expand Account and Organization Management Organization Name Issuer XYZ Manage profile information for your User Account or for your organization MSRE ID POOOZ5S gt Manage User Accounts Email Address 9 bdoe tissuemyz com Add edit and disable individual User Accounts for your organization Change Password gt View Account Administrators View your organization s Account Administrators gt Manage Groups Note this feature is recommended
60. dy have an MSRB account click here to log in If you need to establish an MSRB account please select the applicable option from the list below Issuers and Obligated Persons Create an organization account to Submit all type of continuing disclosure and primary market filings to EMMA Shared access by multiple users allows the organization to better manage the disclosure filings Create an individual user account to Immediately make continuing disclosure filings to EMMA No other EMMA filings can be made with an individual user account but the account can later be upgraded to an organization account Dealers and Municipal Advisors Register as a broker dealer municipal securities dealer or municipal advisor Your organization must already be registered with the SEC and the appropriate enforcement agency e g FINRA or a bank regulatory agency Agents Create an account to make submissions on behalf of designating organizations Create this account if you are not an issuer obligated person continuing disclosure agent dealer or municipal advisor Click Accept to accept the registration guidelines Municipal Securities Rulemaking Board 47 MSRB Gateway User Manual for Issuers Obligated Persons and Agents MSRB Organization Account Setup Organization Account Set up Guidelines Welcome to MSRB s organization account setup for issuers and obligated persons To set up an organization account please read the g
61. e Action Issuer XYZ P000258 BOB DOE Return to Main Menu While in pending status additional requests to be consolidated cannot be sent Nor will other organizations have the ability to send a consolidation request If they attempt to do so the message below appears Consolidation Requests Search and Send View You already have a pending consolidation request Return to Main Menu Municipal Securities Rulemaking Board 60 MSRB Gateway User Manual for Issuers Obligated Persons and Agents a The organization that you requested to consolidate with will receive the consolidation email request The following user requests to have their MSRB Gateway user account into your MSRB organization account MSRB ID D00912 Issuer XYZ 101 Main Street City ST 12345 Agreeing to consolidate organization accounts will permit the MSRB to more effectively structure your user accounts in MSRB Gateway and allow for greater shared functionality in MSRB Market Transparency programs By accepting this invitation to consolidate your account you are acknowledging that MIKE DOE is an employee consultant or temporary staff employed by the same organization as the requestor You further acknowledge that the person making this request is authorized to make data and document submissions to MSRB information systems on behalf of your organization If the invited person ceases to be employed our organization it will become the responsibility of
62. e designating agent informing them of your actions Relationship with Organization XYZ MSRB ID P0002583 Phone Number 111 222 3333 Fax Number 999 999 9999 Address 101 Main Street City ST 12345 Types of submissions for which you are currently an agent for this organization Submission Type Relationship Status EMMA Continuing Disclosure Waiting for your approval lt EMMA Voluntary Financial Information Remove Relationship Approve Relationship Waiting for your approval Types of submissions for which you would like to act as this organization s agent EMMA Voluntary 05 ARD Submission EMMA Voluntary Preliminary 0S Submission Add Submission Type Return to Agent Menu Return to Main Menu Municipal Securities Rulemaking Board 18 MSRB Gateway User Manual for Issuers Obligated Persons and Agents When the agent relationship is established in Gateway your agent relationship pages will be updated accordingly as shown below Manage Agent Relationships Use the following menu options to offer to make submissions on behalf of another organization and approve requests from others to make submissions on their behalf Active Relationships 2 Organizations requesting that you act as their agent 0 Organizations for which you have offered to act as an agent 0 Offer to serve as an agent for another organization Return to Main Menu Contact information for your Master Account Administrator will be shared w
63. e fax mail option below A cover sheet will be provided to assist with the timely processing of your documents I will upload the EIN information provided on letterhead in pdf format Letterhead I will fax or mail the EIN information provided on letterhead along with the cover sheet I will upload my secondary form of identification in pdf format Second Form of Identification I will fax or mail my secondary form of identification along with the cover sheet es ec o Municipal Securities Rulemaking Board 50 MSRB Gateway User Manual for Issuers Obligated Persons and Agents Review the Organization Summary screen and make edits if necessary then click Confirm MSRB Organization Account Set up Organization Summary Click on Edit to make changes to your information Once edits are complete click OK to return to this summary page To accept this information click Confirm Your changes will not be accepted if you do not click Confirm Additional Information Organizational Details Organization Name Issuer XYZ MSRB ID P000258 Phone Number 111 222 3333 Ext Fax Number Address 1 101 Main Street Address 2 City City State ST Zip 12345 Country Organization Type Municipal Security Issuer Federal Tax EIN 43 6767676 Master Account Administrator Required Documentation BOB 1 Information on Letterhead Verified by MSRB First Name 2 Second Form of Identification Verified by MSRB
64. ecurities Rulemaking Board 91 Click the box Disable the user account Click Continue Edit User Account Account Details User ID MSRB ID Group s First Name Middle Name Last Name Email Address Confirm Email Title Department Phone Number Fax Number Address1 Address 2 City State Zip Country required NDOE P000258 No groups set up NANCY DOE ndoe issuenyz com ndoe issuenyz com 101 MAIN STREET Return to Accounts Return to Main Menu Account Access Rights Select the Access Rights to assign to this User Account This user will have the following Access Rights in MSRB Gateway Account Administrator EMMA Continuing Disclosure Submissions EMMA Voluntary Financial Information EMMA Voluntary OS ARD Submission EMMA Voluntary Preliminary OS Submission _ Force password change on next login Disable the user account Click Confirm User Account to confirm the change Confirm User Account Account Details User ID User Name MSRB ID Group s Email Address Title Department Address Phone Number Fax Number Confirm User Account Edit User Account NDOE NANCY DOE PO0O00258 ndoe issuerxyz com 101 MAIN STREET CITY ST 12345 A i 222 oo Account Access Rights This User Account will be disabled Click on Confirm User Account to complete the process Retur
65. ed Persons The MSRB s mission includes the protection of issuers of municipal securities public pension plans and entities whose credit stands behind municipal securities Login About MSRB Publications Careers Email Alerts Contact Us System Status File a Complaint es e Create an MSRB Gateway Account Issuers and agents must create an account with the MSRB to submit continuing disclosures pre sale or other primary market documents and data to the EMMA website Click here to get started Go to the EMMA Website The EMMA website is the official source for municipal market disclosures and data Hiring a Dealer or Advisor Check to see if your municipal securities dealer or municipal advisor is registered with the MSRB File a Complaint Issuers public pension plans and other municipal entities can file a complaint against a municipal securities dealer or municipal advisor Advanced Search Resources for investors to MSRB systems Resources for Investors Issuers Dealers Advisors MSRB for Toolkit Municipal Securities Rulemaking Board 20 MSRB Gateway User Manual for Issuers Obligated Persons and Agents You will be directed to the Agents page Read information about acting as an agent To start the registration process click If you would like to create an agent account click here You will be directed to the Gateway registration landing page Proceed with registration steps
66. ed to upload documents electronically your information and supporting documentation will be reviewed and you will be notified when the account is activated or if additional information is needed If you have elected to fax or mail your documents along with the cover sheet provided below your information and documents will be reviewed upon receipt Your MSRB Number MSRBID is PO00758 Cover Sheet For organizations that intend to fax or mall the requested documentation please print this document submission cover sheet and fax or mall the cover sheet together with the document s to the MSRB Account Summary Please print a copy of the account summary for your records You will receive an email acknowledging receipt of your account documentation Municipal Securities Rulemaking Board 52 MSRB Gateway User Manual for Issuers Obligated Persons and Agents LSS _ EE SSS You will also receive an email regarding receipt of your upgrade request We have received your request to upgrade your existing CD Submission Account to an Organization Account Your submission will be placed in pending status until the MSRB verifies the documentation you submitted Once the documentation is verified the account will become active and the old registration will be automatically withdrawn After the new account is active the following will occur 1 You will be designated as the Master Account A
67. elationships Eo Municipal Securities Rulemaking Board 4 MSRB Gateway User Manual for Issuers Obligated Persons and Agents Part 1 Gateway Account Overview MSRB Gateway is a single secure access point for all MSRB applications There are two types of Gateway accounts that issuers obligated persons or agents can create an Organization account or continuing disclosure account All users must create an MSRB Gateway account to make submissions on the MSRB s Electronic Municipal Market Access EMMA system Organization Account An organization account is established in order to enable users to manage all disclosure submission activities made by any user in a single organization Before the account is activated the organization must forward required documentation to the MSRB for authorization This information is detailed in the account set up section of this manual The organization account is managed by the Master Account Administrator MAA who is appointed during the account set up process The MAA is responsible for the following e creating new users e managing EMMA submission rights e managing agent relationships e consolidating other continuing disclosure accounts e transferring the MAA role to another user at anytime The following EMMA submissions can be made by users with an organization account e Continuing Disclosure Submissions SEC Rule 15c2 12 disclosures e Voluntary Financial Information e Voluntary Of
