MSRB Gateway I User Account Management. July 2010

Transcription

1 MSRB Gateway I User Account Management July

2 Gateway Log-in Primary Market Users OVERVIEW Account Management by Master Account Administrator Self-Management Functions Access Forms and Systems to Perform Various Functions Secondary Market Users Registration and Confirmation Process Invitation Process Access EMMA Dataport Account Management 2

3 Types of Users Primary G-40 Contact (Master Account Administrator) Account Created by MSRB Point of Contact for the MSRB Manage Accounts for Primary Market Users Primary Market Users Dealers Agents designated to make primary market submissions Secondary Market Users Issuers Agents Obligated Persons 3

4 Log into Gateway GATEWAY LOG IN 4

5 Log in Forgot Password User Manuals System Status Contact Gateway Support GATEWAY LOG IN PAGE 5

6 User Profiles (Primary Market User) Accounts are Managed by Primary G-40 Contact Create/delete accounts Assign account access rights Self Management Functions View/Edit User Details View Profile History View Account Administrators Access certain forms and systems based on access rights assigned Perform certain functions based on access rights assigned 6

7 Self-Management Functions View and Edit User Details View Profile History View Administrators Account Management (Primary Market Users) 7

8 View/Edit User Details My Profile box will give overview of user detail Amend user account by clicking on Edit to access account details 8

9 View/Edit User Details Make modifications and click Continue to save updates Cannot update: User ID, MSRB ID, Name 9

10 View Profile History View User Account Profile or User Account Access Rights. 1. From My Profile click on Edit 2. Select View Profile 10

11 View Profile History User Account Profile History: Chronicles when changes were made to a user s profile and who made the changes. 11

12 View Profile History User Account Access Rights History Chronicles the history of a user s account access rights, who granted the access, and the date. 12

13 View Account Administrators View Account Administrators Expand Account and Organization Management and select View Account Administrators Contact an Account Administrator for account access rights 13

14 Access Forms and Systems SHORT System - Make auction rate and variable rate submissions EMMA Dataport Make primary and secondary market submissions: Primary Market Submissions = Official Statements, Advanced Refunding Secondary Market Submissions = Continuing Disclosures Electronic G-37 - File form G-37 (Political Contributions) RTRS Web - Access to trade activity and trade reports Agent Designation - Designate another dealer to make primary market submissions 14

15 Access Forms and Systems View Access Rights From Gateway Main Menu, expand Market Information Services link. Click links to access forms and systems 15

16 Access Forms and Systems SHORT System Can access test or production environments 16

17 EMMA Dataport Access Forms and Systems Based on rights assigned, can access submission screen for primary market, secondary market, or both. 17

18 Electronic G-37 Access Forms and Systems File form G-37 (Political Contributions) 18

19 RTRS WEB Access Forms and Systems Primary G-40 contact grants RTRS web access via form RTRS Can grant access to following roles: view, modify, submit, cancel, reports Can be in production or test environment. Contact MSRB to switch environments 19

20 Access Forms and Systems Agent Designation Designate an agent to make primary market submissions Expand Account Management link and click on Manage Agents 20

21 Manage Agents: Access Forms and Systems Invite an Agent Process pending invitations De-authorize an existing agent 21

22 User Profiles Secondary Market Users Register and Confirm Send Invitations for Registration Submit Secondary Market Documents Self Manage Gateway Accounts 22

23 Registration and Confirmation Process Access Registration Link on MSRB Homepage Register and Confirm Electronic Confirmation Manual Confirmation Confirmation Status Restart Confirmation 23

24 Registration and Confirmation Process Select Issuer Click on registration link 24

25 Registration and Confirmation Process Step 1: Enter your address. 25

26 Registration and Confirmation Process Step 2 & 3: Enter your user and organization information. 26

27 Registration and Confirmation Process Step 4: Select Continuing Disclosure Role(s) Multiple roles can be assigned to this user. 27

28 Registration and Confirmation Process Step 5: Confirmation - Electronic. If confirming electronically enter the address of a confirmed MSRB Gateway user. If address entered is not registered in MSRB Gateway it will not be accepted. Enter another address or confirm manually. 28

29 Registration and Confirmation Process Step 6: Verify the user and organization information and submit the request. 29

30 Registration and Confirmation Process After the electronic confirmation request is submitted, the new user will receive an MSRB Gateway system-generated containing the following : Link that directs the user to the Gateway log-in page System generated user-id to be used upon initial log-in 30

31 Registration and Confirmation Process The confirmed user will receive an notification stating that a user is requesting confirmation. The will include: The name of the person requesting confirmation Submission role Link to direct the confirmed user to a Gateway Main Menu where the request can be confirmed 31

32 Registration and Confirmation Process Confirm pending confirmation requests To view and confirm pending confirmations requests the confirmed user will go the MSRB Gateway main menu and click on Manage Continuing Disclosure Requests link. The next screen will show pending request. Click on View and Confirm to confirm pending requests 32

33 Registration and Confirmation Process After confirming a request, the confirmed user will see the following screen. The new user will receive an stating that they are confirmed. 33

34 Registration and Confirmation Process If confirming electronically, confirmation occurs as soon as the confirmed user accepts the user s request for confirmation. 34

