Home

MSRB Gateway User Manual for Dealers and Municipal Advisors

1. required JDOE A7380 JOE DOE jdoe dealerxyz com jdoe dealerxyz com 123 456 7890 123 MAIN STREET CITY ST 12345 Return to Account Profile Return to Accounts Return to Main Menu Review changes for accuracy Click Confirm User Account Confirm User Account Account Details User ID User Name MSRB ID Group s Email Address Title Department Address Phone Number Fax Number IDOE JOE DOE A7380 jdoe dealersyz com 123 MAIN STREET CITY ST 12345 123 456 7890 Confirm User Account Edit User Account Return to Accounts E Return to Main Menu Select the Access Rights to assign to your User Account You will have the following Access Rights in MSRB Gateway Access to user profile 7 Agent Designation 7 Dealer Feedback System 7 Dealer System Outage Report User 7 EMMA Continuing Disclosure Submissions 7 EMMA Primary Market Submissions 7 Account Access Rights Electronic G 37 7 Master Account Administrator 7 Other Form A 12 Submitter 7 RTRS Web 7 RTRS Web View Only 7 SHORT System Click on Confirm User Account to complete the process Municipal Securities Rulemaking Board 25 MSRB Gateway User Manual for Dealers and Municipal Advisors O sg Changes made to the account profile take effect immediately User Account Update Results The following User Account was successfully upd
2. HE ME 0M Municipal Securities Rulemaking Board 18 MSRB Gateway User Manual for Dealers and Municipal Advisors Click the checkbox next to Disable the user account then click Continue Edit User Account Account Details Account Access Rights User ID CDOE Select the Access Rights to assign to this User Account MSRB ID A7260 This user will have the following Access Rights in MSRB Gateway Group s Wo groups set up 7 First Name CHRIS 7 Middle Mame 7 Last Name DOE 7 7 7 Account Administrator Agent Designation EMMA Continuing Disclosure Submissions EMMA Primary Market Submissions Electronic G 37 SHORT System Email Address cdoe amp dealengz com Confirm Email cdoe amp dealengz com Title Department SGHe amp oagqg xt login Phone Number Fax Number Address1 101 MAIN STREET Address Ciby State Zip Country required pontine Return to Account Profile Click Confirm User Account to disable the account Confirm User Account Account Details Account Access Rights User ID CDOE This User Account will be disabled User Name CHRIS DOE Click on Confirm User Account to complete the process MSRB ID 47260 Group s Email Address cdoe dealerxyz com Title Department Address 101 MAIN STREET CITY ST 12345 Phone Number 111 222 3333 Fax Number Municipal Securities Rulemaking Board 19 MSRB Gateway User Manual for D
3. 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 MSAB systems to submit documents and data related to municipal market activity and political contributions A list of Groups within the organization appears Click Add New Group Groups Users by Group You can use Groups to organize your company s User Accounts For example if your organization has three different offices you can create a Group for each and categorize existing or new User Accounts within the appropriate Group After creating a Group move User Accounts to a specific Group by accessing each User Account clicking on the Edit User Account button and selecting the appropriate Group You can also add or remove User Accounts from Groups by clicking on the Users by Group link above 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
4. Account Details Account Access Rights User ID Select the Access Rights to assign to this User Account MSRB ID This user will have the following Access Rights in MSRB Gateway Group s Account Administrator Agent Designation Dealer System Outage Report User For single selection click once For single de selection ctrl key click SLT For multiple selection de selection hold dowm ctr key amp make selections EMMA Continuing Disclosure Submissions 7 Groups that this User belongs to are highlighted in blue First Name BETTY Middle Name Electronic G 37 EMMA Primary Market Submissions Last Name Rule G 40 Account Optional Contact Email Address SHORT System Confirm Email Title Department Force password change on next login Disable the user account Phone Number 222 3333 Fax Number Addressi 101 MAIN STREET Address2 City State Zip Country required Retu to Account Profile Municipal Securities Rulemaking Board 58 MSRB Gateway User Manual for Dealers and Municipal Advisors The confirmation screen notes updates to the user s account The user will receive an email detailing the changes to their account Click Confirm User Account to confirm the update Confirm User Account Account Details Account Access Rights User ID BDOEI You have added this User Accou
5. Fax Number Addressi 101 MAIN STREET Address City State Zip Country frequired etum to Account Profile Save and confirm the updates Users can view access rights that they have been granted by expanding the Market Transparency Systems link on the Gateway Main Menu Users can determine their role as indicated in the My Profile box MSRB Gateway Main Menu User ID JDOES Welcome to MSRB Gateway Your User Account has the following Access Rights NE ag a Pe Administrator User Name JOHN DOE Organization Name Desler XYZ MSRB ID A7243 Email Address jdoe deslenyz com Role Click on a section to expand Account and Organization Management Manage profile information for your User Account or for your organization Agent a ee a as eae 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 Dealer System Outage Reporting gt EMMA Dataport Submit documents and information to EMMA Municipal Securities Rulemaking Board 17 MSRB Gateway User Manual for Dealers and Municipal Advisors Disable User Account e A user with a disabled account can
6. Address G00243 111 222 3333 999 999 9999 500 MAIN STREET SUITE 600 CITY ST 12345 Types of submissions this organization can make on your behalf Submission Type No submission types authorized Relationship Status Types of submissions for which you would like this organization to act as your agent J EMMA Primary Market Disclosure SHORT System Add Submission Type Iv Return to Agent Menu Return to Main Menu Municipal Securities Rulemaking Board 42 MSRB Gateway User Manual for Dealers and Municipal Advisors C C CCCCCi s The submissions selected move to the upper section of the screen as a pending item awaiting approval by the agent organization The submission types on the lower section of the screen are available for designation If a submission type is removed from the agent it will move to the lower section of the screen Relationship with AGENT 1234 MSRB ID G00243 Phone Number 111 222 3333 Fax Number 999 999 9999 Address 500 MAIN STREET SUITE 600 CIN ST 12345 Modifications successfully processed Types of submissions this organization can make on your behalf Submission Type Relationship Status EMMA Primary Market Disclosure Waiting for agent s approval Remove Relationship Types of submissions for which you would like this organization to act as your agent SHORT System Add Submission Type Return to Agent Menu Return to Main Men
7. Accounts from Groups by clicking on the Users by Group link above 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 Showing 1 3 of 3 lol gt Group Name Action co cx ETEN rein cop ME Knet r cop MO TT heim Idol es r Prenton Mer A dialogue box appears stating that the Group cannot be reinstated once it has been deleted and that users belonging to that Group will be disassociated After reviewing the message click OK to confirm the deletion Groups Users by Group You can use Groups to organize your company s User Accounts For example if your organization has three different offices you can create a Group for each and categorize existing or new User Accounts within the appropriate Group After creating a Group move User Accounts to a specific Group by accessing each User Account clicking on the Edit User Account button and selecting the appropriate Group You can also add or remove User Accounts from Groups by clicking on the Users by Group link above Please be advised that all actions taken on MSRB systems by a user through User Account established for your company shall be your company s responsibility Showing 1 3 of 3 RaR Group Name GE WR Delete the Group 1 group Group 1 VE You will not be able to reinstate this Group User Account s that Group 2 belong to th
8. Add new user accounts Modify user account profile Grant user account access rights Disable re enable user accounts Appoint Account Administrators to assist with account management functions Account Administrator The Master Account Administrator may appoint one or more Account Administrators to assist them with account management functions by granting a user Account Administrator account access rights Account Administrators can perform all the same account management functions as the Master Account Administrator but they cannot manage the Master Account Administrator s account or the organization details Gateway User All individuals registered in Gateway are classified as a Gateway User User Each user Is responsible for keeping their user account details current Users can edit the following information on their own account Email address Address Phone numbers FETT i Municipal Securities Rulemaking Board 6 MSRB Gateway User Manual for Dealers and Municipal Advisors Access MSRB Gateway To access MSRB Gateway an MSRB Gateway account with a valid User ID and password is required If you do not have a Gateway account and you are a broker dealer municipal securities dealer or a municipal advisor contact an account administrator to create your MSRB Gateway account Go to msrb org and click Login About MSRB EMMA Careers Email Updates File a Complaint Login TIMSRB e Municipal Securities Rule
9. the Change Password link located in the user s My Profile box Create Password for New User Account After a Gateway account is created the user receives an email with their User ID anda link to request password creation Click the link to start the password creation process Please keep this information confidential to prevent unauthorized use of this account An MSRB Gateway Account has been created for this email address kdoe dealerxyz com by JAMES DOE JDOE14 The following Access Right s have been granted SHORT System EMMA Primary Market Submissions Your New User ID is KDOE14 You may retrieve your password by going to https www msrb org msrb1 control forgotpassword asp This is a system generated e mail PLEASE DO NOT REPLY REPLIES ARE NOT MONITORED If you need assistance with your account please contact an account manager at your organization You may also obtain more information about MSRB Gateway at https www msrb org msrb1 control default asp Municipal Securities Rulemaking Board 29 MSRB Gateway User Manual for Dealers and Municipal Advisors Enter your User ID and click Submit Reset Password To reset your password enter your User ID below If you do not know your User ID or you need an MSRE Gateway account contact a representative in the Market Information Department at 703 797 6668 An email is sent with a link to create a password Click the link We have received your request for a new pass
10. AFTER USING THE Forgot your password FEATURE YOU MUST CHANGE YOUR PASSWORD NOW TO CONTINUE TO ACCESS THIS SYSTEM To change your password you must Enter your new password Enter your new password again to confirm Click Continue New passwords must meet the following criteria Must be between eight 8 and fifteen 15 characters long Must be different from your current password 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 a 8 etc excluding spaces New Password Retype New Password Municipal Securities Rulemaking Board 33 MSRB Gateway User Manual for Dealers and Municipal Advisors The Transaction Confirmation screen appears indicating the password was successfully changed Click Return for the Gateway Main Menu Transaction Confirmation You have successfully changed your password User Initiated Password Reset Follow the steps below if you desire to create a new password Navigate to the My Profile box located on the Gateway Main Menu and click the link Change Password MSRB Gateway Main Menu My Profile User ID JDOE23 Master Account Administrator User Name JOHN DOE Welcome to MSRB Gateway Your User Account has the following Access Rights Role Click on a section to expand Account and Organiza