68. en shown below e My organization is an issuer e My organization is an obligor Also on this screen provide the Federal Tax Employer Identification Number EIN or Tax ID for the organization The tax ID is a unique identifier for the organization and facilitates verification of your organization s information MSRB Organization Account Set up Organization Type and Employer Identification Number Please indicate your organization type Choose the type which best identifies the role your organization serves in the municipal market Please note that you are responsible for ensuring that the organization type s selected accurately reflect your organization s activities My organization type is identified below My organization is an issuer ISSUER A state political subdivision municipality or governmental agency or authority that raises funds through the sale of municipal securities My organization is an obligor OBLIGOR The party having an obligation with respect to the payment of debt service on bonds typically but not always the borrower such as a conduit borrower of bond proceeds Please provide your organization s federal tax employer identification number EIN For issuers this number can be found in Part I of IRS Form 8038 The organization s EIN will help MSRB uniquely identify your organization and facilitate verification of your organization s information Federal Tax EIN XX XXXXXXX 43 6767676 SS
69. ent for this organization Submission Type Relationship Status L EMMA Continuing Disclosure Waiting for their approval EMMA Voluntary Preliminary OS Submission Waiting for their approval Types of submissions for which you would like to act as this organization s agent C EMMA Voluntary Financial Information L EMMA Voluntary OS ARD Submission Add Submission Type If the request is approved the submission type status changes to Active Relationship with Organization XYZ MSRB ID P000259 Phone Number 111 222 3333 Fax Number 999 999 9999 Address 101 Main Street City ST 12345 You act as an agent for this organization for the following types of submissions Submission Type Relationship Status EMMA Continuing Disclosure Active EMMA Voluntary Financial Information Active EMMA Voluntary OS ARD Submission Active Update Submission Types Municipal Securities Rulemaking Board 74 MSRB Gateway User Manual for Issuers Obligated Persons and Agents CO lf the request is declined the submission type moves to the lower section of the screen Relationship with Organization XYZ MSRB ID P000259 Phone Number 111 222 3333 Fax Number 999 999 9999 Address 101 Main Street City ST 12345 Modifications successfully processed Types of submissions for which you are currently an agent for this organization Submission Type Relationship Status EMMA Continuing Disclosure Active Remove
70. er Account Account Details Account Access Rights UserID JDOE2S Select the Access Rights to assign to this User Account MSRB ID P000258 This user will have the following Access Rights in MSRB Gateway Group s No groups set up 2 First Name JANE Middle Name 2 Last Name 2 Email Address Account Administrator i lt EMMA Continuing Disclosure Submissions EMMA Voluntary Financial Information EMMA Voluntary OS ARD Submission SS si 8s EMMA Voluntary Preliminary OS Submission Confirm Email Title Force password change on next login Department Disable the user account Phone Number 7 Fax Number Addressi 101 MAIN STREET Address2 City State Zip Country required fatum to count Poe Click Confirm User Account Confirm User Account Account Details Account Access Rights UserID JDOE S Click on Confirm User Account to complete the process User Name JANE DOE MSRB ID P0000258 Group s Email Address jndoe issuerxyz com Title Department Address 101 MAIN STREET CITY ST 12345 Phone Number 111 222 3333 Fax Number SS A Aecom Municipal Securities Rulemaking Board 87 MSRB Gateway User Manual for Issuers Obligated Persons and Agents CO The results screen will confirm that the user account was successfully created User Account Update Results The following User Account was successfully updated An email confirm
71. ess User Name Bob Doe MSRB ID P000258 Group s Email Address bdoe issuerxyz com Title Department Address 101 Main Street City ST 12345 Phone Number 111 222 3333 Fax Number Confirm User Account Edit User Account Return to Accounts Return to Main Menu Municipal Securities Rulemaking Board 33 MSRB Gateway User Manual for Issuers Obligated Persons and Agents The User Account Update Results screen appears confirming your user account was successfully updated Click Return to Main Menu User Account Update Results The following User Account was successfully updated An email confirmation was sent to the user User ID BDOE MSRB ID PO00258 Name Bob Doe Email Address bdoe issuerxyz com Retum to Accounts Retum to Main Menu Access EMMA Dataport After granting your EMMA submission rights expand the Market Transparency Systems link and click EMMA Dataport MSRB Gateway Main Menu My Profile User ID BDOE Master Account Administrator Click on a section to expand User Name Bob Doe Welcome to MSRB Gateway Your User Account has the following Access Rights Role Organization Name Issuer XYZ MSRB ID P000258 Email Address bdoe issuenyzcom Change Password Account and Organization Management Manage profile information for your User Account or for your organization Agent Relationship Management Invite and approve agent invitations to from organizations gt Manage Agent
72. ficial Statement and Advanced Refunding Documents OS ARD Submissions e Voluntary Preliminary Official Statement Submissions Users with an organization account have a shared EMMA dashboard A shared dashboard displays all submissions made to EMMA under one organization account These submissions can be accessed and amended by any user in the organization that has the appropriate access rights Users with an organization account have access to the EMMA Trade Monitor which provides state and local governments with the capability to analyze data from the EMMA website in support of among other things evaluating pricing for new issues Municipal Securities Rulemaking Board 5 MSRB Gateway User Manual for Issuers Obligated Persons and Agents Users also have access to any CUSIP group created in the organization account and share in CUSIP group management Below is a chart that displays the account management functions and roles in an organization account User Roles and Functions in an Organization Account Gatewar Foncions Master Account Account y Administrator Administrator Continuing Disclosure Account A continuing disclosure account is a single user account that can be created quickly and does not have to be approved by the MSRB Users self manage their account so there is no need for an administrator Continuing disclosure accounts are used solely to make continuing disclosure submissions to EMMA Because there is no M
73. following respects e The organization account set up guidelines have content specific to agents e You are not asked if you have an existing user account e The documents required to upload are specific to agents Upon verification of your account set up documents and information MSRB staff will establish your Gateway organization account This completes the account set up process your account will be pending until the MSRB verifies the information provided After the Gateway account is established the agent must log into their account and accept or decline the agent designation request s Log into your Gateway account and click Manage Agent Relationship My Profile MSRB Gateway Main Menu Welcome to MSRB Gateway Your User Account has the following Access Rights User ID BDOE Master Account Role Administrator Click on a section to expand User Nane Bob Doe Organization Name Issuer XYZ MSRBID P000258 Email Address bdoe issuemyzcom Change Password Account and Organization Management Manage profile information for your User Account or for your organization Agent Relationship Management Invite and approve agent invitations to from organizations gt Manage Agent Relationships Manage your organization s relationships with other organizations Registrant Information Forms Submit forms to provide information about your organization Market Transparency Systems Access MSRB systems to submit document
74. ganization Information Please provide information about your organization The address and phone numbers provided should be for the organization s main office or headquarters Organization Name ssuer XYZ Phone Number 111 222 3333 Ext Fax Number i Address 1 101 Main Street Address 2 City City State ST Zip 12345 Country required Lia Identify the individual in your organization who will serve as the Master Account Administrator Complete the contact information for the Master Account Administrator If the contact phone number and address are the same as that of the organization click Copy to copy this information from the organization details MSRB Organization Account Set up Add Master Account Administrator Information Please provide contact details for the Master Account Administrator If the address is the same as your organization s information click Copy to copy from your organization s details LL G Master Account Administrator First Name Bob Middle Name Last Name Doe Name Suffix Email Address bdoe issuenyz com Confirm Email bdoe issuenyz com Phone Number i 35 23 Ext Address1 101 Main Street Address City State Zip Country required Municipal Securities Rulemaking Board 10 MSRB Gateway User Manual for Issuers Obligated Persons and Agents On the next screen select the organization type that you are registering for on the scre
75. ghts removed are the only rights for an individual account the account becomes disabled and the user will no longer be able to log into Gateway The user account remains enabled if it has inherent rights in your organization or rights delegated from someone else Edit Agent Relationship with Issuer XYZ MSRB ID P000258 Phone Number 111 222 3333 Fax Number Address 101 Main Street City ST 12345 You have chosen to remove the following agent relationships with this organization Submission Type Relationship Status EMMA Voluntary Preliminary OS Submission Active Previous Page Retum to Agent Menu Return to Main Menu The affected users will receive an email advising them of the change to their rights Your organization is no longer authorized to submit certain submission types as an agent for Issuer XYZ PO0247 As a result your MSRB Gateway account userid BDOE has been modified to remove the following rights EMMA Voluntary Annual filing and GAAP Undertaking If you need further assistance please contact MSRB s support line at 202 838 1330 This is a system generated email PLEASE DO NOT REPLY REPLIES ARE NOT MONITORED d A deactivated account can be re enabled by the Master Account Administrator Municipal Securities Rulemaking Board 78 MSRB Gateway User Manual for Issuers Obligated Persons and Agents Part 11 Master Account Administrator Update Organization Account An organization can have onl
76. gt Manage Agent Relationships Manage your organization s relationships with other organizations Registrant Information Forms Submit forms to provide information about your organization Market Transparency Systems Access MSRB systems to submit documents and data related to municipal market activity and political contributions gt EMMA Dataport Submit documents and information to EMMA Municipal Securities Rulemaking Board 45 MSRB Gateway User Manual for Issuers Obligated Persons and Agents After selecting this option enter the email address of the issuer obligated person or secondary market agent to whom you would like to send an invitation Click Invite for Continuing Disclosure Continuing Disclosure Confirmation Invitation Pending continuing disclosure confirmations These are requests from MSRB registered users to be confirmed by you to submit continuing 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 tdoe issuenyz com Invite for Continuing Disclosure Retum Main Menu On the following screen enter the company name and role s that the invitee will assume and click Send Invitation i m _ pr Da a A i rove to assign to the invitee
