Reference documents and information about the State Examination System.
State Examination System Policy Guide
SES Policies for state regulatory agencies.
State Examination System General Policies.
This policy addresses the management of the State Examination System (SES) library and defines the library’s terminology and functionality.
This policy governs the eligibility requirements that state agencies must meet prior to being onboarded to the State Examination System (“SES” or “System”) for the supervision of financial services companies.
This policy addresses agency users’ responsibility to regularly maintain and update their Supervisory Activities (SAs) and Complaints in the system.
SES Policies for companies.
Software releases of the State Examination System. The releases are labeled by state, commonwealth, and territory names.
Terms of use for the State Examination System, for agency and company users.
Supporting documents and forms available for download.
An Investigation and an Examination are types of Supervisory Activity. This topic lists the key ways that investigations differ from examinations.
Details about Areas for Review
More information about complaints.
How to use the SA Analytics tool for SES.
Links to recordings of SES events, meetings, calls, and workshops.
Email notifications and handling, technical requirements, etc.
Terms and phrases used in the State Examination System and their definitions.
Contact the Call Center at 1-800-269-6189.Agency users, please visit the Secure Portal for phone and email contacts.