11. Account Administrator account access right by deselecting this right then click Continue Please ensure that the user is granted at least one account access right otherwise the account will be disabled Edit User Account Account Details User ID MSRB ID Group s First Mame Middle Name Last Name Email Address Confirm Email Title Department Phone Number Fax Number Addressi Address City State Zip Country required CDOE AY260 Group 1 Group 2 Group 3 For single selection click once For single de selection ctrl key click d CHRIS DOE cdoe amp dealenyz com cdoe amp dealenyz com 111 _ 2232 3333 101 MAIN STREET CITY ST 12345 Ratum to Account Profile 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 7 Agent Designation 7 Dealer System Outage Report User 7 EMMA Continuing Disclosure Submissions 7 EMMA Primary Market Submissions 7 Electronic G 37 7 SHORT System 7 Force password change on next login El Disable the user account Municipal Securities Rulemaking Board 62 MSRB Gateway User Manual for Dealers and Municipal Advisors Create Group Account Administrator To create a Group Account Administrator the Master Account Administrator must grant Account Administrator account acce
12. Continue Change Password THE MSRB REQUIRES THAT USERS CHANGE THEIR PASSWORDS PERIODICALLY FOR SECURITY PURPOSES USERS ARE ALSO ASKED TO CHANGE THEIR PASSWORD UPON INITIAL LOGIN OR AFTER USING THE Forgot your password FEATURE YOU MUST CHANGE YOUR PASSWORD NOW TO CONTINUE TO ACCESS THIS SYSTEM To change your password you must 1 Enter your new password 2 Enter your new password again to confirm 3 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 5 o amp etc excluding spaces New Password Retype New Password A confirmation screen appears Click Return to be routed to the Gateway Main Menu Transaction Confirmation You have successfully changed your password Municipal Securities Rulemaking Board 31 MSRB Gateway User Manual for Dealers and Municipal Advisors Forgot User Password From the Gateway login page click the link Forgot your password 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 To return to MS
13. MGE New Password Retype New Password Loo e D_E E Municipal Securities Rulemaking Board 34 MSRB Gateway User Manual for Dealers and Municipal Advisors The Transaction Confirmation screen will confirm that the password was successfully changed Click Return to navigate to the Gateway Main Menu Transaction Confirmation You have successfully changed your password Municipal Securities Rulemaking Board 35 MSRB Gateway User Manual for Dealers and Municipal Advisors Part 4 Agent Designation Overview An organization can designate another organization to act as their agent to make submissions to EMMA Designations are made based on the submission rights of the designating organization Agent designation allows an organization to control the type of submission s they chose to grant to an agent The agent also has control over the submissions types it accepts Only Master Account Administrators can manage an organization s agent relationships which are controlled in Gateway An organization can only designate rights that are inherent to its organization type Submission rights cannot be delegated if the delegating organization cannot make those submissions itself For example a dealer can designate an agent to make EMMA primary market submissions on its behalf Agent designation can be reciprocal An organization can request another organization to make EMMA submissions as its agent and that same organizat
14. account Title Department Phone Number 222 Fax Number Addressi 101 MAIN STREET Address3 City State Zip Country required Rctum to Account Profile A confirmation screen will confirm updates User Account Update Results The following User Account was successfully updated An email confirmation was sent to the user User ID CDOE MSRB ID 47260 Name CHRIS DOE Email Address cdoe dealerxyz com Rum Man er Municipal Securities Rulemaking Board 68 MSRB Gateway User Manual for Dealers and Municipal Advisors Delete a Group Only the Master Account Administrator can delete a Group s When the Master Account Administrator deletes a Group s the user accounts are not deleted but instead are disassociated from that Group s Follow steps below to delete a Group From Account and Company Management on the MSRB Gateway Main Menu select Manage Groups Locate the Group s you would like to delete and click Delete next to the Group name Groups Users by Group You can use Groups to organize your company s User Accounts For example if your organization has three different offices you can create a Group for each and categorize existing or new User Accounts within the appropriate Group After creating a Group move User Accounts to a specific Group by accessing each User Account clicking on the Edit User Account button and selecting the appropriate Group You can also add or remove User
15. bo act as your agent 07 Designate an organization ta 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 Organizations requesting that you act as their agent 2 lt _ Organizations for which have offered to act as an agent 0 Ofer to serve as an agent for another organization Return to Hain Menu Municipal Securities Rulemaking Board 46 MSRB Gateway User Manual for Dealers and Municipal Advisors Pending requests are displayed Click on submission type to accept or decline the request Pending Agent Designations Organizations you have requested to act as your agent 1 Organization Submission Relationship Name Type Status G00243 AGENT 1234 EMMA Primary Market Disclosure Pending MSRB ID Return to Agent Menu Return to Main Menu To accept the designation click on the box for each submission type you choose to accept then click Approve Relationship Relationship with Dealer ABC MSRB ID A7258 Phone Number 111 222 3333 Fax Number 999 999 9999 Address 2000 Main Street City ST 12345 Types of submissions for which you are currently an agent for this organization Submission Type Relationship Status EMMA Primary Market Disclosure Waiting for your approval Remove Relationship Approve Relationship Types of submissions for
16. by User Municipal Securities Rulemaking Board 23 MSRB Gateway User Manual for Dealers and Municipal Advisors Click on Edit User Account User Account Profile and Access Rights Account Details Account Access Rights UserID JDOE You have the following Access Rights in MSRB Gateway UserName JOE DOE Access to user profile MSRB ID A7380 Agent Designation 7 Group s Dealer Feedback System 7 Email Address jdoe dealerxyz com Dealer System Outage Report User Title EMMA Continuing Disclosure Submissions 7 Department EMMA Primary Market Submissions 7 Address 123 MAIN STREET Electronic G 37 7 CITY ST 12345 Master Account Administrator 7 Other Form A 12 Submitter 7 Phone Number 123 456 7890 RTRS Web Fax Number RTRS Web View Only Last Updated by JDOE7 On 4 29 2014 9 28 47 AM SHORT System 7 View Profile History View Rights History f Edit User Account Return to Accounts Manage Groups Manage Groups by User Return to Main Menu Make edits to appropriate account details as needed Click on Continue Municipal Securities Rulemaking Board 24 MSRB Gateway User Manual for Dealers and Municipal Advisors Edit User Account Account Details Account Access Rights 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
17. no longer access Gateway and will no longer appear on the organization s User Account Screen e lf auser leaves the organization or you would like to restrict a user from accessing the user s Gateway account an Account Administrator can disable the account e A user s account will also disable automatically if no account access rights are granted to that user e Disabling a user account will not delete the user from Gateway once a user account is created it can never be deleted e A user s disabled account can be re enabled at any time Use the following steps to disable a user account Navigate to the User Accounts screen and double click the user you wish to disable Click Edit User Account User Accounts The following are User Accounts for your company Depending on your MSRB Gateway Access Rights you can add edit or disable User Accounts and leng 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 1h a User Account established for your company shall be your company s responsibility Search for a user Showing 1 4 of 4 Last Last User Name Updated Updated By last name By On By email W BETTY DOE JDOE23 6 22 2012 1 48 48 PM By Right 4 CHRIS DOE JDOE23 6 22 2012 1 57 34 PM Eil JOHN DOE JIDOE23 6 22 2012 10 51 36 AM By Group Mike Doe JDOE23 6 22 2012 10 51 36 AM Show disabled User Accounts C By first name
18. responsibility Showing 1 2 of 2 le gt gt I Group Name Action cont TT TT adn con ES RTT rie aa E MZ Prenton Meu Municipal Securities Rulemaking Board 55 MSRB Gateway User Manual for Dealers and Municipal Advisors Enter the Group Name then select a Group Account Administrator from the drop down menu option which provides a list of all Account Administrators within the organization A Group Account Administrator can be added at a later point if an Administrator has not been appointed yet or if the desired Administrator is not an option in the drop down menu Next enter a brief description of the Group optional then click Save to create the Group Groups Complete the required information below to create a new Group You can appoint a Group Account Administrator at this time or later by editing this Group or the Account Administrator s Account Group Name Group 3 Group Administrator optional No Group AdminAssignment Group Description optional A confirmation screen appears which confirms the addition of a new Group Click on the Accounts List button to view a listing of all users in the organization Municipal Securities Rulemaking Board 56 MSRB Gateway User Manual for Dealers and Municipal Advisors Add User to a Group This function can only be performed by an Account Administrator Navigate to MSRB Gateway Main Menu and expand the Account and Organization Mana
19. this User Account MSRB ID A7260 Group s No groups set up First Name Betty Middle Name Last Name Doe Email Address bdoe dealenyz com This user will have the following Access Rights in MSRB Gateway Account Administrator Agent Designation EMMA Continuing Disclosure Submissions EMMA Primary Market Submissions o Electronic G 37 Confirm Email bdoe dealenyz com Title Department Rule G 40 Account Optional Contact SHORT System 7 Phone Number 35 xt Force password change on next login E Disable the user account Fax Number Address1 101 Main Street Address2 City City State Zip Country required Retu 1o fest Pt After continuing with the changes click Confirm User Account to complete the update Confirm User Account Account Details Account Access Rights User ID BDOEI User will be forced to change their password on next login User Name Betty Doe MSRB ID 47260 Group s Email Address bdoe dealerxyz com Title Department Address 101 Main Street Click on Confirm User Account to complete the process City ST 12345 Phone Number 111 222 3333 Ext 444 Fax Number Municipal Securities Rulemaking Board 12 MSRB Gateway User Manual for Dealers and Municipal Advisors Confirm Updates Made To User Account After the changes are saved a confirmation screen appears User Accou