77. hority that raises funds through the sale of municipal securities My organization is an obligor OBLIGOR The party having an obligation with respect to the payment of debt service on bonds typically but not always the borrower such as a conduit borrower of bond proceeds Please provide your organization s federal tax employer identification number EIN For issuers this number can be found in Part I of IRS Form 8038 The organization s EIN will help MSRB uniquely identify your organization and facilitate verification of your organization s information Federal Tax EIN XX XXXXXXX 56 6556655 lt a Indicate how the documents will be forwarded to the MSRB Select the option to upload the required documents in portable document format PDF and or via mail or fax Click OK when done MSRB Organization Account Set up Required Documentation In order to process your organization account setup the MSRB requires a copy of your organization s federal tax EIN on letterhead along with another form of identification for your organization e g a page from the official statement that identifies you as the obligated person a federal or state tax document or a letter from the conduit issuer stating that you are an obligated person These documents will help to uniquely identify your organization If you are unable to provide an electronic copy of these documents you can fax or mail the documents to the MSRB by selecting th
78. ights and manage relationships with designated agents of the organization Complete the following steps to establish an organization account as an Issuer or obligated person Go to www msrb org and click Resources for Issuers Login About MSRB Publications Careers Email Alerts Contact Us System Status File a Complaint M Ms ip SR XB urities Rulemaking Board A SAA Municipal Bond Market Rules Disclosures and Data Market Leadership News Events and Training Resources fol New Protections for 3 J State and Local ua gt jm arresi Governments to MSRB systems Resources for Investors Issuers Dealers Advisors What s New View All News MSRB Saddened by Loss of Board Member Gene Saffold Wednesday October 10 2012 Reminder of Upcoming Changes to MSRB Transaction Reporting Requirements Tuesday October 09 2012 MSRB Requests Comment on Revised Retail Order Periods Proposal Tuesday October 02 2012 MSRB Seats New Board of Directors Members for Fiscal Year 2013 Monday October 01 2012 MSRB Provides Educational Resources on Market Indices Thursday September 27 2012 Municipal Securities Rulemaking Board 7 MSRB Gateway User Manual for Issuers Obligated Persons and Agents Click Create an MSRB Gateway Account Municipal Bond Market Rules and Interpretations Disclosures and Data Market Topics News Events amp Training MSRB for Issuers Access
79. ion ACCOUNM c ccccceeeeseeeeeeeeeeeneneeeeeeneeeeeeeseeeeenneees 47 Part 9 Consolidate Gateway ACCOUNMS ccsssccseseesceseeeeeneeeeeseeeenseesenseesensesseneeses 54 Invite Others to Consolidate Into Your Organization ACCOUM seceeeeeeees 54 Request to Be Consolidated Into an Organization ACCOUNL ccceseceeeeeeees 58 Approve or Decline Consolidation Requests cccccsscecseeeeeeeeeeseseesseeeesaaeees 61 Impacts on Your User Account Post Consolidation ccccccsseeeeseeeeeeeeeeeeees 63 Impacts on Agent Relationships Post Consolidation ccccseseeeseeeeeeeeeeeeeees 64 Part 10 Agent Designation OVerVieW ccccsscceeseeeeseseeseeeeneeeeseeeeneeeeneseeneeeeneeoenees 65 Agent Relationships OVervieW ccccscccccssececeeeeeseeeeeeeeeesseeeesseesessaeeesseeesaees 66 View Agents Relationships ccccccccssccceeeceeeceeeeeseeceeeseuseseeeseeeseusenseeseeeseaeens 69 Manage Agent Submissions Rights 2 c2 lt c2c0sececesececedeccdesesecedecedeaetecesseedenstsestaccc 70 Request Agent Designation RIQNts cccscccceecceeeeneeeseeeeeeeeneeeseeeeaueeaeeenaeeeees 73 Accept or Decline Agent Designation Rights ccccccceeccsececeeeseeeseeeseeesaeeees 76 Part 11 Master Account Administrator Update Organization Account 79 Transfer Master Account Administrator s RIQNts c ccccsccsseeseeeeeeeseeseeeseees 80 Gre
80. ith Master Account Administrators of organizations involved in agent relationships with you Organizations For Whom You Are An Agent Organizations for whom you act as an agent 2 MSRB ID Organization Submission Relationship Name Type Status P000259 Organization XYZ EMMA Continuing Disclosure Active P000259 Organization XYZ EMMA Voluntary Financial Information Active Return to Agent Menu Return to Main Menu Municipal Securities Rulemaking Board 19 MSRB Gateway User Manual for Issuers Obligated Persons and Agents Agent Initiates Steps to Establish a Gateway Account lf the agent organization has not received an email invitation but would like to establish an organization account they may do so using the following steps Go to www msrb org and click MSRB for Issuers or Dealers MSRB Kunipa Securities Rulemaking Municipal Bond Market Rules Disclosures and Data Market Leadership News Events and Training Board Investor Toolkit Issuers Access MSRB Gateway Gateway access is required for submitting data and documents to the EMMA website To log into an existing account click here Agent Submissions ization designated by another poaa to submit documents to the MSRB on its behalf Learn more about submitting as an agent SEC Rule 15c2 12 Securities and Exchange Commission Rule 15c2 12 contains municipal securities disclosure requirements Protection of Municipal Entities and Obligat
81. llowing Access Rights in MSRB Gateway User Name NANCY DOE EMMA Voluntary Financial Information MSRB ID P000258 EMMA Voluntary OS ARD Submission Email Address ndoe issuerxyz com EMMA Voluntary Preliminary OS Submission Title Department Address 101 MAIN STREET CITY ST 12345 Phone Number 111 222 3333 Fax Number Last Updated by BDOE On 6 28 2012 11 36 11 AM View Profile History View Rights History Edit User Account Municipal Securities Rulemaking Board 96 MSRB Gateway User Manual for Issuers Obligated Persons and Agents Updates to email address phone number or address can be made After the updates are made click Continue Edit User Account For questions or to add User Rights contact an Account Administrator for your company Account Details User ID MSRB ID First Name Middle Name Last Name Email Address Confirm Email Title Department Phone Number Fax Number Address1 Address2 City State Zip Country required NDOE P000258 NANCY DOE doe issuemyz com ndoe issuenyz com 101 MAIN STREET Return to Main Menu Click Confirm User Account to complete the process Confirm User Account Account Details User ID NDOE User Name NANCY DOE MSRB ID P000258 Email Address ndoe issuerxyz com Title Department Address 101 MAIN STREET CITY ST 12345 Phone Number 111 222 3333 Fax Number Confirm User Account
82. making Board MSRB Gateway User Manual for Issuers Obligated Persons and Agents Part 12 Update User Account A user can perform some account management functions for their user account without the assistance of the Master Account Administrator Users can update the following user account details in their Organization Account e Email address e Phone number s e Address On the Gateway Main Menu go to the My Profile box 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 NDOE Role User Click on a section to expand User Name NANCY DOE Organization Name Issuer XYZ Account and Organization Management MSRE ID PoOO EE gt View Account Administrators Email Address ndceissuerxyz com View your organization s Account Administrators Change Password gt Manage Continuing Disclosure Confirmation Requests Approve confirmation requests and invite individuals to register fo submit continuing disclosure submissions Market Transparency Systems Access MISAE systems to submit documents and data related to municipal market activity and political contributions gt EMMA Dataport Submit documents and information to EMMA Click Edit User Account User Account Profile For questions or to add User Rights contact an Account Administrator for your company Account Details Account Access Rights User ID NDOE You have the fo
83. me xyz By MSRB ID By sending a consolidation invitation to the selected user s you are acknowledging that the person receiving the invitation is an employee consultant or temporary staff employed by your organization You further E a oe e scree acknowledge that the person receiving the invitation is authorized to make data and document submissions to an MSRB market transparency system Search Reset on behalf of your organization If the invited person ceases to be employed by your organization it is the responsibility of your account manager to disable that person s MSRB Gateway account Search Results Organization Name MSRB ID E organization xyz D00912 Do you wish to continue Cancel Address 101 MAIN STREET CITY ST 12345 Phone 111 222 3333 Return to Main Menu D_E Municipal Securities Rulemaking Board 55 MSRB Gateway User Manual for Issuers Obligated Persons and Agents Your pending request appears under the View tab Prior to the acceptance of the request if you decide that the request was sent in error it can be removed or cancelled by clicking Remove Consolidation Requests Search and Send View A consolidation request has been sent to the following DOOSI 2 Manage Consolidations Organization Name MSRB ID Action Organization XYZ poos12 Return to Main Menu Municipal Securities Rulemaking Board 56
84. med and will not have to go through the confirmation process when they register their continuing disclosure account To initiate the invitation and confirmation process log in to MSRB Gateway From the MSRB Gateway main menu expand the Account and Organization Management option and click Manage Continuing Disclosure Confirmation Requests MSRB Gateway Main Menu My Profile User ID BDOE Master Account l Administrator Click on a section to expand e ia BOB DOE Welcome to MSRB Gateway Your User Account has the following Access Rights Role Organization Name Issuer XYZ MSRB ID P000258 Email Address bdoe issuenyzcom Change Password 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 gt View Account Administrators View your organization s Account Administrators gt Manage Groups Note this feature is recommended only for large organizations Use Groups to help organize your organization s User Accounts gt Manage Continuing Disclosure Confirmation Requests 1 Approve confirmation requests and invite individuals to register to submit continuing disclosure submissions gt Manage Consolidations Send manage or view account consolidation requests Agent Relationship Management Invite and approve agent invitations to from organizations
85. ments Tuesday October 09 2012 MSRB Requests Comment on Revised Retail Order Periods Proposal Tuesday October 02 2012 MSRB Seats New Board of Directors Members for Fiscal Year 2013 Monday October 01 2012 MSRB Provides Educational Resources on Market Indices Thursday September 27 2012 Municipal Securities Rulemaking Board 36 Municipal Bond Market Rules and Interpretations Issuers Access MSRB Gateway Gateway access is required for submitting data and documents to the EMMA website To log into an existing account click here Agent Submissions An agent is an organization designated by another organization to submit documents to the MSRB on its behalf Learn more about submitting as an agent SEC Rule 15c2 12 Securities and Exchange Commission Rule 15c2 12 contains municipal securities disclosure requirements Protection of Municipal Entities and Obligated Persons The MSRB s mission includes the protection of issuers of municipal securities public pension plans and entities whose credit stands behind municipal securities MSRB Gateway User Manual for Issuers Obligated Persons and Agents Disclosures and Data Market Topics Create an MSRB Gateway Account ssuers and agents must create an account with the MSRB to submit continuing disclosures pre sale or other primary market documents and data to the EMMA website Click here to get started Go to the EMMA Website The EMMA website
