submit & pay for filings and applications and pay for...nf notice limited o notice of qualified...
TRANSCRIPT
Suubmit a
CA D
D
and Pa
Departm
DOCQN
ay for F
ment oVer
(6/1
NET Pr
Filings
of Busirsion 2.0
18/2014
roject
s and A
ness O0
4)
Applic
Oversi
ations
ght
s
Page 2 of 15
Table of Contents
1. Overview ......................................................................................................................................................................... 3
2. File a Notice ..................................................................................................................................................................... 4
3. File an Application ......................................................................................................................................................... 10
Page 3 of 15
1. Overview
The Self Service Portal allows users to submit credit card payments for securities and franchise related filing fees. At the
completion of an application or filing, a fee, if required will be calculated and displayed to you. Upon proceeding to
submit payment, the user will be taken to a separate payment processing service (PayPoint) for the actual payment
transaction. Upon completion of the payment, the user is returned to the self service portal, and will receive an email
receipt of the transaction at the address specified in the user’s profile.
Please note that credit card information is not stored in the self‐service portal. Credit card information is entered only
within the payment processing service site and is not retained.
At this time, only securities and franchise notices/application fees can be paid online. For financial services applications,
please submit application fees via check to the address posted on the form.
2.
Users
that
Secu
File
s are able to f
one tutorial i
rities and Fra
Franchise
Notice of
Request f
Note, Dra
NF Notice
Limited O
Notice of
Qualified
Qualified
EPEN
Notice of
Senior to
Notice –R
Qualified
1. Log into
With the
open to
homepa
“File a N
the Secu
Franchis
at the to
screen.
eaNo
file many diff
s shown for f
anchise notice
Notice of Exe
a Transaction
or Designatio
ft, Bill of Exch
e and NF Ame
Offer Exemptio
Issuance
Purchasers N
Purchasers N
Exchange Tra
Listed Securit
Rule 506
Purchaser 25
the portal.
e Portal being
the
ge, click on
otice” from
urities &
e Filings men
op of the
otice
ferent notices
filing a notice
es that can be
emption
n Exempt Und
on
hange or Ban
endment‐Inve
on Notices (LO
Notice – 1st No
Notice – 2nd N
ansaction
ties
5102.1(n)
g
nu
s (listed below
, but similar s
e filed throug
der Corporati
ker’s Accepta
estment Corp
OEN)
otice
otice
Steps to C
w). The proce
steps are used
h the DBO Se
ions
ance
oration
Complete P
ess for filing e
d for each typ
elf Service Por
Process
each notice is
pe of notice.
rtal are:
the same wh
Page 4 of 15
hich means
5
2. Click on
“Securiti
Notices”
the notic
example
Exemptio
3. Enter the
then clic
continue
to that f
red aste
to save t
page and
through
required
4. Some fili
definitio
Subfranc
filer is a
mark the
then clic
button.
the hyperlink
ies Notices” o
”. Click on the
ce that is to b
e, the “Franch
on” is selecte
e filing inform
ck the “Next”
e filling out de
iling. Fields m
risk are requi
the informatio
d move forwa
each screen,
d information
ings require
n of a
chisor. If the
Subfranchiso
e checkbox an
ck the “Next”
k either for
or “Franchise
e hyperlink of
be filed. In thi
hise Notice of
ed.
mation and
button to
etails related
marked with a
red in order
on on the
ard. Continue
filling out
for the filing
or,
nd
f
s
a
e
.
Page 5 of 15
5
5. Enter an
agent co
need to
the “Loo
Contact”
6. Select th
the cont
added by
their firs
y regular or
ontacts you
add by clickin
okup for a
” button.
he names of
act to be
y clicking on
st name.
ng
Page 6 of 15
5
7. Repeat s
until all d
contacts
then clic
button.
8. Some fili
user with
“Browse
the “Nex
NOTE: It
steps 6 & 7
desired
s are listed an
ck the “Next”
ings require t
h a screen tha
e”, selecting t
xt” button.
is highly reco
nd
the upload of
at includes a
he document
ommended th
f supporting e
list of all requ
t and then clic
hat such docu
evidentiary do
uired docume
cking “Open”
uments be pr
ocuments. If
ent types. Up
”. Do this for e
rovided in a P
required, the
pload the rela
each required
PDF format w
e portal will p
ted documen
d document a
henever poss
Page 7 of 15
present the
nts by clicking
and then click
sible.
5
g
k
9. Every fili
applicati
electron
page tha
minimum
name.
10. Review t
informat
amount
then clic
to Paym
ing or
ion includes a
ic signature
at requires, at
m, the filer’s
the
tion about th
to be paid an
ck the “Procee
ent” button.
an
t a
e
nd
ed
Page 8 of 155
*No
step
con
sent
ente
11. Enter pa
informat
click the
Your Cre
button.
ote: Once you
p an email
firmation/rec
t to the emai
ered.
yment
tion and then
“Pay with
edit Card”
u complete th
ceipt will be
l address
n
his
Page 9 of 155
3.
Users
that
Appli
File
s are able to f
only one tuto
ications that
Uniform F
Non‐Issue
Removal o
Repurcha
Transfer o
Real Estat
Applicatio
1. With the
homepa
the Secu
the top o
2. Select Se
Applicat
for the a
this exam
Registrat
eanA
file several ap
orial is shown
can be filed t
Francise Regis
er Notification
of Condition
se Offer
of Securities
te Related Inf
on for Qualific
e Portal being
ge, select “Fi
urities and Fra
of the screen
ecurities Appl
ions, and the
application th
mple, Uniform
tion Applicati
Applic
pplications (li
for submittin
through the D
stration Appli
n
formation
cation of Offe
g open to the
le an Applicat
anchise Filing
.
lications or Fr
n click on the
at is to be su
m Franchise
ion has been
cation
sted below).
ng an applica
DBO Self Servi
ication
er and Sale of
Steps to C
tion” from
s menu at
ranchise
e hyperlink
bmitted. In
selected.
n
The process f
tion, but the
ice Portal are
f Securities
Complete P
for filing each
same steps a
e:
Process
h application
are used for e
is the same w
each type of a
Page 10 of 15
which means
application.
5
3. Enter the
4. If the file
e initial applic
er is a Subfran
cation inform
nchisor, mark
mation.
k the checkboox and then cllick the “Nextt” button.
Page 11 of 15
5
5. Enter an
contacts
clicking t
Contact”
6. Select th
to be ad
first nam
7. Repeat s
contacts
then clic
y regular or a
s you need to
the “Lookup f
” button.
he names of t
ded by clickin
me.
steps 5 & 6 un
s have been a
ck the “Next”
agent
add by
for a
he contact
ng on their
ntil all
dded and
button.
Page 12 of 15
5
8. Upload t
for each
9. Complet
the related do
related docu
te the signatu
ocuments by
ument and the
ure page and
clicking “Brow
en click the “
click “Next”
wse”, selectin
Next” button
ng the docum
n.
ment and thenn clicking “Op
Page 13 of 15
pen”. Do this
5
10. Review t
11. Enter pa
*Note: Once
the informati
yment inform
e you complet
on about the
mation and th
te this step an
amount to b
hen click the “
n email confir
be paid and th
“Pay withYou
rmation/rece
hen click the “
r Credit Card
eipt will be se
“Proceed to P
” button.
nt to the ema
Payment” but
ail address en
Page 14 of 15
tton.
ntered.
5