20. to from organizations Change Password gt Manage Agent Relationships Manage your organization s relationships with other organizations Registrant Information Forms Submit forms to provide information about your organization gt Form RTRS gt Edit or Affirm Your Organization s G 40 Filing 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 The resulting Manage Agents Relationships screen is divided into two sections The first section shows your relationships with organizations that act as your agent including e Active relationships active relationships with agents you have approved to submit on your behalf e Organizations you have requested to be your agent view pending designations to organizations that you are waiting to accept decline your designation request e Organizations offering to serve as your agent view pending designations from organizations that are waiting for you to accept or decline their offer to act as your agent e Designate an organization to act as your agent send a request for an organization to act as your agent Municipal Securities Rulemaking Board 37 MSRB Gateway User Manual for Dealers and Municipal Advisors Logged in as TJOE1 for P000244 Logout Manage Agent Relationships Use the following menu options to designate agents t
21. 3333 Fax Number Addressi1 101 MAIN STREET Address3 City CITY State ST Zip 12345 Country frequired Return to Account Profile After selecting the group s a message appears confirming that the user is the Group Account Administrator for the selected group s Municipal Securities Rulemaking Board 64 MSRB Gateway User Manual for Dealers and Municipal Advisors If the user is replacing an existing Group Account Administrator a message will be displayed noting this change Click Confirm User Account Confirm User Account Account Details Account Access Rights UserID CDOE This user will be a Group Administrator for the following Group s Group 3 and will be unable to administer User User Name CHRIS DOE Accounts outside of this Group s If you wish for this user to administer all of your company s User Accounts MSRB ID A7260 click on Edit User Account deselect the Group s and click on Continue at the bottom of the page Group s Group 3 Email Address Title Department Address 101 MAIN STREET CITY ST 12345 Click on Confirm User Account to complete the process cdoe dealerxyz com Phone Number Fax Number 111 222 3333 A confirmation screen appears User Account Update Results The following User Account was successfully updated An email confirmation was sent to the user UserID CDOE MSRB ID 47260 Name CHRIS DOE Email Address cdoe dealer
22. Administrator for assistance with updating your account profile or to add Rights to your account Showing 1 1 of 1 EAEE Group Name Email Phone Number ij JOHN DOE jdoe dealerxyz com 111 222 3333 E E E E Retum to Main Menu View User Account History Users can view a history of changes that were made to their account profile or to their account access rights Locate the My Profile box in the upper right of the Gateway Main Menu Click the Edit link My Profile MSRB Gateway Main Menu User ID JDOES Welcome to MSRB Gateway Your User Account has the following Access Rights PE Administrator User Name JOHN DOE Organization Name Desler XYZ MSRB ID A7243 Email Address jdoe deslenyz com Role Click on a section to expand Account and Organization Management Manage profile information for your User Account or for your organization gt Manage User Accounts Add edit and disable individual User Accounts for your organization ATT ie Manage Billing Contact Enter Edit billing contact information 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 ma
23. Board 51 MSRB Gateway User Manual for Dealers and Municipal Advisors lf a submission type is removed and results in the disablement of a users account in Gateway the Master Account Administrator of the impacted organization receives the following email The email lists the user accounts that were deactivated as a result of the action The email below is an example of what an agent receives when the designating organization removes their submission rights The text of the email changes slightly if an agent requests to remove a submission right Be advised that the Master Account Administrator for Organization XYZ has modified its relationship with your organization Organization XYZ requests that your organization make the following submission s to EMMA on their behalf EMMA Voluntary OS ARD Submission The following users have had rights removed since those rights were dependent on this agent relationship USERID JDOE User Name JOHN DOE Email Address jdoe dealerxyz com Right Removed EMMA Voluntary OS ARD Submission Please contact Jane Thomas Ms Master Account Administrator for Organization XYZ at 111 222 3333 if you have questions regarding this modification 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 lf a user s account is deactivated the user cannot log into Gateway To reactivate a disabled account the M
24. 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 Municipal Securities Rulemaking Board 10 MSRB Gateway User Manual for Dealers and Municipal Advisors The User Accounts screen displays all users in the organization on the right side of the screen From this list double click the user account that you would like to edit disabled and will need to be re enabled User Accounts Ifa user has a Gateway account and the account Is not displayed the account may be 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 b Search for a user By first name By last name By email By Right By Group Manage Groups Show disabled User Accounts Click Edit User Acco
25. MSRB Gateway User Manual for Dealers and Municipal Advisors Version 1 4 August 2015 ee re M sx Municipal Securities Rulemaking Board MSRB Gateway User Manual for Dealers and Municipal Advisors 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 July 2012 Update Gateway Main Menu images 1 2 November Updated language to reflect Optional G 40 Contacts have 2012 similar functional to Primary G 40 Contacts and updated screenshots which show the validation checkbox on the Primary G 40 contact s information 1 3 May 2014 Information on registration functionality is now available in the MRSB Registration Manual to reflect changes to the process under MSRB Rule A 12 1 4 August Updated the Resources and Support section to reflect the 2015 change in hours of operation for Email Support Municipal Securities Rulemaking Board 2 MSRB Gateway User Manual for Dealers and Municipal Advisors 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 Secur
26. ORT System 7 Last Name Doe EMMA Primary Market Submissions 7 Email Address cdoe dealenyz com Agent Designation Confirm Email cdoe dealenyz com EMMA Continuing Disclosure Submissions Title Electronic G 37 C Department Phone Number Fax Number Addressi 101 Main Street Address2 City City State ST Zip Country frequired Continue After the user account has been created click Continue to continue with the changes and Confirm User Account to confirm the new account After the Gateway account has been created the new user will receive an email with a User ID and a link to create a password and access the user s Gateway account Municipal Securities Rulemaking Board 14 MSRB Gateway User Manual for Dealers and Municipal Advisors Grant User Account Access Rights Gateway User Account Access rights are granted to a user by an Account Administrator with the exception of the Account Administrator access right This right can only be granted by the Master Account Administrator The following is a list of user account access rights that can be granted in Gateway Account Administrator This right can only be granted by the Master Account Administrator Users with this right can manage other users accounts They can perform most functions of the Master Account Administrator but not all Agent Designation Allows access to appoint agents to submit certain documents and infor
27. RB 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 Forgot your password The MSRB recommends not bookmarking this page Enter your User ID and click Submit If you do not know your User ID contact an Account Administrator in your organization 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 03 97 6608 A notice stating that an email containing the link to reset your password has been emailed to you Check your email inbox MSRB Account Password A link to reset your password has been emailed to the address registered with the MSRB for this account If you are having problems receiving this link please contact a representative in the Market Information Department at 703 797 6668 Municipal Securities Rulemaking Board 32 MSRB Gateway User Manual for Dealers and Municipal Advisors Retrieve the email and click on the link to reset your password Your MSRB Gateway Password Request We have received your request for a new password Please note that our
28. additional submission types or remove an existing submission type To amend designations click the Active Relationships link 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 1 Drganizi Jons 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 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 SSS OO ss ass rss rv sr vrir Municipal Securities Rulemaking Board 49 MSRB Gateway User Manual for Dealers and Municipal Advisors All active agent relationships appear Click the organization you wish to update Active Relationships Organizations who can act as your agent 1 MSRB ID Organization Submission Relationship Name Type Status G00243 AGENT 1234 EMMA Primary Market Disclosure Active Return to Agent Menu Return to Main Menu Submissions that this organization makes on your behalf will display on the upper section of the screen Submis
29. are waiting for the organization to accept or decline your offer e Offer to serve as an agent for another organization extend an offer to act as an agent for another organization Logged in as TJOE1 for P000244 Logout 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 1 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 p a Active Relationships 0 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 with Master Account Administrators of organizations involved in agent relationships with you Municipal Securities Rulemaking Board 38 MSRB Gateway User Manual for Dealers and Municipal Advisors d At this time municipal advisors are not required to make data or document submissions to any MSRB transparency system Therefore municipal advisors can only submit on behalf of other organizations acting a
30. aster Account Administrator must grant the user at least one Gateway account access right Municipal Securities Rulemaking Board 52 MSRB Gateway User Manual for Dealers and Municipal Advisors Part 5 Groups The Groups feature in Gateway gives the Master Account Administrator the option of forming smaller subgroups in Gateway The MSRB highly recommends that only large organizations utilize the Group feature This will facilitate easier account management for large organizations that must manage a large number of user accounts The user accounts can be placed in groups and the groups can at the discretion of the Master Account Administrator be designated based on geographical location department sector job title etc Group Roles and Responsibilities User roles and responsibilities for Groups are described below Master Account Administrator The Master Account Administrators can perform the following functions e Create edit and delete a Group e Add users to a Group e Remove users from a Group e Add himself herself to a Group Master Account Administrator privileges will not be affected e Appoint Group Account Administrators e Remove a user s Group Account Administrator role by o Removing the user from the Group s that he she manages If removed from all groups the user will become a Global Account Administrator o Remove the user s Account Administrator account access right The user will remain in the group th