86. n account First Name Jane Middle Name Last Name Name Suffix Title Director Phone Number 111 222 Phone Extension required LS eS eo A confirmation screen then states that the account was successfully updated ongratulations you have successfully updated your account information with the MSRB Your MSRB Number MSRB ID is P000260 Account Summary Please print a copy of the account summary for your records Municipal Securities Rulemaking Board 28 MSRB Gateway User Manual for Issuers Obligated Persons and Agents Part 5 Master Account Administrator MAA Account Set up After the MSRB authorizes the account the following actions must be taken by the Master Account Administrator to complete the account set up process Create a Password to Access Your Gateway Account The Master Account Administrator will receive an email with a User ID and a link to create a password in order to access the new Gateway account Click the Password Retrieval Link Your MSRB Gateway account is now authorized An organization account has been created for your organization and a user account has been created for you As the Master Account Administrator for your organization you may use your account to create and manage the user accounts of other staff working for your organization update organization information on file with the MSRB and request and accept agent designations related to data and disclosure su
87. n to Accounts Return to Main Menu Municipal Securities Rulemaking Board MSRB Gateway User Manual for Issuers Obligated Persons and Agents 92 MSRB Gateway User Manual for Issuers Obligated Persons and Agents eeeeeeeeeeeee SS EEEE SE SSS A confirmation screen will confirm that the account was disabled User Account Update Results The following User Account was successfully disabled An email confirmation was sent to the user User ID NDOE MSRB ID POOO258 Name NANCY DOE Email Address ndoe issuerxyz com Retum to Accounts Retum to Main Menu The user of the disabled account will receive an email stating that the account was disabled The user will no longer be able to log into Gateway Please keep this information confidential to prevent unauthorized use of this account The MSRB Gateway Account registered for this email address jndoe issuerxyz com has been updated by Bob Doe BDOE Your account has been disabled You may login and check your account details and update history by going to http www msrb org msrb1 control default as 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 www msrb org msrb1 control default asp The user will no longer
88. nt click here to log in If you need to establish an MSRB account please select the applicable option from the list below Issuers and Obligated Persons Create an organization account to Submit all type of continuing disclosure and primary market filings to EMMA Shared access by multiple users allows the organization to better manage the disclosure filings Create an individual user account to Immediately make continuing disclosure filings to EMMA No other EMMA filings can be made with an individual user account but the account can later be upgraded to an organization account Dealers and Municipal Advisors Register as a broker dealer municipal securities dealer or municipal advisor Your organization must already be registered with the SEC and the appropriate enforcement agency e g FINRA or a bank regulatory agency Agents Create an account to make submissions on behalf of designating organizations Create this account if you are not an issuer obligated person dealer or municipal advisor Municipal Securities Rulemaking Board 8 MSRB Gateway User Manual for Issuers Obligated Persons and Agents Click Continue to read the registration guidelines The guidelines describe required documentation that must be provided to the MSRB and explain other important aspects of setting up an account When you have read the guidelines click Accept MSRB Organization Account Setup Organization Account Set up
89. o EMMA Municipal Securities Rulemaking Board 21 MSRB Gateway User Manual for Issuers Obligated Persons and Agents Click the link Offer to serve as an agent for another organization Manage Agent Relationships Use the following menu options to offer to make submissions on behalf of another organization and approve requests from others to make submissions on their behalf Active Relationships 0 Organizations requesting that you act as their agent 2 Organizations for which you have offered to act as an agent 0 Offer to serve as an agent for another organization Return to Main Menu Contact information for your Master Account Administrator will be shared with Master Account Administrators of organizations involved in agent relationships with you Enter search criteria for the organization you wish to serve and click Search Follow steps to request to act as an agent Organization Search Organization Name MSRBID Email Address E es MSRB ID Organization Name Municipal Securities Rulemaking Board 22 MSRB Gateway User Manual for Issuers Obligated Persons and Agents Part 3 Duplicate Tax ID Rarely on behalf of the registering organization a user enters a Tax ID that is already associated with another organization s account If this occurs the registration process cannot be completed First verify that the Tax ID is accurate If the Tax ID is correct the user may be trying to
90. o return to MSRB org from within the MSRB Gateway application click on the MSRB Home link at Password the top right corner of the page If you are experiencing log in or other system related problems please check the MSRB System Status Page for more information If you need additional help please contact the MSRB via email at GatewaySupport msrb org or by phone at 703 797 6668 The MSRB recommends not bookmarking this page Forgot your password Municipal Securities Rulemaking Board 104
91. on Account Administrators 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 A Group Name Email Phone Number BOB DOE bdoe issuerxyz com 111 222 3333 JANE DOE jndoe issuerxyz com 111 222 3333 capes ee Municipal Securities Rulemaking Board 98 MSRB Gateway User Manual for Issuers Obligated Persons and Agents View Account Profile History and Rights History Users can view a history of changes that were made to their account profile or to their account access rights On the Gateway Main Menu go to the My Profile box in the upper right and click Edit On the User Account Profile screen click View Profile History the dates that the user account was amended and View Rights History for a history of when access rights were granted or removed User Account Profile For questions or to add User Rights contact an Account Administrator for your company Account Details Account Access Rights UserID NDOE You have the following Access Rights in MSRB Gateway User Name NANCY DOE EMMA Voluntary Financial Information MSRB ID P000258 EMMA Voluntary OS ARD Submission Email Address ndoe issuerxyz com EMMA Voluntary Preliminary OS Submission Title Department Address 101 MAIN STREET CITY ST 12345 Phone Number 111 222 3333
92. on When complete click OK MSRB Organization Account Set up Add Master Account Administrator Information Please provide contact details for the Master Account Administrator If the address is the same as your organization s information click Copy to copy from your organization s details You may replace this contact if needed Master Account Administrator First Name WANCY Middle Name Last Name Name Suffix Email Address ndoe issuenyz com Confirm Email ndoe issuengz coml Phone Number 41 lza 3333 Addressi 101 MAIN STREET Address City State Zip Country required PK Municipal Securities Rulemaking Board 82 MSRB Gateway User Manual for Issuers Obligated Persons and Agents The new Master Account Administrator will be reflected on the Organization Summary Click Confirm to save the changes MSRB Organization Account Set up Organization Summary Click on Edit to make changes to your information Once edits are complete click OK to return to this summary page To accept this information click Confirm Your changes will not be accepted if you do not click Confirm Organizational Details Edit Additional Information Organization Name Issuer XYZ MSRB ID P000258 Phone Number 111 222 3333 Ext Fax Number Address 1 101 Main Street Federal Tax EIN 43 6767676 Address 2 City City State ST Zip 12345 Country Organization Type Municipal Security Iss
93. one of the options below MSRB ID D00912 Confirmation Number 0000 APJT Role s Issuer Obligor For issuers and obligated persons Send this document along with a letter requesting confirmation on your organization s letterhead signed by 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 available 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 MSRB at the address below All correspondence should be addressed to MSRB Attention Market Information Department 1900 Duke Street Alexandria VA 22314 For electronic confirmations the following screen appears A user will not be confirmed using the electronic confirmation process until the confirming party takes action Continuing Disclosure Registration Account Created The folowing user account has been successful y created A confirmation e mail with your MSRB Gateway log in information has been sent to the address J a it below You wil need your log in information to submit continuing disclosure documen
94. only for large organizations Use Groups to help organize your organization s User Accounts gt Manage Continuing Disclosure Confirmation Requests Approve confirmation requests and invite individuals to register to submit continuing disclosure submissions gt Manage Consolidations Send manage or view account consolidation requests Agent Relationship Management Invite and approve agent invitations tofrom organizations gt Manage Agent Relationships Manage your organization s relationships with other organizations Registrant Information Forms Submit forms to provide information about your organization Market Transparency Systems Access MSR systems to submit documents and data related to municipal market activity and political contributions gt EMMA Dataport Submit documents and information to EMMA The upper section of the screen will display pending confirmation requests Locate the organization and click View and Confirm Continuing Disclosure Confirmation Invitation Pending continuing disclosure confirmations These are requests from MSRB registered users to be confirmed by you to submit continuing disclosures MSRBID Organization Contact Name poog16 Issuer ABC GARY DOE DOOSIS Agent XYZ FRANK DOE 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 specifi
95. ons requesting that you act as their agent 0 Organizations for which you have offered to act as an agent 0 Offer to serve as an agent for another organization Return to Main Menu The first section shows your relationships with organizations that act as your agent Menuoption Menuoption Definition as active relationships with agents you Active relationships have approved to submit on your behalf View pending designations to organizations that you are waiting to accept decline your designation request Organizations you have requested to be your agent View pending designations from Organizations offering to serve as your organizations that are waiting for you to agent accept or decline their offer to act as your agent Designate an organization to act as your Send a request for an organization to act agent as your agent Municipal Securities Rulemaking Board 67 MSRB Gateway User Manual for Issuers Obligated Persons and Agents The second section of the Manage Agent Relationships screen shows agent relationships where your organization plays the role of an agent Shows organizations for which you currently act as an agent and shows the types of submissions you can make on that organization s behalf View pending requests from organizations that you act as their agent You can accept Active relationships Organizations requesting that you act as their agent or decline the designa
