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Instructions for Online Services System

When using the Online System to conduct transactions, you do not need to mail or fax a paper application for the transactions you performed. The online program replaces the paper applications and sending it to the Commission is not required.

If you need instructions on creating a password for online services, click here.

Change Address

The Firm has two addresses on file with the Commission: the physical location of the firm and the mailing address of the firm. Clicking on the Change Address menu button will first display the location address. You can make changes to the existing location address, or leave it as is. Clicking on the Save and Continue button will save any changes made or leave the address as is, and advance to the firm's mailing address. There you can make changes to the existing mailing address or leave it as is. Clicking on the Save and Continue button will save any changes made, or leave the address as is, and return to the firm's main menu page.

Trust Account Information

Clicking the Trust Account Information button will display all the trust accounts the firm has registered with the Commission, the type of account, account number, and the date registered (opened) with the Commission.

You can make changes to the bank name or close an existing account by clicking on the Update Account button located to the right of the account. Trust accounts can only be closed within 30 days of the system date (today's date). You can not change the account number and the date opened online.

New Trust Accounts opened within 30 days of the current date can be registered online by clicking the Enter New Account button.

  1. Enter the bank name in the Institution Name field. If this account is for an agent's use, we recommend that you enter "for" and either the licensee's license number or name, after the bank name. Following this recommendation will assist you in reconciling your trust accounts. The Commission holds the firm and broker responsible for all firm and agent use trust accounts.
  2. Enter the account number.
  3. Select the date opened from the drop down boxes. The date cannot be more than 30 days prior to the current date (system date).
  4. Read affirmation statement and click submit to register account.

Add/Remove Agent

You can remove and add agents to the firm by clicking on the Add/Remove Agent button from the firm main menu.

How to remove an Agent from the firm

  1. A list of current agents will display with a Remove Agent button to the right of each agent. Click the Remove Agent button to remove the agent from the firm.
  2. The agent's name and license number will display with the message that the agent will be removed effective the current date. You cannot back date an agent's removal from the firm.
  3. If you are sure you want to remove the agent, click the Yes button. If you have chosen the incorrect agent, click the No button.

How to add an agent to the firm

Before a new agent can be added to the firm, the agent:

Agents can be released from one firm and added to another firm on the same day.

  1. Click the Add New Agent button on the Agent Listing page.
  2. Enter the new agent's license number, without any leading letters or zeros. Click the Continue button.
  3. The agent's information page will display with the effective date (current date) that the agent will be added to the firm. You cannot back date the agent's effective date with the firm.
  4. If the agent has a prior reported conviction or sanction on his/her license, the system will alert you to this fact prior to the agent's being added to the firm. You will have the option to continue adding the agent or to cancel the procedure.
  5. Verify that the correct agent will be added. If incorrect, click the Cancel button. If correct, click the Save button to add the agent to the firm.

Status Report

The Status Report menu item displays the same report that is included in the firm's quarterly and/or annual mailing but is current with the Commission's records. Use this report to verify transactions performed using the online process and to check the status of applications mailed or faxed to the Commission for processing.

Enter Additional Users

The Enter Additional Users button from the main menu allows the broker to add users that may access the online transaction program, to edit existing user information, and to remove an existing user. Users added by the broker will be allowed to view the firm's status report only.

Log Off

The Log Off button from the main menu ends the session and returns to the login page.

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