31. at he she previously managed but will no longer have administrative rights e Appoint Global Account Administrators by granting the user Account Administrator account access rights but not appointing the user to a group e Remove a user s Global Account Administrator role by removing the user s Account Administrator account access rights The user will no longer have administrative rights and the user s account will be disabled if no other user account access rights are granted Global Account Administrator Global Account Administrators can perform the following functions for all users except the Master Account Administrator e Add users to a group with the exception of Global Account Administrators e Edit all Group accounts Municipal Securities Rulemaking Board 53 MSRB Gateway User Manual for Dealers and Municipal Advisors e Move users from one Group to another Group with the exception of Global Account Administrators who do not belong to a Group e Move Group Account Administrators from one group to another The Global Account Administrator cannot perform the following functions e Add edit or delete a Group e Grant Account Administrator account access rights therefore cannot create Global Account Administrators or Group Account Administrators e Remove Account Administrator account access rights therefore cannot remove Global Account Administrator or Group Account Administrator roles Group Account Administrator Group A
32. ated An email confirmation was sent to the user User ID 1DOE MSRB ID 47380 Name JOE DOE Email Address jdoe dealerxyz com Retum to Accounts Retu Main Menu You will receive an email acknowledging that changes have been made to your account Subject Your MSRB Gateway Account has been updated Please keep this information confidential to prevent unauthorized use of this account The MSRB account registered for this email address JDOE7 has been updated by Joe Doe JDOE7 You may login and check your account details and update history by going to https msrb org msrb1 control default asp This is a system generated e mail PLEASE DO NOT REPLY REPLIES ARE NOT MONITORED If you need assistance with your account please contact an account manager at your organization or You may also obtain more information about MSRB Gateway at https msrb org msrb1 control defau It asp View Account Administrators Users can view Account Administrators within their organization to identify who has access rights to provide user account information or make updates to their account Use this function to find the person in your firm who can assist you when you require access to an MSRB system to complete your work but cannot grant access rights to yourself Go to the MSRB Gateway Main Menu and expand Account and Company Management link Select View Account Administrators My Profile Edit MSRB Gateway Main Menu User ID JDOES Welcom
33. box in the upper right of the Gateway and click Edit My Profile User ID JDOES Welcome to MSRB Gateway Your User Account has the following Access Rights VG kane Role MSRB Gateway Main Menu Administrator Click on section to expand User Name JOHN DOE Organization Name Dealer XYZ MSRB ID A7243 Email Address jdce deslerxyz com Account and Organization Management Manage profile information for your User Account or for your organization gt Manage User Accounts P Add edit and disable individual User Accounts for your organization Change Password gt Manage Billing Contact Enter Edit billing contact information gt View Account Administrators Viaw wor Areaanirafinn e Arrnaint Ariminietratare Click Edit User Account to view and edit your profile User Account Profile and Access Rights Account Details Account Access Rights User ID JDOE 3 You have the following Access Rights in MSRB Gateway User Name JOHN DOE Agent Designation 7 MSRB ID A7260 EMMA Continuing Disclosure Submissions er EMMA Primary Market Submissions Email Address jdoe dealerxyz com Electronic G 37 7 Master Account Administrator Department ji Rule G 40 Account Primary Contact Address 101 MAIN STREET ENE ORT em CITY ST 12345 Phone Number 111 222 3333 Fax Number Last Updated by JDOE23 On 6 22 2012 2 40 27 PM View Profile History View Rights History Edit User Account Marae Groups
34. ccount Administrators have administrative rights that are limited to users within his her group A Group Account Administrator can perform the following functions e Manage user accounts within his her Group s e Create new users The new user will be added to a Group that the Group Account Administrator manages e While a group can be administered by only one Group Account Administrator a Group Account Administrator can administer multiple groups Municipal Securities Rulemaking Board 54 MSRB Gateway User Manual for Dealers and Municipal Advisors Create a New Group To use the Groups feature the Master Account Administrator must first create a Group using the following steps From the MSRB Gateway Main Menu expand Account and Company Management link Click Manage Groups MSRB Gateway Main Menu My Profile Welcome to MSRB Gateway Your User Account has the following Access Rights User ID IDOEZS Master Account Administrator User Name JOHN DOE Account and Organization Management Organization Name Dealer XYZ Manage profile information for your User Account or for your organization MSRE ID A7280 gt Manage User Accounts Email Address jdoe deslenyz com Add edit and disable individual User Accounts for your organization Change Password Role Click on a section to expand Manage Billing Contact Enter Edit billing contact information View Account Administrators View your organization s Account Administrators
35. cess right otherwise the account will be disabled e Ifthe Group Account Administrator is removed from all Groups but still has Account Administrator rights he she will become a Global Account Administrator e lf the Group Account Administrator is removed from all Groups and Account Administrator rights are removed the individual will become a Gateway User who does not belong to any Group e tis important that the user is granted at least one account access right otherwise the user s account will be disabled Municipal Securities Rulemaking Board 66 MSRB Gateway User Manual for Dealers and Municipal Advisors To remove the user s Group Account Administrator role navigate to the User Account screen and update the desired user s account The Group s managed by the user will be highlighted in blue Edit User Account Account Details Account Access Rights User ID Select the Access Rights to assign to this User Account MSRB ID This user will have the following Access Rights in MSRB Gateway r Account Administrator 7 Agent Designation 7 Dealer System Outage Report User 7 de spe rele rane ve oo ak EMMA Continuing Disclosure Submissions 7 Groups that this User belongs to are highlighted in blue First Name CHRIS Middle Name Electronic G 37 7 Last Name DOE SHORT System 7 Email Address cdoe dealenyz com EMMA Primary Market Submissions 7 E Force password change on next login Confirm Ema
36. count that you wish to re enable and edit the user s account User Accounts The following are User Accounts for your company Depending on your MSRB Gateway Access Rights you can add edit or disable User Accounts and search for User Accounts by name email or by Group To view details select the desired User Account from the list Please be advised that all actions taken on MSRB systems b thr jh com ur col a re Search for a user Showing 1 4 of 4 By first name disabled accounts shown in gray By last name Last Last By email User Name Updated Updated By On By Right BETTY DOE JDOE23 6 22 2012 1 48 48 PM By Group CHRIS DOE JDOE23 6 22 2012 2 14 44 PM JOHN DOE JDOE23 6 22 2012 10 51 36 AM ME ET A Mike Doe JDOE23 6 22 2012 10 51 36 AM Click Edit User Account then de select the Disable the user account by clicking on the check mark Ensure that the user is granted at least one account access right Click Continue Edit User Account Account Details Account Access Rights UserID CDOE Select the Access Rights to assign to this User Account MSRB ID A 260 This user will have the following Access Rights in MSRB Gateway Group s no groups set up First Name CHRIS Middle Name Last Name DOE Email Address cdoe deslenyz com Account Administrator 7 Agent Designation 7 EMMA Continuing Disclosure Submissions EMMA Primary Market Submissions 7 Electronic G 37 C 7 SHORT S
37. e Dealer XYZ MSRB ID A7243 Email Address jdoe dealenyzcom 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 documents and Qata related to municipal market activity and political contributions gt Dealer System Outage Reporting gt EMMA Dataport Submit documents and information to EMMA If you do not see a link to the system you need to access It is because your 4 account has not been granted the required access right If you are an account administrator you may grant yourself the appropriate right Otherwise you will need to contact a person at your firm with account administration rights Municipal Securities Rulemaking Board 8 MSRB Gateway User Manual for Dealers and Municipal Advisors Part 2 Account Administration Gateway Account Administrators can perform the following account management functions to in Gateway e Create new user e Disable user account e Re enable user account e Grant user account access rights e Modify user account details All account manageme
38. e to MSRB Gateway Your User Account has the following Access Rights Ker rie er 2 a Administrator Click on a section to expand User Name JOHN DOE Account and Organization Management ee 7243 Manage profile information for your User Account or for your organization e aai Email Address jdoe deslenyz com gt Manage User Accounts Add edit and disable individual User Accounts for your organization mrs s vw Manage Billing Contact Enter Edit billing contact information View Account Administrators View your organization s Account Administrators v Manage Groups Note this feature is recommended only for large organizations Use Groups to help organize your organization s User Accounts vw Manage Continuing Disclosure Confirmation Requests Approve confirmation requests and invite individuals to register to submit continuing disclosure submissions Y vw Manage Consolidations Send manage or view account consolidation requests 2 ard 26 Agent Relationship Management Invite and approve agent invitations to from organizations gt Manage Agent Relationships Manage your organization s relationships with other organizations MSRB Gateway User Manual for Dealers and Municipal Advisors The screen displays all of the Account Administrators for the organization Account Administrators The following is contact information for Account Administrators for your organization You can contact an Account
39. ealers and Municipal Advisors ON A confirmation screen appears confirming that the account has been disabled The user of the disabled user account receives an email stating that their account has been disabled User Account Update Results The following User Account was successfully disabled An email confirmation was sent to the user User ID CDOE MSRB ID A7260 Name CHRIS DOE Email Address cdoe dealerxyz com Re Enable User Account Navigate to the User Accounts screen Click the checkbox next to Show disabled User Accounts then 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 by rth ou ih four COM i Ur CO F Search for a user Showing 1 3 of 3 By first name Last Last User Name Updated Updated By last name By On By email F BETTY DOE JDOE23 6 22 2012 1 48 48 PM ER P JOHN DOE JDOE 23 6 22 2012 10 51 36 AM A Mike Doe JDOE23 6 22 2012 10 51 36 AM Show disabled User Accounts ss ME Municipal Securities Rulemaking Board 20 MSRB Gateway User Manual for Dealers and Municipal Advisors A list of all user accounts will be displayed on the right Disabled user accounts will be grayed out Select the user ac
40. gement Link Next click on Manage User Accounts to get a listing of all users in the organization On the User Accounts page select the user you would like to add to a group d If the user is not listed on the User Accounts page add the new user by clicking on Add New Account and create an account for the user 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 ist Please be advised that all actions taken on MSRB systems by a us r th ha User Account established for your company shall be your company s responsibility Search for a user Showing 1 5 of 5 By first name User Name i Updated By last name On By email BETTY DOE JDOE23 6 22 2012 1 48 48 PM CHRIS DOE JDOE 23 6 22 2012 2 33 36 PM JOHN DOE JDOE23 6 22 2012 2 40 27 PM By Group A KELLY DOE JDOE23 6 22 2012 3 03 39 PM Mike Doe JDOE23 6 22 2012 10 51 36 AM By Right Show disabled User Accounts HEEN ME Municipal Securities Rulemaking Board 57 MSRB Gateway User Manual for Dealers and Municipal Advisors Add the user to a Group by clicking on the Group A user can be placed in several groups by holding down the control key while selecting the Groups Click Continue to continue with the updates Edit User Account