96. or Issuers Obligated Persons and Agents Uncheck the Disable the user account option then click Continue Edit User Account Account Details User ID NDOE MSRB ID P000258 Group s Account Access Rights Select the Access Rights to assign to this User Account This user will have the following Access Rights in MSRB Gateway No groups set up Account Administrator First Name NANCY Middle Name EMMA Continuing Disclosure Submissions EMMA Voluntary Financial Information EMMA Voluntary OS ARD Submission Last Name DOE Email Address ndoe issuenyz com EMMA Voluntary Preliminary OS Submission Confirm Email pdoe issuenyz com Title Force password change on next login Disable the user account Department Phone Number Fax Number Address1 101 MAIN STREET Address 2 City State Zip Country required Click Confirm User Account to complete the process Confirm User Account Account Details Account Access Rights User ID NDOE Click on Confirm User Account to complete the process User Name MSRB ID Group s Email Address Title Department Address Phone Number Fax Number Confirm User Account NANCY DOE PQO00258 ndoe issuerxyz com 101 MAIN STREET CITY ST 12545 111 222 3333 Edit User Account Retum to Accounts Retum to Main Menu Municipal Securities Rule
97. owing types of submissions Submission Type Relationship Status EMMA Continuing Disclosure Active EMMA Voluntary Financial Information Active Update Submission Types You act as an agent for this organization for the following types of submissions Submission Type Relationship Status No submission types authorized Update Submission Types Municipal Securities Rulemaking Board 69 MSRB Gateway User Manual for Issuers Obligated Persons and Agents Manage Agent Submissions Rights The upper section of this screen displays the submission types the agent makes for your organization You may add or remove submission rights from the agent at any time To remove submission rights from an agent select the submission type to be removed and then click Remove Relationship Relationship with AGENT 1234 MSRB ID G00244 Phone Number 111 222 3333 Fax Number 999 999 9999 Address 101 MAIN STREET CITY ST 12345 Types of submissions this organization can make on your behalf Submission Type Relationship Status I EMMA Continuing Disclosure Active EMMA Voluntary Financial Information Active Remove Relationship Types of submissions for which you would like this organization to act as your agent EMMA Voluntary OS ARD Submission EMMA Voluntary Preliminary OS Submission Add Submission Type Municipal Securities Rulemaking Board 70 MSRB Gateway User Manual for Issuers Obligated Persons and Agen
98. quests Approve confirmation requests and invite individuals to register to submit continuing disclosure submissions Manage Consolidations Send manage or view account consolidation requests Agent Relationship Management Invite and approve agent invitations to from organizations gt Manage Agent Relationships lt Manage your organization s relationships with other organizations Registrant Information Forms Submit forms to provide information about your organization Market Transparency Systems Access MSRB systems to submit documents and data related to municipal market activity and political contributions gt EMMA Dataport Submit documents and information to EMMA Municipal Securities Rulemaking Board 66 MSRB Gateway User Manual for Issuers Obligated Persons and Agents The Manage Agents Relationships screen appears It is divided into two sections Manage Agent Relationships Use the following menu options to designate agents to make submissions on your behalf and approve requests from others to act as your agent Active relationships 2 Organizations you have requested to act as your agent 0 Organizations offering to act as your agent 0 Designate an organization to act as your agent Use the following menu options to offer to make submissions on behalf of another organization and approve requests from others to make submissions on their behalf Active Relationships 0 Organizati
99. rganization account setup es Prenos Cona After clicking Contact a confirmation screen appears stating that an email was sent to the Master Account Administrator of the registered organization MSRB Registration Contact Existing Registrant An email has been sent to the Master Account Administrator of the organization whose MSRB account includes the federal tax EIN you provided This email included a request for an MSRB Gateway user account to be set up for the contact you identified as your Master Account Administrator A representative of this organization may contact this individual to request additional information The Master Account Administrator of the registered organization will receive the following email and can take appropriate action An organization set up request submitted to the MSRB includes the federal tax EIN registered to your organization Please confirm that the federal tax EIN you used to set up your NSRB organization account is correct If it is correct the submitter requests that you add an MSRB Gateway user account for the following individual USER NAME Bob Doe EMAIL ADDRESS bdoegagentxyz com PHONE 111 222 3333 ADDRESS 101 Main Street City ST 12345 This is a system generated email PLEASE DO NOT REPLY REPLIES ARE NOT MONITORED If you need assistance please contact the MSRE at 783 797 6068 lf issues arise among organizations regarding a duplicate Tax ID contact MSRB Support at 202 838 1
100. rmation on agent designation Fees to Set Up an Organization Account There are no fees associated with setting up an organization account Account Status Upon completing the online account setup process your account will be placed in pending status until the MSRB verifies the information provided The MSRB may contact the individual identified as your Master Account Administrator as needed to acquire and or validate information EZE ee ee Select the option that indicates you have an existing Gateway account Enter your user ID and Password P By providing the user name and password of an existing continuing disclosure account you will cause that account to be converted to an organization account The MSRB recommends converting or consolidating to organization accounts MSRB Organization Account Set up Please indicate if you have an existing CD submission user account If yes you will be asked to provide your log in credentials Your log in credentials will be validated against information in Gateway Providing the identity of your existing CD submission account will allow you to keep your current username and password and to incorporate prior submissions into the new organization account Ihave an existing user account that will be used for the new registration Ido not have an existing user account Enter your User ID and Password If you do not remember your password go to the Gateway log in page and click forgot pa
101. s and data related to municipal market activity and political contributions gt EMMA Dataport Submit documents and information to EMMA Click Organizations requesting that you act as their agent Manage Agent Relationships Use the following menu options to offer to make submissions on behalf of another organization and approve requests from others to make submissions on their behalf Active Relationships 0 Organizations requesting that you act as their agent 2 e Organizations for which you have offered to act as an agent 0 Offer to serve as an agent for another organization Return to Main Menu Contact information for your Master Account Administrator will be shared with Master Account Administrators of organizations involved in agent relationships with you Municipal Securities Rulemaking Board 17 MSRB Gateway User Manual for Issuers Obligated Persons and Agents E All pending request s appear on the screen click on the applicable request Pending Agent Requests Organizations requesting that you act as their agent 2 MSRB ID Organization Submission Name Relationship Type Status P000259 Organization XYZ EMMA Continuing Disclosure Pending EMMA Voluntary Financial Information Pending P000259 Organization XYZ Return to Agent Menu Return to Main Menu Click on the submission type and click Remove Relationship or Approve Relationship An email will be forwarded to th
102. s information This temporary key is valid for 45 days of the date of this email If you need assistance please contact MSRB s support line at 202 838 1330 This is a system generated email PLEASE DO NOT REPLY REPLIES ARE NOT MONITORED gw 012 Municipal Securities Rulemaking Board 24 MSRB Gateway User Manual for Issuers Obligated Persons and Agents The following screen appears Enter the MSRB ID and the Temporary Key from the email MSRB Organization Account To amend your organization s account information please use the MSRB Number MSRB ID and temporary key sent to you via email to log in below If you do not know your MSRB Number MSRB ID please contact MSRB s support line at 703 797 6668 Login MSRB Number MSRB ID G00247 Temporary Key PTT TTititiy Municipal Securities Rulemaking Board 25 MSRB Gateway User Manual for Issuers Obligated Persons and Agents The Organization Summary screen appears Click Edit in the applicable box Amendments cannot be made to the Tax ID Organization Type documentation or the option to provide documentation Nor can an organization amend these items after the account is authorized The MSRB must be contacted to make these changes MSRB Organization Account Setup Organization Summary Click on Edit to make changes to your information Once edits are complete click OK to return to this summary page To accept this information click Confirm Your change
103. s the following Access Rights User ID BDOE Master Account Role Administrator Click on a section to expand User Name BOB DOE Account and Organization Management Organization Name Issuer XYZ Manage profile information for your User Account or for your organization MSRB ID P000258 gt Manage User Accounts Email Address bdoe issuenyz com Add edit and disable individual User Accounts for your organization Change Password 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 Continuing Disclosure Confirmation Requests Approve confirmation requests and invite individuals to register to submit continuing disclosure submissions Manage Consolidations Send manage or view account consolidation requests Agent Relationship Management Invite and approve agent invitations to from organizations Registrant Information Forms Submit forms to provide information about your organization Market Transparency Systems Access MSRB systems to submit documents and data related to municipal market activity and political contributions gt EMMA Dataport Submit documents and information to EMMA Click 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