35 Registration and Confirmation Process Step 5: Confirmation Manual. If confirming manually, leave address blank and click next. 35

36 Registration and Confirmation Process Confirm the user and company information Click on Submit to generate confirmation document. 36

37 Registration and Confirmation Process See confirmation options and instructions in the document. Click Print to print the confirmation document. Forward the manual confirmation document, along with the documentation identified under the option selected and forward everything to the MSRB. 37

38 Registration and Confirmation Process Manual confirmations are usually processed within two business days after MSRB receives documents if there are no problems with the documentation. If there are problems with documentation the MSRB will contact the user. This will extend the processing time. 38

39 Pending Confirmations Confirmation Status Users awaiting confirmation can view their confirmation status. Go to the Gateway main menu and click on the link entitled Add/Remove Roles for Continuing Disclosure Service. 39

40 Confirmation Status Users who are confirmed will have a confirmation status of confirmed. Confirmation requests that are awaiting approval will be in pending status Follow-up with the MSRB for manual confirmations Follow-up with the confirmed user selected for electronic confirmations 40

41 Restart Confirmation The user can reinitiate the confirmation process by clicking on Reinitiate Confirmation. 41

42 Restart Confirmation Confirm electronically by entering the address of the same confirmed user or enter address of another confirmed user Confirm manually by clicking Print Confirmation Number to generate document for manual confirmation 42

43 Invitation Process The Issuer invites another user to make continuing disclosure submissions Invitation Process in Gateway Scenarios that can affect confirmation in the invitation process 43

44 Invitation Process via MSRB Gateway A registered MSRB Gateway user may invite another user to make continuing disclosure submissions. From the MSRB Gateway main menu, the inviter clicks on the Manage Continuing Disclosure Requests link 44

45 Invitation Process via MSRB Gateway Enter address of the invitee and click on Invite for Continuing Disclosure 45

46 Invitation Process via MSRB Gateway Enter the company name and the continuing disclosure submitter role for the invited person Click on Send Invitation 46

47 Invitation Process via MSRB Gateway After the invitation is sent, the inviter will see the Continuing Disclosure Invitation screen, which summarizes the registration/confirmation status of the invited user. The next action taken by either user will be determined by the registration/confirmation status of the invited user, and the confirmation status of the inviter. 47

48 Invitation Process via MSRB Gateway The invited user is registered and confirmed, No further action is necessary 48

49 Invitation Process via MSRB Gateway The invited user is registered but not confirmed: If the inviter is confirmed, he can confirm the invited user by clicking on the button Confirm this User The new user is now confirmed and no further action is necessary 49

50 Invitation Process via MSRB Gateway The invited user is registered but not confirmed: If the inviter is not confirmed the invited user must initiate the confirmation process himself. Follow steps to reinitiate confirmation (slides 39-42). 50

51 Invitation Process via MSRB Gateway The invited user is not registered with the MSRB After the inviter sends the invitation Gateway will send an to the invited user to get registered The Identify the inviter Include a link to register and accept the invitation. 51

52 Invitation Process via MSRB Gateway After clicking on the invitation link the invited user will be directed to step 1 of the continuing disclosure registration process The address and confirmation code will be pre-populated Click Next to continue with the registration process (see slides 25-29). 52

53 Confirmation of Invitation via MSRB Gateway After registering the invited user will automatically be confirmed if the inviter is confirmed. If the inviter is not confirmed invitee can get confirmed: While going through the registration process (step 5). By reinitiating the confirmation process (slides 38-41) 53

54 Access EMMA Dataport Can only access through Gateway Must accept terms and conditions before allowed to access the EMMA Dataport submission portal Only need to accept once 54

55 Access EMMA Dataport Expand Market Information Systems and click on EMMA Dataport 55

56 Access EMMA Dataport When accessing EMMA Dataport for the first time, the user must accept the terms and conditions for making continuing disclosure submissions before allowed to proceed to the EMMA Dataport 56

57 Access EMMA Dataport You will be directed to the EMMA Dataport Submission Portal to make continuing disclosure submissions 57

58 Account Management There is only one user per registration, therefore accounts are self-managed Create account by registering View/Modify User Details Modify Continuing Disclosure Roles Manage Continuing Disclosure requests Organization name changes can only be performed by the MSRB Fax or mail letter for name change and include: Invalid organization name Correct organization name MSRB ID Your name and contact information 58

59 View/Edit User Details View/Edit User Details- My Profile My Profile box will give overview of user detail Amend user account by clicking on Edit 59

60 View/Edit User Details Make updates to user account details and click Continue Cannot amend User ID, MSRB No., or name 60

61 View/Edit User Details You will be required to enter your address to confirm changes 61

62 Amend User Roles To amend user roles expand Account and Organization Management and click on Manage Organization Profile 62

63 Amend User Role 1. Click on Modify 2. Amend roles and click Next 63

64 Amend User Role Note changes made and click Submit to accept changes. Next screen will confirm account update. 64

65 THANK YOU FOR ATTENDING THE WEBINAR Please forward any questions about Gateway to the Market Information Department on For a copy of this presentation go to the Events and Training menu item located on MSRB s homepage 65