41. il 9 cdoe dealengz c 5 n E Disable the user account Title Department Phone Number Fax Number Addressi 101 MAIN STREET Address2 City State Zip Country required Retum to Account Profil To deselect a Group press the Ctrl key and click on that Group To deselect several groups hold down the control key and click on the Groups you would like to deselect Municipal Securities Rulemaking Board 67 MSRB Gateway User Manual for Dealers and Municipal Advisors Click Continue Edit User Account Account Details User ID MSRB ID Group s Group 1 Account Administrator 7 Group 2 Group 3 Admin CDOE Agent Designation Dealer System Outage Report User For single selection click once For single de selection ctrl key click aa ae For multiple selection de selection hold down ctrl key amp make selections EMMA Continuing Disclosure Submissions 7 Groups that this User belongs to are highlighted in blue EMMA Pri Market Submissi z E rimary Market Submissions First Name CHRIS lary bm 7 Middle Name Electronic G 37 7 Last Name DOE SHORT System 7 Email Address cdoeSdealengz com Account Access Rights Select the Access Rights to assign to this User Account This user will have the following Access Rights in MSRB Gateway E Force password change on next login Confirm Email cd gt Slenyz o 2 os pe n El Disable the user
42. ing 1 2 of 2 By first name Last Last User Name Updated Updated By On By email A JANE DOE JDOE14 6 2 2012 7 54 46 PM By Right Pi James Doe JDOE14 6 2 2012 7 27 04 PM By Group Manage Groups Show disabled User Accounts By last name eset Add New Account Municipal Securities Rulemaking Board 13 MSRB Gateway User Manual for Dealers and Municipal Advisors Enter the account details for the user on the left side of the screen Select the account access rights you would like to grant the user on the right side of the screen e Users who are granted Account Administrator rights will be an Account Administrator and will have access to other users accounts in the organization e Atleast one account access right must be granted to a user to keep the account active If no account access rights are granted the account will be disabled e Toread a description of an access right click the icon located next to each account access right Add User Account Complete all required information below and assign one or more Access Rights to create a new User Account If no Access Rights are given the User Account will be automatically disabled Account Details Account Access Rights MSRB ID 47260 Select the Access Rights to assign to this User Account Group s No groups set up This user will have the following Access Rights in MSRB Gateway First Name Chris Account Administrator Middle Name SH
43. ing Board 63 MSRB Gateway User Manual for Dealers and Municipal Advisors Under Account Details a listing of all available groups will be displayed Select the group s you wish to assign to the new Group Account Administrator by clicking on the group s To select multiple groups hold down the control key and select the Groups If the group you select has an existing Group Account Administrator the new group Account Administrator will replace the existing Group Account Administrator Click Continue Edit User Account Account Details Account Access Rights User ID Select the Access Rights to assign to this User Account MSRE ID This user will have the following Access Rights in MSRB Gateway Group s Group 1 Account Administrator F Group 2 i da CREN Agent Designation 7 Dealer System Outage Report User 7 For single selection click once For single de selection ctrl key click are For multiple selection de selection held down ctrl key amp make selection EMMA Continuing Disclosure Submissions ET F Groups that this User belongs to are highlighted in blue EMMA Pri d ket Submit e rima arket UubmIssons gt First Name CHRIS dad 7 Middle Mame Electronic G 37 7 7 Last Name DOE SHORT System F Email Address cdoe dealengaz com I Force password change on next login Confirm Email cdoeSdealenoyrz com El Disable the user a as Title Department Phone Number 111 222
44. ing Disclosure Submissions Groups that this User belongs to are highlighted in blue First Name BETTY Middle Name Electronic G 37 Last Name DOE Rule G 40 Account Optional Contact 7 Email Address bdoe dealengz com SHORT System EMMA Primary Market Submissions Confirm Email bdoe dealengz com Title Force password change on next login ithe Disable the user account Department Phone Number 297 13333 Fax Number Addressi 101 MAIN STREET Address City State Zip Country frequired Retum to Account Profile Create Global Account Administrator Only the Master Account Administrator can create a Global Account Administrator The Master Account Administrator must grant Account Administrator rights to an existing user or create a new user and grant them this right The Global Account Administrator will not be assigned to any Group Use the following steps to create a Global Account Administrator Municipal Securities Rulemaking Board 60 MSRB Gateway User Manual for Dealers and Municipal Advisors Grant the user Account Administrator rights then click Continue Edit User Account Account Details Account Access Rights UserID CDOE Select the Access Rights to assign to this User Account MSRB ID A7260 Group s Group 1 7 Group 2 eae 3 Agent Designation This user will have the following Access Rights in MSRB Gateway Account Admin
45. ion Types Return to Agent Menu Return to Main Menu Municipal Securities Rulemaking Board 39 MSRB Gateway User Manual for Dealers and Municipal Advisors Send Agent Designation Request Below is an overview of the steps involved when sending an agent designation request An organization requests another organization to act as their agent and indicates the type of submission s they want the agent to make on their behalf Gateway will reflect the pending status The Master Account Administrator of the prospective agent organization is notified via email of the designation request They may accept or decline each submission type requested The pending status is updated accordingly in Gateway The Master Account Administrator of the requesting organization is notified via email of the actions taken by the prospective agent organization The submission right is reflected as a tab in EMMA Dataport to allow the agent to submit on behalf of the designating organization To get started expand the Agent Relationship Management link then click Manage Agent Relationships 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 Relatio
46. ion can also offer to make submissions as agent for another organization Parties involved in agent designations receive email communication to notify them of designations being made for agent relationships as well as changes to authorized submission types d Only the EMMA Primary Market Disclosure Service and Short term Obligation Rate Transparency SHORT System are allow agent designations which are managed through MSRB Gateway agent designation Agents for purposes of reporting trade data are identified on Form A 12 Municipal Securities Rulemaking Board 36 MSRB Gateway User Manual for Dealers and Municipal Advisors Agent Relationships Overview This section shows how to access the agent management screen and provides an overview of the agent management functions that can be performed Access the agent management screen from the Gateway Main Menu by expanding the menu item Agent Relationship Management Click the Manage Agent Relationships link MSRB Gateway Main Menu My Profile Welcome to MSRB Gateway Your User Account has the following Access Rights User ID JDOE23 Master Account Administrator User Name JOHN DOE Role Click on a section to expand Account and Organization Management Organization Name Dealer XYZ Manage profile information for your User Account or for your organization MSRB ID A7260 Agent Relationship Management Email Address jdoe dealerxyz com Invite and approve agent invitations
47. is Group will be disassociated Message from webpage Group 3 ees eS termin unten Municipal Securities Rulemaking Board 69 MSRB Gateway User Manual for Dealers and Municipal Advisors O SS A confirmation screen appears Groups Confirmation You have deleted the Group Group 1 This Group cannot be reinstated User Accounts that belonged to this Group have been disassociated Municipal Securities Rulemaking Board 70
48. istrator V Dealer System Outage Report User For single selection click once For single de selection ctrl key click ee zs pe For multiple selection de selection hold down ctrl key amp make selections EMMA Continuing Disclosure Submissions Groups that this User belongs to are highlighted in blue First Name CHRIS Middle Name Electronic G 37 Last Name DOE SHORT System V Email Address cdoe dealengz com EMMA Primary Market Submissions Force password change on next login Disable the user account Confirm Email cdoe deslenyz com Title Department Phone Number 111 222 3333 Fax Number 7 Addressi 101 MAIN STREET Address2 City CITY State ST Zip Country required Retum to Account Profile Remove Global Account Administrator Only the Master Account Administrator can remove the Global Account Administrator role from a user Once this role is removed the individual is a User in Gateway who is not assigned to any Group It is important that the user is granted at least one account access right otherwise the account will be disabled Follow the steps below to remove the Global Account Administrator role from a user Municipal Securities Rulemaking Board 61 MSRB Gateway User Manual for Dealers and Municipal Advisors The Master Account Administrator must edit the Global Account Administrator s user profile and remove the
49. ities Rulemaking Board 3 MSRB Gateway User Manual for Dealers and Municipal Advisors Table of Contents IEE OCCU ON ENE EE ENE NN NN 4 Part 1 Gateway NOG 6 ACCESS MSRB Galway cs ccseveccepcenecesnreeecsesereesenseverensneuesestueusseeersuctueeeveserneeecseusu 7 Making Submissions to EMMA or other Transparency Systems 0cc0eee 8 Part 2 Account Administration sanenanennnunnnnennnvnnnunnnnennnvnnnnnnnnennnvnnnvennnnnnnunnnnennnennnunnnnr 9 ee SN Er ACCOUN RER 10 Update User Account and Save Changes rrranrnnnnnnnnnnnnnnnnnnnnnnnnrnnnnnnnnnnnnnnnnnnnre 12 Confirm Updates Made To User ACCOUNT ccccccsececceeeeeeeeeeeeeeeesseeesaeeesaaes 13 Create New User ACCOUNT ccccccceccecseececeeeeeseeceeseeseeseeeesseeeessaeeesseeesaaeeesaaes 13 Grant User Account ACCESS RIRIS oense dn 15 Disable User ACCOUN vtscexncseewancwenawsenxes xasuewanenncewocendincdueweneveaewoyexduevouewanesecesteesteen 18 Re Enable User Account ccccccccsscccsececseeeceuceceuceceusecsusessusecsusessueessusessueensees 20 Part 3 Global User Management Functions annennnnennnnennnnennnnennnnennnnennnnennnnennnnennnnunn 23 Modify USEr Account DEAN sesers a E en 23 View Account Administrators cccceccceeeeceeeceeeceeeeneeeseeeeeeeeseeseeeseueeneeeseeeseeeens 26 View User Account History ccccceeccceeeeceeeeceeeeceeeeseeeeseeeeseueeseueeseeesaueeseeeeaees 27 FT 29 Create Password for New User Acco