104. s will not be accepted if you do not click Confirm Organization Details Edit Additional Information Organization Name AGENT XYZ Organization Type AGENT Phone Number 111 222 3333 Federal Tax EIN 88 9999999 Fax Number Address 1 101 MAIN STREET Address 2 City CITY State ST Zip 12345 Country Master Account Administrator Edit Required Documentation First Name TOM 1 Information on Letterhead delivered as Information on Letterhead pdf Middle Name 2 Second Form of Identification delivered as Second Form of Last Name DOE Identification pdf Name Suffix Email Address tdoe agentxyz com Phone Number 111 222 3333 Address 1 101 MAIN STREET Address 2 City CITY State ST Zip 12345 Country Cancel Account Setup After clicking Edit for the information you wish to change update the information and then click OK In the example below the user is making updates to the Organization Details information MSRB Organization Account Setup Add Organization Details Please provide information about your organization The address and phone number provided should be for the organization s main office or headquarters Organization Name AGENT XYZ Phone Number 111 222 3333 Ext Fax Number Address1 101 MAIN STREET Address2 City CITY State ST Zip 12345 Country required Municipal Securities Rulemaking Board 26 MSRB Gateway User Manual for Issuers Obligated Persons and Agents
105. se keep this information confidential to prevent unauthorized use Issuer XYZ PO00258 has invited your organization to establish an account in the MSRB Gateway system so that your organization can act as an agent on their behalf to make the following submission types to the Municipal Securities Rulemaking Board MSRB EMMA Continuing Disclosure EMMA Voluntary Financial Information Before you can accept the designation s you must first establish an MSRB account Please click on the link below to be directed to the registration landing page to start the registration process http www msrb org msrb1 control registration default as Registering and accepting the offer will grant the staff of your organization permission to take actions on behalf of Issuer XYZ in connection with the submission modification or cancellation of municipal securities disclosures which Issuer XYZ may have an obligation to or may voluntarily submit to an information system operated by the MSRB The MSRB Gateway system will allow you to revoke the agent relationship at any time If you need assistance please contact MSRB s support line at 202 838 1330 You may also obtain more information about MSRB Registration at http www msrb org Rules and Interpretations MSRB Registration aspx This is a system generated email PLEASE DO NOT REPLY REPLIES ARE NOT MONITORED GW 003 From the Registration page select the option to register as an agent Welcome to MSRB
106. ser Account has the following Access Rights User ID JDOE2S Click on a section to expand User Name ANE L Organization Name Issuer XYZ Account and Organization Management MSRB ID P000258 Manage profile information for your User Account or for your organization Email Address jndoe issuerxyz com gt Manage User Accounts lt Change Password Add edit and disable individual User Accounts for your organization gt View Account Administrators View your organization s Account Administrators gt Manage Continuing Disclosure Confirmation Requests Approve confirmation requests and invite individuals to register to submit continuing disclosure submissions Market Transparency Systems Access MSRB systems to submjt documents and data related to municipal market activity and political contributions gt EMMA Dataport lt Submit documents and i formation to EMMA Municipal Securities Rulemaking Board 88 MSRB Gateway User Manual for Issuers Obligated Persons and Agents In the example below the account was created for an ordinary user and has fewer rights than an administrator Under Account and Organization Management this user can view the names and contact information of the organization s Account Administrator and can access EMMA Dataport My Profile MSRB Gateway Main Menu User ID NDOE Role User User Name NANCY DOE Organization Name lssuer XYZ Welcome to MSRB Gateway Your User Account has
107. ssword If you do not know your user id contact the MSRB s support line at 703 797 6668 User ID bdoe Password eeccccccs a The account information for your organization displays on the screen and may be updated as needed Click OK to proceed Municipal Securities Rulemaking Board 48 MSRB Gateway User Manual for Issuers Obligated Persons and Agents Organization Information Please review information about your organization and update accordingly The address and phone numbers provided should be for the organization s main office or headquarters Organization Name Phone Number 22 Fax Number Address 1 101 Main Street Address 2 City State Zip Country required i Municipal Securities Rulemaking Board 49 MSRB Gateway User Manual for Issuers Obligated Persons and Agents Indicate your organization type and provide your Federal Tax EIN number Click OK MSRB Organization Account Set up Organization Type and Employer Identification Number Please indicate your organization type Choose the type which best identifies the role your organization serves in the municipal market Please note that you are responsible for ensuring that the organization type s selected accurately reflect your organization s activities My organization type is identified below My organization is an issuer ISSUER A state political subdivision municipality or governmental agency or aut
108. stems including but not limited to the EMMA system by a user through a User Account shall be your responsibility New Users E mail Address ndoe issuenyz com Invitation code required Applies only to users who received an invitation code from MSRB via e mail Existing Users Login Municipal Securities Rulemaking Board 38 MSRB Gateway User Manual for Issuers Obligated Persons and Agents The registration application form appears Complete the user information and click Next 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 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 Last Name E mail Address Confirm E mail Title Department Phone Number Fax Number Address1 Address City State Zip Country required Municipal Securities Rulemaking Board 39 MSRB Gateway User Manual for Issuers Obligated Persons and Agents The organization information screen appears Complete the organization level information To reduce the amount of re keying of identic
109. sword criteria listed on the screen Click Continue when done Cha nge 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 1 Enter your new password 2 Enter your new password again to confirm 3 Click Continue New passwords must meet the following criteria 1 Must be between eight 8 and fifteen 15 characters long 2 Must be different from your current password 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 amp etc excluding spaces New Password T Retype New Password eseneeeee The next screen states that the password was successfully created and you can log into Gateway with your User ID and password that you just created Click the Return button to be directed to the MSRB Gateway Main Menu for your account Transaction Confirmation You have successfully changed your password Municipal Securities Rulemaking Board 31 MSRB Gateway User Manual for Issuers Obligated Persons and Agents Establish User Rights After accessing your Gateway account you must
110. t for that organization will be able to manage your MSRB Gateway account up to and including disabling your account completely You are also representing that you are authorized to make data and document Search Results submissions to an MSRB market transparency system on behalf of that organization Send Request Do you wish to continue Organization Name MSRB ID AGENT xyz G00247 1 Cancel Dealer XYZ A7243 JOHN DOE Dealer XYZ A7254 John Doe Dealer XYZ A7260 JOHN DOE l Dealer XYZ A7257 JAMES DOE Dealer XYZ A7261 JOHN DOE Issuer XYZ P000258 BOB DOE Address 101 Main Street City ST 12345 Phone 111 222 3333 Organization XYZ P000259 Jane Thomas Send Request Return to Main Menu Municipal Securities Rulemaking Board 59 MSRB Gateway User Manual for Issuers Obligated Persons and Agents Your pending request appears under the View tab Prior to having the request accepted if you decide that your request was sent in error you can remove the request by clicking Remove Consolidation Requests Search and Send View Pending Request The organization listed here is one in which you are employed as an employee consultant or staff and which has previously established an organization account not associated with your MSRB account Accepting consolidation will move your user account to this organization s account Organization Name MSRB ID User Nam
111. t 6 Create Continuing Disclosure Gateway Account for Issuers Obligated Persons and Secondary Market Agents Continuing Disclosure accounts are used solely to make SEC Rule 15c2 12 financial based and event based disclosures to EMMA as part of the MSRB Continuing Disclosure program This account does not go through an MSRB approval process therefore users are able to make submissions to EMMA immediately Users must confirm their accounts to prevent their submissions from being flagged as unconfirmed on EMMA Once an organization becomes confirmed the unconfirmed flag will drop from all past submissions and will not appear on any future submissions Users that have continuing disclosure accounts have the option to upgrade to an organization account and consolidate other continuing disclosure accounts into their organization account Go to www msrb org and click Resources for Issuers Login About MSRB Publications Careers Email Alerts Contact Us System Status File a Complaint R ule aking Bo Advanced Search Municipal Bond Market Rules Disclosures and Data Market Leadership News Events and Training New Protections for State and Local Governments Login gt to MSRB systems Resources for Investors i Issuers Dealers Advisors What s New View All News MSRB Saddened by Loss of Board Member Gene Saffold Wednesday October 10 2012 Reminder of Upcoming Changes to MSRB Transaction Reporting Require
112. ta related to municipal market activity and political contributions gt EMMA Dataport Submit documents and information to EMMA Municipal Securities Rulemaking Board 58 MSRB Gateway User Manual for Issuers Obligated Persons and Agents Enter search criteria to find the organization with which you wish to consolidate From the search results select the organization and click Send Request Consolidation Requests Search and Send wiew Request Consolidation Select an organization to initiate your account consolidation Search for an account only one required By Organization Name xy By MSRB ID By Email Address By User Last Name _ Reset Search Results Sen d Requ est Organization Name MSRB ID AGENT xvz G00247 Dealer Yz A7243 Dealer XYZ A7254 Dealer wz A7257 Dealer XYZ A7260 Dealer wz A7261 Issuer xXxYzZ P0002358 Organization XYZ Pooo2 Ss93 Send Request Return to Main Menu The following message appears explaining the impacts of consolidating Click OK to proceed Consolidation Requests Request Consolidation Select an organization to initiate your account consolidation Search for an account only one required By Email Address By User Last Name By sending a consolidation invitation to the selected organization you are acknowledging that you are an employee consultant or temporary staff employed by that organization You accept that the account administrators Search Rese
113. tary Financial Information Last Name DOE EMMA Voluntary OS ARD Submission Email Address ndoe issuenyz com EMMA Voluntary Preliminary OS Submission Confirm Email ndoe issuenyz com Title Force password change on next login Disable the user account Department Phone Number Fax Number Address1 101 MAIN STREET Address City State Zip Country required Disable User Account A user account can never be deleted from Gateway but the account can be disabled and hidden from view on the User Account Profile page An account can be disabled by an Account Administrator or will automatically be disabled if all access rights are removed from the user account To disable a user account click Edit User Account User Account Profile and Access Rights Account Details Account Access Rights User ID NDOE This user has the following Access Rights in MSRB Gateway User Name NANCY DOE Account Administrator MSRB ID P000258 EMMA Continuing Disclosure Submissions Email Address ndoe issuerxyz com EMMA Voluntary Financial Information Title EMMA Voluntary OS ARD Submission Department EMMA Voluntary Preliminary OS Submission Address 101 MAIN STREET CITY ST 12345 Phone Number 111 222 3333 Fax Number Last Updated by BDOE On 6 28 2012 10 26 15 AM View Profile History View Rights History Edit User Account C Municipal S