50. le Hoy ver ons Haon kane Grus by User The profile history shows all updates to the account as well as who made the updates User Account Profile History Click on an entry for available detail Showing 1 5 of 5 Updated By Updated On CHOOK1 10 21 2010 5 07 02 PM CHOOK1 10 21 2010 5 02 57 PM CHOOK1 10 21 2010 4 49 37 PM CHOOK1 10 21 2010 4 41 54 PM CHOOK1 10 21 2010 4 28 06 PM Municipal Securities Rulemaking Board 28 MSRB Gateway User Manual for Dealers and Municipal Advisors The acount access rights history shows a history of the user s account access rights when acccount access rights were granted or removed as well as who changed the access rights User Account Access Rights History Showing 0 of 0 Application Access Updated By Updated On Electronic G 37 ACCESS GRANTED JDOE14 6 2 2012 8 57 44 PM EMMA Continuing Disclosure Submissions ACCESS GRANTED JDOE14 6 2 2012 8 57 44 PM SHORT System ACCESS GRANTED JDOE14 6 2 2012 8 57 44 PM EMMA Primary Market Submissions ACCESS GRANTED JDOE14 6 2 2012 8 57 44 PM Password Management There are several scenarios in which a user will need to reset their Gateway password These scenarios include e A security requirement that forces users to periodically change their password e Three unsuccessful log in attempts resulting in the account being locked e Users forget their password e Users wish to create a new password The password can be changed by clicking
51. making Board Advanced Search Municipal Bond Market Rules Disclosures and Data Market Leadership News Events and Training Resources for Learn About the EMMA er Electronic Muniapal Market Access Municipal Market 4 TF N he TAES Visit the EMMA Website Frit a Login aes uw to MSRB systems wad GA ae EE O S O Don t have an account Register here Enter your User ID and Password then click the Login button lnr rd gm Welcome to MSRB Gateway the secure access point for all MSRB applications including EMMA Click here for guidance on user account management and information about the MSRB s IG or wo I To return to MSRB org from within the MSRB Gateway application click on the MSRB Home link at the top right corner of the page User ID If you are experiencing log in or other system related problems please check the MSRB Systems Status Page for more information Ifyou need additional help please contact the MSRB via email at GatewaySupport msrb org or by phone at 703 797 6668 Password Forgot password i Access Online Training about Submitting to EMMA The MSRB recommends not bookmarking this page Don t have an account Register MSRB Gateway Manual gt You are directed to the MSRB Gateway Main Menu Municipal Securities Rulemaking Board 7 MSRB Gateway User Manual for Dealers and Municipal Advisors MSRB Gateway Main Menu My Profile User ID JDOES Master Acco
52. mation to MSRB systems on behalf of your organization Dealer Feedback System Application used by dealers to request transaction data about their own trades Dealer System Outage Report User Application used by dealers to report system outages EMMA Continuing Disclosure Submissions Make continuing disclosure He ngs EMMA Primary Market Submissions Submit official statements and advanced refunding document RTRS Web Allows access to RTRS Web for all functions including input or correction of trade reports RTRS Web View Only Allows limited access to RTRS MENN tering arpa SHORT System Make auction rate and variable The list of rights shown here is typical and subject to change Additional rights may appear if your organization has been designated as an agent to make submissions on behalf of another organization If you believe rights are missing or are uncertain about a right listed please contact MSRB Support for further information at 202 838 1330 Municipal Securities Rulemaking Board 15 MSRB Gateway User Manual for Dealers and Municipal Advisors Use the following steps to grant user account access rights Navigate to the User Accounts screen and select the user to whom you will grant account access rights Once the Account Profile is displayed click Edit User Accounts User Accounts The following are User Accounts for your company Depending on your MSRB Gateway Access Rights you can add edit or disable User Acco
53. nage 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 Dealer System Outage Reporting gt EMMA Dataport Submit documents and information to EMMA Municipal Securities Rulemaking Board 27 MSRB Gateway User Manual for Dealers and Municipal Advisors Click View Profile History to view the changes made to your profile Click View User Access Rights History to view changes made to your access rights User Account Profile and Access Rights Account Details Account Access Rights User ID JDOE 3 You have the following Access Rights in MSRB Gateway User Name JOHN DOE Agent Designation 7 MSRB ID 47260 E EMMA Continuing Disclosure Submissions Group s EMMA Primary Market Submissions Email Address jdoe dealerxyz com Electronic G 37 Title Department Address 101 MAIN STREET CITY ST 12345 Master Account Administrator Rule G 40 Account Primary Contact SHORT System Phone Number 111 222 3333 Fax Number Last Updated by JDOE 3 On 6 22 2012 2 40 27 PM Vew Prai
54. nization Name MSRBID A7243 Email Address MSRB ID Organization Name A7243 Dealer XYZ Municipal Securities Rulemaking Board 44 MSRB Gateway User Manual for Dealers and Municipal Advisors Click Update Submission Types for the types of submissions this organization can make Relationship with Dealer XYZ MSRB ID A7243 Phone Number 111 222 3333 Fax Number Address 101 Main Street New York City NY 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 Primary Market Disclosure L SHORT System Add Submission Type select submission s that you would like to make then click Add Submission Type Relationship with Dealer XYZ MSRB ID A7243 Phone Number 111 222 3333 Fax Number Address 101 Main Street New York City NY 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 Primary Market Disclosure V SHORT System Add Submission Type Your request is placed in pending status pending approval or denial of the submission type from the other organization Yo
55. nrnrnnnrnrnnnennnnnennannennnnsnnnansnnnassnnnnnsnnnnsnnnnsee 59 Create Global Account Administrator ronrrrrnnnrrrnnnrrrnnnrnrannrnrannrnnnnnennannnnnnnnnnnn 60 Remove Global Account Administrator cccccccceececeeeceseeeeesseeeeseeeeeseeeeesseeees 61 Create Group Nr 63 Remove Group Account Administrator from a Group rrrnnrranernnrrnnnenanennnrnnnnennn 66 BEE EEE 01 1 o EE EE 69 Municipal Securities Rulemaking Board 4 MSRB Gateway User Manual for Dealers and Municipal Advisors Introduction The Municipal Securities Rulemaking Board MSRB protects investors issuers of municipal securities entities whose credit stands behind 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 additi
56. ns for which you have offered to act as an agent 0 Offer to serve as an agent for another organization Return to Main Menu Enter search criteria organization name or MSRB ID then click Search Organization Search Organization Name MSRBID Email Address MSRB ID Organization Name On the search results page click the organization you wish to designate Organization Search 1 Matching Records Organization Name MSRBID G00243 Email Address MSRB ID Organization Name G00243 AGENT 1234 Municipal Securities Rulemaking Board 41 MSRB Gateway User Manual for Dealers and Municipal Advisors Click Update Submission Types to see the types of submissions that can be designated to an agent Relationship with AGENT 1234 MSRB ID Phone Number Fax Number Address G00243 111 222 3333 999 999 9999 500 MAIN STREET SUITE 600 CITY ST 12345 You have designated this organization to act as your agent for the following types of submissions Submission Type Relationship Status No submission types authorized 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 Select the submissions you would like the agent to make then click Add Submission Type Relationship with AGENT 1234 MSRB ID Phone Number Fax Number
57. nships Manage your organization s relationships with other organizations Registrant Information Forms Submit forms to provide information about your organization gt Form RTRS gt Edit or Affirm Your Organization s G 40 Filing 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 My Profile User ID JDOE23 Master Account Administrator JOHN DOE Role User Name Organization Name Dealer XYZ MSRB ID A7260 Email Address jdoe deslenyz com Change Password Municipal Securities Rulemaking Board 40 MSRB Gateway User Manual for Dealers and Municipal Advisors Click Designate an organization to act as your agent Logged in as JDOE23 for 47260 Logout 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 0 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 Organizations requesting that you act as their agent 0 Organizatio
58. nt Update Results The following User Account was successfully updated An email confirmation was sent to the user User ID BDOEL MSRB ID A7260 Name Betty Doe Email Address bdoe dealerxyz com An email is sent to the account holder describing the updates made to their account as well as who made the update Please keep this information confidential to prevent unauthorized use of this account The MSRB account registered for this email address kdoe dealerxyz com has been updated by James Doe JDOE14 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 You may also obtain more information about MSRB Gateway at https www msrb org msrb1 control default asp Create New User Account From the User Accounts screen 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 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 Show
59. nt functions are performed on the User Account screen Use the steps below to navigate to this screen Follow these steps whenever updates are made to a user s account and refer to this section for navigation guidance as these steps will not always repeat for each scenario illustrated in this section After updates are made to the user s account click through the screens to continue with the updates and confirm the changes An email is forwarded to the user informing them of the changes to their account Municipal Securities Rulemaking Board 9 MSRB Gateway User Manual for Dealers and Municipal Advisors Access User Accounts From the MSRB Gateway Main Menu expand the Account and Organization Management link Click Manage User Accounts to be directed to the User Account screen MSRB Gateway Main Menu My Profile Welcome to MSRB Gateway Your User Account has the following Access Rights User ID JDOE23 Master Account Administrator User Name JOHN DOE Role Click on a section to expand Account and Organization Management Organization Name Dealer XYZ Manage profile information for your User Account or for your organization MSRB ID A7200 Manage User Accounts Email Address jdoe dealenyz com Add edit and disable individual User Accounts for your organization Change Password Manage Billing Contact Enter Edit billing contact information View Account Administrators View your organization s Account Administrators Manage
60. nt to the following Group s Group 1 User Name BETTY DOE User will be forced to change their password on next login MSRB ID A7260 Group s Group 1 Click on Confirm User Account to complete the process Email Address bdoe dealerxyz com Title Department Address 101 MAIN STREET CITY ST 12345 Phone Number 111 222 3333 Ext 444 Fax Number Delete User from a Group Use the following steps to delete a user from a group Navigate to the users Account Details page and click Edit User Account On the user s account detail screen the group s that the user belongs to will be highlighted To remove the user from a group press the Ctrl key and click on the highlighted group to deselect the group 4 If the user has Account Administrator account access rights and is removed from all groups the user will become a Global Account Administrator Municipal Securities Rulemaking Board 59 MSRB Gateway User Manual for Dealers and Municipal Advisors Edit User Account Account Details Account Access Rights UserID BDC Select the Access Rights to assign to this User Account MSRB ID as This user will have the following Access Rights in MSRB Gateway nents Account Administrator Agent Designation Dealer System Outage Report User For single selection click once For single de selection ctrl key click a 7 eee For multiple selection de selection hold down ctrl key amp make selections EMMA Continu
61. o make submissions on your behalf and approve requests from others to act as your agent Active relationships 1 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 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 with Master Account Administrators of organizations involved in agent relationships with you The second section of the Manage Agent Relationships screen shows agent relationships where your organization assumes the role of an agent which includes e Active relationships shows organizations for which you currently act as an agent and shows the types of submissions you can make on that organization s behalf e Organizations requesting that you act as their agent view pending requests from organizations that you act as their agent You can accept or decline the designation e Organizations for which you have offered to act as an agent view pending requests where you have offered to act as an agent and you
62. on 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 MSRB Gateway serves as a secure access point for all MSRB systems Dealers and municipal advisors are required to register with the MSRB via the online registration process in Gateway before an MSRB Gateway account is created Once the MSRB Gateway account is created the Master Account Administrator and Account Administrator are able to add additional user accounts to their organization and grant access rights to various MSRB systems to those users Staff of dealers and municipal advisors who have been granted user rights by their account administrators can use Gateway to access all MSRB systems including and not limited to the systems listed below e Electronic Municipal Market Access EMMA9 e RTRS Web e Short term Obligation Rate Transparency SHORT System e G 37 submission portal 1 The MSRB Registration Manual provides instructions on how to complete the MSRB registration process using Form A 12 in MSRB Gateway To begin the registration process go to the MSRB website msrb org Municipal Securities Rulemaking Board 4 MSRB Gateway User Manual for Dealers and Municipal Advisors Dealer
63. ould like to act as this organization s agent No additional submission types available Return to Agent Menu Return to Main Menu Click Confirm to remove the agent relationship s Edit Agent Relationship with Dealer ABC MSRB ID A7258 Phone Number 111 222 3333 Fax Number 999 999 9999 Address 2000 Main Street City ST 12345 You have chosen to remove the following agent relationships with this organization Submission Type Relationship Status SHORT System Waiting for principal s approval Municipal Securities Rulemaking Board 48 MSRB Gateway User Manual for Dealers and Municipal Advisors C CSCCCCCis The submission type appears in the lower section of the screen and is available for future designation Relationship with Dealer ABC MSRB ID A7258 Phone Number 111 222 3333 Fax Number 999 999 9999 Address 2000 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 Primary Market Disclosure Active Remove Relationship Types of submissions for which you would like to act as this organization s agent SHORT System Add Submission Type Return to Agent Menu Return to Main Menu Manage Agent Designation Rights An agent relationship can be amended by both the agent and the designating organization at anytime Either party can request
64. 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 FO www mseb orge mserb1 control forgotPasswordProcess asp2ke SnNACShauNBhEO7SvHSXmRenaua7M change your password follow these simple steps below Click on the password link abowe On the Password Change page enter and confirm the password that satisfies the password criteria Click on the Continue button This is a system generated e mail PLEASE DO NOT REPLY REPLIES ARE NOT MONITORED If you need assistance please contact a representative in the Market Information Department on 763 797 6668 You may also obtain more information about MSRB Gateway at https www msrb org msrb1i control default asp Enter your 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 User ID kdoe Follow instructions to meet password criteria and create your new password Click Continue Change Password THE MSRB REQUIRES THAT USERS CHANGE THEIR PASSWORDS PERIODICALLY FOR SECURITY PURPOSES USERS ARE ALSO ASKED TO CHANGE THEIR PASSWORD UPON INITIAL LOGIN OR
65. s an agent and only the lower menu section is visible when a municipal advisor logs into MSRB Gateway View Relationships with an Agent Organization On the Manage Agent Relationships screen click the Active Relationships link on the top section to see agents that are 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 MSRB ID Organization Submission Name G00243 AGENT 1234 G00243 AGENT 1234 Relationship Type Status SHORT System Active EMMA Primary Market Disclosure Active Return to Agent Menu Return to Main Menu The Relationship screen below lists your relationship with the organization selected The upper section list submissions the organization can make on your behalf The lower section list submissions that you make for this organization Relationship with AGENT 1234 MSRB ID G00243 Phone Number 111 222 3333 Fax Number 999 999 9999 Address 500 MAIN STREET SUITE 600 CITY ST 12345 You have designated this organization to act as your agent for the following types of submissions Submission Type EMMA Primary Market Disclosure SHORT System Update Submission Types Relationship Status Active Active You act as an agent for this organization for the following types of submissions Submission Type Relationship Status No submission types authorized Update Submiss
66. s can grant appointed agents access to MSRB Gateway to submit documents or information to the MSRB on their behalf e g primary market documents in connection with the MSRB s EMMA system Dealers can also grant Gateway access to program dealers remarketing agents auction agents and designated agents for submitting information to MSRB s SHORT system The groups feature in Gateway makes user account management easier for large organizations This feature allows the Master Account Administrator to create smaller groups of users which are managed by a group account administrator Municipal Securities Rulemaking Board 5 Part MSRB MSRB Gateway User Manual for Dealers and Municipal Advisors 1 Gateway Accounts Gateway accounts are classified as one of the roles described below Master Account Administrator The Master Account Administrator also known as the Primary Regulatory Contact is created during the MSRB registration process According to MSRB Rule A 12 each broker dealer municipal securities dealer or municipal advisor must appoint a Primary Regulatory Contact For broker dealer organizations the Primary Regulatory Contact must b e a registered municipal securities principal The Primary Regulatory Contact will automatically assume the role of Master Account Administrator The Master Account Administrator can manage all user accounts in Gateway Account management functions include Manage organization details
67. sclosure Active Remove Relationship Types of submissions for which you would like this organization to act as your agent SHORT System Add Submission Type Return to Agent Menu Return to Main Menu Deactivation of Agent Relationship An organization can remove a submission type in an agent relationship at any time It is important to note however that removing a submission right will disable a user s account if the submission type that is removed is the only Gateway account access right that was granted to the user The Master Account Administrators of the impacted organization will be alerted of their affected users If an agent no longer wishes to make a submission on behalf of another organization and removes the submission type from the agent relationship the user account is disabled as a result of this action once the action is confirmed Logged in as JDOE23 for A7260 Logout Relationship with AGENT 1234 MSRB ID G00243 Phone Number 111 222 3333 Fax Number 999 999 9999 Address 500 MAIN STREET SUITE 600 CITY ST 12345 Types of submissions this organization can make on your behalf Submission Type Relationship Status vV EMMA Primary Market Disclosure Active SHORT System Active Remove Relationship Types of submissions for which you would like this organization to act as your agent No additional submission types available E Agri Mer Retuem to Man Men Municipal Securities Rulemaking
68. sions that you make for this organization will display on the lower section of the screen Click Update Submission Types to add or remove a submissions type Relationship with AGENT 1234 MSRB ID G00243 Phone Number 111 222 3333 Fax Number 999 999 9999 Address 500 MAIN STREET SUITE 600 CITY ST 12545 You have designated this organization to act as your agent for the following types of submissions Submission Type Relationship Status EMMA Primary Market Disclosure 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 The first part of the screen below lists active submission rights Click Remove Relationship to remove this right Municipal Securities Rulemaking Board 50 MSRB Gateway User Manual for Dealers and Municipal Advisors The second section on this screen lists submission rights that have not been designated Click Add submission type to request this submission type An email is forwarded to the organization and they will accept or decline the designation request Relationship with AGENT 1234 MSRB ID G00243 Phone Number 111 222 3333 Fax Number 999 999 9999 Address 500 MAIN STREET SUITE 600 CITY ST 12345 Types of submissions this organization can make on your behalf Submission Type Relationship Status C EMMA Primary Market Di
69. ss rights to a new or existing user and assign the user to a Group s A Group Account Administrator can be created by e Adding a Global Account Administrator to a Group e Creating a new user with Account Administrator access rights and adding the user to a Group or e Granting an existing user Account Administrator access rights and adding the user to a Group lf transferring this right to a new or existing user Account Administrator access rights must be granted to the user The Master Account Administrator can appoint a Group Account Administrator from the User Accounts screen or use the Manage Groups function Steps for both methods are described below On the User Accounts Screen select an existing user with Account Administrator access rights and edit the user s account User Account Profile and Access Rights Account Details Account Access Rights User ID CDOE This user has the following Access Rights in MSRB Gateway User Name CHRIS DOE Account Administrator MSRB ID A7260 Agent Designation 2 Email Address cdoe dealerxyz com Dealer System Outage Report User Title EMMA Continuing Disclosure Submissions Department Address 101 MAIN STREET CITY ST 12345 EMMA Primary Market Submissions Electronic G 37 SHORT System 7 Phone Number 111 222 3333 Fax Number Last Updated by JDOE23 On 6 22 2012 5 29 56 PM ve Pot Hov ven Fs Hov ange Gaups by User Municipal Securities Rulemak
70. tion Management Organization Name Desler XYZ Manage profile information for your User Account or for your organization MSRB ID A7260 Agent Relationship Management Email Address jdoe deslemyz com Invite and approve agent invitations to from organizations Change Password gt Manage Agent Relationships Manage your organization s relationships with other organizations Registrant Information Forms Submit forms to provide information about your organization gt Form RTRS gt Edit or Affirm Your Organization s G 40 Filing 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 You will be required to enter your current password and create your new password Change Password To change your password you must Enter your current password to confirm your identity Enter your new password Enter your new password again to confirm Click Continue New passwords must meet the following criteria Must be between eight 83 and fifteen 15 characters long Must be different from your current password Must mot contain your User ID Must contain characters from at least three of the following four categories Uppercase characters A 7 Lowercase characters a z Numeric characters 0 9 Special characters 2 S 0 amp etc excluding spaces Current Password