114. teway Your User Account has the following Access Rights Click on a section to expand View Account Administrators View your organization s Account Administrators gt Manage Continuing Disclosure Confirmation Requests Approve confirmation requests and invite individuals to register to submit continuing disclosure submissions Market Transparency Systems Access MSAB systems to submit documents and data related to municipal market activity and political contributions gt EMMA Dataport Submit documents and information to EMMA Municipal Securities Rulemaking Board 89 MSRB Gateway User Manual for Issuers Obligated Persons and Agents _ _ _ __ ees sss SSS See Click the user account you wish to update 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 5 of 5 By first name Last Last User Name Updated Updated B On By last name y By email A BoB DOE BDOE 6 28 2012 9 31 33 AM By Right A JANE DOE BDOE 6 28 2012 10 18 44 AM i NANCY DOE NDOE 6 28 2012 9
115. tion View pending requests where you have Organizations for which you have offered offered to act as an agent and you are to act as an agent waiting for the organization to accept or decline your offer Offer to serve as an agent for another Request to act as an agent for another organization organization Municipal Securities Rulemaking Board 68 MSRB Gateway User Manual for Issuers Obligated Persons and Agents View Agents Relationships Click the Active Relationships link on the top section of the Manage Agent Relationships screen to view agents you have designated to submit on your behalf Click on any organization s name to see more about the relationship Active Relationships Organizations who can act as your agent 2 Organization Submission Relationship Name Type Status G00244 AGENT 1234 EMMA Voluntary Financial Information Active G00244 AGENT 1234 EMMA Continuing Disclosure Active MSRB ID Return to Agent Menu Return to Main Menu The upper section of the relationships screen below provides agent information and submissions the agent can make on behalf of your organization The lower section lists the submissions that you can make on behalf of other organizations as their agent if any Relationship with AGENT 1234 MSRB ID G00244 Phone Number 111 222 3333 Fax Number 999 999 9999 Address 101 MAIN STREET CITY ST 12345 You have designated this organization to act as your agent for the foll
116. tionships Manage your organization s relationships with other organizations Registrant Information Forms Submit forms to provide information about your organization Market Transparency Systems Access MSRB systems to submit documents and data related to municipal market activity and political contributions gt EMMA Dataport Submit documents and information to EMMA Municipal Securities Rulemaking Board 54 MSRB Gateway User Manual for Issuers Obligated Persons and Agents CO Enter search criteria to find the account that you wish to consolidate into your organization From the search results select the name of the organization that you wish to consolidate with and click Invite Consolidation Requests Search and Send Wiew Manage Consolidations Search for one or more active informal accounts to be consolidated into the organization Search for an account at least one required By Organization Name XYZ By MSRB ID By Email Address By User Last Name Search Results Organization Name MSRB ID E organization xvz DOO9SI2 Address 101 MAIN STREET CITY ST 12345 Phone 111 222 3333 Return to Main Menu The following message appears which explains the impacts of consolidating Click OK to proceed Consolidation Requests Search and Send View Manage Consolidations Search for one or more active informal accounts to be consolidated into the organization i ia a a By Organization Na
117. to be consolidated into an organization account Invite Others to Consolidate Into Your Organization Account This function is only available to the Master Account Administrator of the organization account From the Gateway Main Menu expand the Account and Organization Management link Click Manage Consolidations My Profile MSRB Gateway Main Menu Welcome to MSRB Gateway Your User Account has the following Access Rights User ID BDOE Master Account Administrator Click on a section to expand isan uae BOB DOE Organization Name Issuer XYZ MSRB ID P000258 Email Address bdoe issuenyzcom Role Account and Organization Management Manage profile information for your User Account or for your organization gt Manage User Accounts ee ses as Change Password Add edit and disable individual User Accounts for your organization View Account Administrators View your organization s Account Administrators gt Manage Groups Note this feature is recommended only for large organizations Use Groups to help organize your organization s User Accounts gt Manage Continuing Disclosure Confirmation Requests Approve confirmation requests and invite individuals to register to submit continuing disclosure submissions gt Manage Consolidations Send manage or view account consolidation requests Agent Relationship Management Invite and approve agent invitations to from organizations gt Manage Agent Rela
118. ts This user will have the following Access Rights in MSRB Gateway Account Administrator EMMA Voluntary Financial Information Middle Name EMMA Continuing Disclosure Submissions EMMA Voluntary OS ARD Submission EMMA Voluntary Preliminary OS Submission Last Name Doe Email Address jndoe issuenyz com Confirm Email jndoe issuenyz com Title Department Phone Number Fax Number Address1 Address2 City City State Zip Country required Continue You must grant at least one account access right to the new user If no rights are granted a message will display that the account will be disabled because no rights have been assigned Confirm User Account Account Details Account Access Rights UserID JDOE 7 This User Account will be disabled because no Rights have been assigned UserName Jane Doe MSRB ID POOO258 Group s To grant an account access right s click on Edit User Account User will be forced to change their password on next login Click on Confirm User Account to complete the process Email Address jndoe issuerxyz com Title Department Address 101 Main Street city ST 12345 Phone Number 111 222 3333 Fax Number Municipal Securities Rulemaking Board 86 MSRB Gateway User Manual for Issuers Obligated Persons and Agents Click Edit User Account to add account access rights Click Continue Edit Us
119. ts I will upload the EIN information provided on letterhead in pdf format Letterhead I will fax or mail the EIN information provided on letterhead along with the cover sheet I will upload my secondary form of identification in pdf format Second Form of Identification I will fax or mail my secondary form of identification along with the cover sheet es previous o Review the Organization Summary screen for accuracy If necessary update the information by clicking Edit in the applicable section To change the organization type tax ID or documentation method you must contact the MSRB Click Confirm to proceed MSRB Organization Account Set up Organization Summary Click on Edit to make changes to your information Once edits are complete click OK to return to this summary page To accept this information click Confirm Your changes will not be accepted if you do not click Confirm Organizational Details Additional Information Organization Name Issuer XYZ Organization Type MSRB ID P000258 Municipal Security Issuer Phone Number 111 222 3333 Ext Fax Number ein it Mas Go Federal Tax EIN 43 6767676 Address 2 City City State ST Zip 12345 Country Master Account Administrator gt Required Documentation First Name BOB 1 Information on Letterhead Verified by MSRB 2 2 Second Form of Identification Verified by MSRB Middle Name Last Name DOE Name Suffix Email Address bdoe iss
120. ts CO The submission type drops to the lower section of the screen as it is now available for delegation Relationship with AGENT 1234 MSRB ID G00244 Phone Number 111 222 3333 Fax Number 999 999 9999 Address 101 MAIN STREET CITY ST 12345 Modifications successfully processed Types of submissions this organization can make on your behalf Submission Type Relationship Status 1 EMMA Voluntary Financial Information Active Remove Relationship Types of submissions for which you would like this organization to act as your agent 1 EMMA Continuing Disclosure 1 EMMA Voluntary OS ARD Submission EMMA Voluntary Preliminary OS Submission Add Submission Type To delegate additional submission rights to an agent select from the submission rights listed in the lower section then click Add Submission Type Relationship with AGENT 1234 MSRB ID G00244 Phone Number 111 222 3333 Fax Number 999 999 9999 Address 101 MAIN STREET CITY ST 12345 Modifications successfully processed Types of submissions this organization can make on your behalf Submission Type Relationship Status 1 EMMA Voluntary Financial Information Active Remove Relationship Types of submissions for which you would like this organization to act as your agent L EMMA Continuing Disclosure L EMMA Voluntary OS ARD Submission L EMMA Voluntary Preliminary OS Submission Add Submission Type Municipal Sec
121. ts to EMMA User ID NDOE1 MSRB ID DOOST2 Hame Nancy Doe E mail Address ndoegissueryz com Confirmation process Paper Confirmation Number 0000 AP T a Municipal Securities Rulemaking Board 43 MSRB Gateway User Manual for Issuers Obligated Persons and Agents You will receive an email stating that a user account is registered in MSRB Gateway for making continuing disclosure submissions The email contains a User ID anda hyperlink to retrieve your password You must follow the hyperlink to complete the registration process Retain the printed document and follow the instructions on the document to complete the confirmation process Municipal Securities Rulemaking Board 44 MSRB Gateway User Manual for Issuers Obligated Persons and Agents Part 7 Invite Organizations to Register for a Continuing Disclosure Account A user that is registered to make continuing disclosure submissions can send an email invitation to an issuer obligated person or secondary market agent to register to make continuing disclosure submissions The purpose of the email invitation function is to alert other potential users of the continuing disclosure submission service of EMMA The email invitation function also allows a user that is confirmed to easily confirm other users Invitations may only be sent to invitees that are not registered An invitee that accepts an invitation from a confirmed inviter will be automatically confir
122. uer Master Account Administrator i Required Documentation First Name NANCY 1 Information on Letterhead Verified by MSRB Middle Name 2 Second Form of Identification Verified by MSRB Last Name DOE Name Suffix Email Address ndoe issuerxyz com Phone Number 111 222 3333 Ext Addressi1 101 MAIN STREET Address 2 City CITY State ST Zip 12345 Country i e The confirmation screen states the update is successful gged in as TICE for POOO244 Logout Municipal Securities Rulemaking Board 83 MSRB Gateway User Manual for Issuers Obligated Persons and Agents The user s profile will reflect that they are the Master Account Administrator in their My Profile box 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 Agent Relationship Management Invite and approve agent invitations to from organizations gt Manage Agent Relationships Manage your organization s relationships with other organizations Registrant Information Forms Submit forms to provide information about your organization Market Transparency Systems Access MSRB systems to submit documents and data related to municipal market activity and political contributions gt EMMA Dataport Submit documents and information to EMMA M