71. u If the agent accepts the designation the associated access right must be granted to the users in the organization who will make the submission ed SSS Municipal Securities Rulemaking Board 43 MSRB Gateway User Manual for Dealers and Municipal Advisors Request to Act as an Agent Just as you can request an organization to act as your agent you can also request to serve as an agent for an organization by following the steps below On the agent relationship page navigate to the lower section of the screen that lists functions available when you chose to act in the role of an agent Click the link Offer to serve as an agent for another organization Logged in as TSAM1 for 47335 Logout Manage Agent Relationships others to act as your agent Active relationships 0 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 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 mo for another organization Return to Main Menu Enter search criteria and click Search Organization Search Organization Name MSRBID A7243 Email Address MSRB ID Organization Name Click the desired organization Organization Search 1 Matching Records Orga
72. u will receive an email notification stating the actions taken Municipal Securities Rulemaking Board 45 MSRB Gateway User Manual for Dealers and Municipal Advisors Relationship with Dealer XYZ MSRB ID A7243 Phone Number 111 222 3333 Fax Number Address 101 Main Street New York City NY 12345 Modifications successfully processed Types of submissions for which you are currently an agent for this organization Submission Type Relationship Status EMMA Primary Market Disclosure Waiting for their approval SHORT System Waiting for their approval Remove Relationship Types of submissions for which you would like to act as this organization s agent No additional submission types available If the submission type is approved the associated access right must be granted to the users in the organization who will make the submission Accept or Decline an Agent Designation Request To accept or decline an agent designation request follow the steps below From the Manage Organization Relationships screen click the Organizations you have requested to act as your agent or Organizations requesting that you act as their agent link 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 3 Organizations you have requested te act a8 your agent 0 C Organizations offering
73. unt rrrnnnrnnnnnrnnnnnenvnnnrnrannrnnnnrennansnnnnnsnnnnn 29 Forgot TIN 32 User Initiated Password Reset cccccccseccceececeececeueeceusecsuseceuseseusessesesueesaaees 34 Part 4 Agent Designation OvervieWw a renanuennnnnnnnunnnnunnnnnennnnennnnennnnennnnennnnennnnennnnnn 36 Agent Pre EU Gea SOV GIVI OW seins EEEE EE 37 View Relationships with an Agent Organization cccccccseececeeeeseeeeseeeeseeeeaees 39 Send Agent Designation Request r arrrnnnnnnnnnnrnnnnnrnnnnnrnnnnnennannrnnansennansnnnnnsennnn 40 Request to Act as an Agent ccccceccceecceeeeneeeceeeceueeneeeseeeseueeaeesaeeseueeseeeseeesees 44 Accept or Decline an Agent Designation REQUEST cccccceeeseeeeeeeeeeeeeeeeeees 46 Manage Agent Designation Rights cccccccseccseeeeeeeeaeeeseeceueeeeeeseeesueeaeeeneess 49 Deactivation of Agent Relationship ccccccccsseccseeeneeeseeeeeeeeeeeeseeeeeueeneeeseeeeees 51 P L OUD S sensen stan srcces ee ccatesecereua econ seensteweneneean seen stenstqeeseneuserccnsmessesnener scessecere 53 Group Roles and ReSponsibllitieS ccccccccccseececseeeeeeeeeesseeeesseeeesseeeeseeeeeseaes 53 Create a New GIOUup cccccceecccssececseeeeceeeeeceeeeeseeseeseuseeseueesseeeesseeeesseeesaaeeeseaes 55 Add User to a GrOup rrranrnnanennanennnnennanennanennanennanennnnennanennanennnnennanennasennasennanennnn 57 Delete User from a Group rannarnnnnrnvan
74. unt User Account Profile and Access Rights Account Details User ID User Name MSRB ID Email Address Title Department Address BDOE1 Betty Doe A7260 bdoe dealerxyz com 101 Main Street city ST 12345 Phone Number Fax Number Last Updated by 111 222 3333 JDOE 23 View Profile History View Rights History Email User ID a user through a User Account established for your company shall be your company s responsibility Showing 1 3 of 3 Last Updated By JDOE 3 JDOE 3 JDOE23 Last Updated On 6 22 2012 10 51 36 AM 6 22 2012 10 51 36 AM 6 22 2012 10 51 36 AM User Name Betty Doe JOHN DOE Mike Doe Account Access Rights This user has the following Access Rights in MSRB Gateway Account Administrator Agent Designation EMMA Continuing Disclosure Submissions EMMA Primary Market Submissions Electronic G 37 Rule G 40 Account Optional Contact SHORT System On 6 22 2012 10 51 36 AM ES See ManageGroups of Manaoe Groups bylser Municipal Securities Rulemaking Board 11 MSRB Gateway User Manual for Dealers and Municipal Advisors Update User Account and Save Changes Make the appropriate updates to the account then click Continue You may also click Return to Accounts to abandon changes Edit User Account Account Details Account Access Rights User ID BDOEI Select the Access Rights to assign to
75. unt Administrator Click on a section to expand TE JOHN DOE Welcome to MSRB Gateway Your User Account has the following Access Rights Role Organization Name Dealer XYZ MSRB ID A7243 Email Address jdoe dealenyz com 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 documents and data related to municipal market activity and political contributions gt Dealer System Outage Reporting gt EMMA Dataport Submit documents and information to EMMA Making Submissions to EMMA or other Transparency Systems MSRB Gateway provides links to all MSRB programs for submission of market data and disclosures Links to the relevant applications may be found on the main Gateway page under the Market Transparency Systems heading Clicking on the link will take you out of Gateway MSRB Gateway Main Menu My Profile User ID JDOES Master Account mae f Administrator Click on a section to expand KE EE Welcome to MSRB Gateway Your User Account has the following Access Rights Role Organization Nam
76. unts 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 By last name By On By email A BETTY DOE JDOE 3 6 22 2012 1 48 48 PM CHRIS DOE JDOE23 6 22 2012 1 57 34 PM By Right A JOHN DOE JDOE23 6 22 2012 10 51 36 AM Hyena e il Mike Doe JDOE23 6 22 2012 10 51 36 AM Show disabled User Accounts Municipal Securities Rulemaking Board 16 MSRB Gateway User Manual for Dealers and Municipal Advisors Click the account access right s you would like to grant the user Edit User Account Account Details Account Access Rights UserID CDOE Select the Access Rights to assign to this User Account MSRB ID A7260 This user will have the following Access Rights in MSRB Gateway Group s No groups set up Account Administrator 7 Agent Designation 7 EMMA Continuing Disclosure Submissions EMMA Primary Market Submissions 7 Electronic G 37 7 SHORT System 7 First Name CHRIS Middle Name Last Name DOE Email Address cdoe dealenyz com Confirm Email cdoe dealenyz com Tithe Department Force password change on next login Ph N ber Disable the user account one Number
77. which you would like to act as this organization s agent SHORT System Add Submission Type Search Return to Agent Menu Return to Main Menu The approved submission type shows as Active Relationship with Dealer ABC MSRB ID A7258 Phone Number 111 222 3333 Fax Number 999 999 9999 Address 2000 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 Primary Market Disclosure Active Remove Relationship Types of submissions for which you would like to act as this organization s agent SHORT System Add Submission Type Return to Agent Menu Return to Main Menu Municipal Securities Rulemaking Board 47 MSRB Gateway User Manual for Dealers and Municipal Advisors To decline the designation click the box for each submission type that you do not choose to accept and then click Remove Relationship Relationship with Dealer ABC MSRB ID A7258 Phone Number 111 222 3333 Fax Number 999 999 9999 Address 2000 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 Primary Market Disclosure Active v SHORT System Waiting for their approval Remove Relationship Types of submissions for which you w
78. word 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 htto www2 msrb org msrb1 control forgotPasswordProcess asp key xT MrPCUkK6X6CFkV2xTGHV1K89wFc6x To change your password follow the 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 e mail PLEASE DO NOT REPLY REPLIES ARE NOT MONITORED If you need assistance with your account please contact a representative in the Market Information Department at 703 797 6668 You may also obtain more information about MSRB Gateway at https www msrb org msrb1 control default asp Enter the User ID again 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 User ID kdoe Municipal Securities Rulemaking Board 30 MSRB Gateway User Manual for Dealers and Municipal Advisors On the Change Password screen create new password in accordance with the password criteria then click
79. xyz com The user receives a confirmation email informing him her that he she is now a Group Account Administrator for the selected Group s Municipal Securities Rulemaking Board 65 MSRB Gateway User Manual for Dealers and Municipal Advisors If the new Group Account Administrator replaces an existing Group Account Administrator the Group Account Administrator being replaced receives a similar email Stating that they are no longer the administrator for the Group s Please keep this information confidential to prevent unauthorized use of this account The MSRB account registered for this email address CDOE14 has been updated by James Doe JDOE14 You are now appointed as Account Administrator of the following Group s Group 3 You may login and check your account details and update history by going to http www msrb org msrb1 control default asp This is a system generated e mail PLEASE DO NOT REPLY REPLIES ARE NOT MONITORED If you need assistance with your account please contact an account manager at your organization You may also obtain more information about MSRB Gateway at https www msrb org msrb1 control default asp Remove Group Account Administrator from a Group Only the Master Account Administrator can remove the Group Account Administrator from a group Once this role is removed the individual is a Gateway user who is not assigned to any Group It is important that the user is granted at least one account ac
80. ystem 7 Confirm Email cdoe amp dealeryz com Title Department E Force password change on next login Ph N her El Disable the user account one Number Fax Number Address1 101 MAIN STREET Address City State Zip Country required Ratum to Account Profile Municipal Securities Rulemaking Board 21 MSRB Gateway User Manual for Dealers and Municipal Advisors The Account Details screen will appear Click Confirm User Account Confirm User Account Account Details Account Access Rights UserID CDOE Click on Confirm User Account to complete the process User Name CHRIS DOE MSRB ID A7260 Group s Email Address cdoe dealerxyz com Title Department Address 101 MAIN STREET CITY ST 12345 Phone Number 111 222 3333 Fax Number A confirmation screen displays the update The user will receive a confirmation email indicating that his her account has been re enabled Municipal Securities Rulemaking Board 22 MSRB Gateway User Manual for Dealers and Municipal Advisors Part 3 Global User Management Functions Basic account management functions are available to all users These functions include e Modifying user account details e Viewing account administrators in the organization e Viewing user account history e Managing passwords Modify User Account Details Users can modify user information associated with their own account Locate the My Profile

MSRB Gateway User Manual for Dealers and Municipal Advisors

Contents

Download Pdf Manuals

Related Search

Related Contents