123. uerxyz com Phone Number 111 222 3333 Ext Address1 101 MAIN STREET Address City CITY State ST Zip Country Municipal Securities Rulemaking Board 12 MSRB Gateway User Manual for Issuers Obligated Persons and Agents Identify the person who set up the organization account Click Submit to submit the information to the MSRB MSRB Organization Account Setup Submitter Information Please provide the name title and telephone number of the person who completed the information for this organization account First Name Tom Middle Name Last Name Doe Name Suffix Mr Title President Phone Number 1141 222 3333 Ext required Caneel Account Setup Previous OK After information is submitted to the MSRB a confirmation screen appears stating that the MSRB has received your account information and will include your pending MSRB ID Congratulations you have successfully completed the first step toward establishing an organization account with the MSRB If you elected to upload documents electronically your information and supporting documentation will be reviewed and you will be notified when the account is activated or if additional information is needed If you have elected to fax or mail your documents along with the cover sheet provided below your information and documents will be reviewed upon receipt Your MSRB Number MSRB ID is PO00258 Cover Sheet For organizations that intend to fax or mall
124. uidelines below and have the necessary information available including your federal tax employer identification number and another form of identification e g an official statement You will be required to acknowledge that you have read and understand the account setup guidelines before you can proceed Required Documents To help the MSRB identify your organization you will be required to provide your federal tax Employer Identification Number EIN on your organization s letterhead along with another form of identification for your organization e g a page from the official statement that identifies you as the obligated person a federal or state tax document or a letter from the conduit issuer stating that you are an obligated person The MSRB recommends that you upload copies of those documents in PDF format during the setup process Alternative means of delivery will be identified during the organization account setup for those unable to upload these documents Master Account Administrator When setting up an account each organization must designate an MSRB Master Account Administrator who will be responsible for the management of the organization s account and the creation and maintenance of the organization s users This administrator may be changed at any time If you wish to have additional users making submissions for your organization it will be the role of the Master Account Administrator to add new users Click here for further info
125. urities Rulemaking Board 71 MSRB Gateway User Manual for Issuers Obligated Persons and Agents The selected submission moves to the upper section under Types of submissions this organization can make on your behalf The relationship status is Waiting for agent s approval Relationship with AGENT 1234 MSRB ID G00244 Phone Number 111 222 3333 Fax Number 999 999 9999 Address 101 MAIN STREET CITY ST 12345 Modifications successfully processed Types of submissions this organization can make on your behalf Submission Type Relationship Status _ EMMA Continuing Disclosure Waiting for agent s approval EMMA Voluntary Financial Information Active EMMA Voluntary OS ARD Submission Waiting for agent s approval Types of submissions for which you would like this organization to act as your agent 1 EMMA Voluntary Preliminary OS Submission Add Submission Type Municipal Securities Rulemaking Board 72 MSRB Gateway User Manual for Issuers Obligated Persons and Agents Request Agent Designation Rights An agent has the ability to request additional submission rights for another organization Use the lower section of the screen to manage the delegated rights To request the right to make a new type of submission click Update Submission Type Relationship with Organization XYZ MSRB ID P0002539 Phone Number 111 222 3333 Fax Number 999 999 9999 Address 101 Main Street City ST 1
126. users making submissions for your organization it will be the role of the Master Account Administrator to add new users Click here for further information on agent designation Fees to Set Up an Organization Account There are no fees associated with setting up an organization account Account Status Upon completing the online account setup process your account will be placed in pending status until the MSRB verifies the information provided The MSRB may contact the individual identified as your Master Account Administrator as needed to acquire and or validate information Ee ee ee lf this is a new organization account indicate that you do not have an existing user account MSRB Organization Account Set up Please indicate if you have an existing CD submission user account If yes you will be asked to provide your log in credentials Your log in credentials will be validated against information in Gateway Providing the identity of your existing CD submission account will allow you to keep your current username and password and to incorporate prior submissions into the new organization account Ihave an existing user account that will be used for the new registration I do not have an existing user account Municipal Securities Rulemaking Board 9 MSRB Gateway User Manual for Issuers Obligated Persons and Agents Provide or correct organization details on the following screen MSRB Organization Account Set up Or
127. w tab This user cannot receive nor make consolidation requests while a request is pending Consolidation Requests Search and Send View Manage Consolidations Organization Name MSRB ID User Name Action Organization XYZ DOODI NANCY DOE Retum to Main Menu Request to Be Consolidated Into an Organization Account From the Gateway Main Menu expand the Account and Organization Management link then click Request Consolidation MSRB Gateway Main Menu My Profile Welcome to MSRB Gateway Your User Account has the following Access Rights User ID MDGES Role User Click on a section to expand User Name MIKE DOE Organization Name Organization XYZ Account and Organization Management MSRE ID poog3 Manage Continuing Disclosure Confirmation Requests Approve confirmation requests and invite individuals to register to submit continuing disclosure submissions Email Address mdcetisuernyz com Change Password Add Remove Roles for Continuing Disclosure Service Update your roles or manage the confirmation process gt How to get confirmed Read about the process for getting confirmed Request Consolidation Send request to consolidate accounts Agent Relationship Management Invite and approve agent invitations to from organizations Manage Agent Relationships Manage your organization s relationships with other organizations Market Transparency Systems Access MSRE systems to submit documents and da
128. y Profile User ID Role User Name Organization Name luer XYZ M5R6 ID POOOZ5S Email Address 9 9 ndoeGlissuermyz com Change Password The former Master Account Administrator s profile reflects they are a user 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 gt View Account Administrators View your organization s Account Administrators gt Manage Continuing Disclosure Confirmation Requests Approve confirmation requests and invite individuals to register to submit continuing disclosure submissions Market Transparency Systems Access SRB systems to submit documents and data related to municipal market activity and political contributions gt EMMA Dataport Submit documents and information to EMMA My Profile User ID BDOE Role User Name BOB DOE Organization Name lssuer XYZ M5RE ID POOO258 Email Address bdoeGissuenyz com Change Password Municipal Securities Rulemaking Board 84 MSRB Gateway User Manual for Issuers Obligated Persons and Agents Create New Accounts Only an Account Administrator can create a new account To create a new user account complete the following steps From the Gateway Main Menu expand Account and Organization Management Click Manage User Accounts MSRB Gateway Main Menu My Profile Welcome to MSRB Gateway Your User Account ha
129. y one Master Account Administrator at a time Only a Master Account Administrator can update the organization account details The Master Account Administrator can transfer the Master Account Administrator role to another user From the Gateway Main Menu click Edit or Affirm Your Organization s Information and Master Account Administrator Designation MSRB Gateway Main Menu My Profile User ID BDOE Master Account Welcome to MSRB Gateway Your User Account has the following Access Rights Role Administrator Click on a section to expand kcer iame BOB DOE Organization Name Issuer XYZ MSRBID P000258 Email Address bdoe issuemyzcom Change Password Account and Organization Management Manage profile information for your User Account or for your organization Agent Relationship Management Invite and approve agent invitations to from organizations gt Manage Agent Relationships Manage your organization s relationships with other organizations Registrant Information Forms Submit forms to provide information about your organization gt Edit or Affirm Your Organization s Information and Master Account Administrator Designation Market Transparency Systems Access MSRB systems to submit documents and data related to municipal market activity and political contributions gt EMMA Dataport Submit documents and information to EMMA To update organization details click Edit in the Organization Details box M
130. you or your account manager to disable that person s MSRB Gateway user account After your account is consolidate the following occur 1 You can continue to use the same username and password Users will also continue to have any submission groups you may have established in the EMMA Dataport 2 Your account is now one of several accounts associated with the same organization and certain functions on EMMA will become a shared resource of the organization Other users within your organization will be able to access and modify any groups you have create and you will be able to access and modify any groups other users in your organization created Other users will be able to update disclosure submissions you have made and vice versa 3 The Master Account Administrator may grant you permission to make the following types of submission to EMMA if applicable preliminary official statements and other presale documents Voluntary primary market information including official statements advance refunding documents or 529 college savings plan disclosure documents Information about the timing and accounting standard used in annual financial filings Continuing disclosure event and financial filings 4 Upon acceptance YOU WILL NOT BE ABLE TO UNDO THE ACCOUNT CONSOLIDATION If you have any questions regarding the account consolidation request please contact MIKE DOE at 111 222 3333 For further information about this and other MSR

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