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Enforcement Actions
Enforcement actions are a formal regulatory measure used to address violations of law, unsafe or unsound practices, or noncompliance identified through supervisory or investigative activities.
SES Enforcement Action Resources for Agencies
How to manage enforcement actions in SES.
Managing Enforcement Actions
Learn how to create, review, and manage enforcement actions in the State Examination System (SES).
Initiating an Enforcement Action
Initiate a new enforcement action in SES by selecting a company and entering enforcement action details.
Related Supervisory Activities on an Enforcement Action
Add related supervisory activity or complaint information to an enforcement action to document the regulatory activity associated with the enforcement matter.

Enforcement Actions
Enforcement actions are a formal regulatory measure used to address violations of law, unsafe or unsound practices, or noncompliance identified through supervisory or investigative activities.
- SES Enforcement Action Resources for Agencies
  How to manage enforcement actions in SES.
  - Job Aid: Conducting Your First Enforcement Action in SES
    This job aid serves as a guide for users conducting their first enforcement action in the State Examination System (SES). It highlights the basic workflow of an enforcement action in SES and points out important information along the way.
  - Setting Up Users for Enforcement Actions
    Learn how to assign SES Enforcement Action roles to agency users so they can access and work with enforcement actions in SES.
  - Enforcement Actions Homepage
    The Enforcement Actions homepage is the main workspace for users working with enforcement actions in SES. From this page, users can initiate enforcement actions, review invitations to join multi-state enforcement actions, and access enforcement actions associated with their agency.
  - Viewing and Searching for Enforcement Actions
    Search for enforcement actions in SES and open the desired enforcement action to view its details.
  - Managing Enforcement Actions
    Learn how to create, review, and manage enforcement actions in the State Examination System (SES).
    - Initiating an Enforcement Action
      Initiate a new enforcement action in SES by selecting a company and entering enforcement action details.
      - Initiating an Enforcement Action from a Supervisory Activity
        How to initiate an enforcement action during supervisory activity close out by choosing a disposition of "Referred to Enforcement or Legal."
      - Related Entities on an Enforcement Action
        Add related NMLS entity information to an enforcement action to document branches or other individuals associated with the enforcement matter.
      - Related Supervisory Activities on an Enforcement Action
        Add related supervisory activity or complaint information to an enforcement action to document the regulatory activity associated with the enforcement matter.
    - Reviewing an Enforcement Action before Initiating
      Review an enforcement action created from a supervisory activity referral and decide whether to initiate or cancel the enforcement action.
    - Moving an Enforcement Action to In Progress
      Move an enforcement action to the In Progress milestone so participants can begin conducting the enforcement action.
    - Inviting Agencies to Join a Multi-state Enforcement Action
      Invite other agencies to join an enforcement action so they can participate in a multi-state enforcement action in SES.
  - Conducting an Enforcement Action
    Learn how to conduct enforcement actions in SES after an enforcement action has been initiated.

Related Supervisory Activities on an Enforcement Action

Add related supervisory activity or complaint information to an enforcement action to document the regulatory activity associated with the enforcement matter.

When creating or updating an enforcement action in SES, you can add information about supervisory activities or complaints related to the enforcement matter. This helps provide context for the enforcement action and connects the enforcement record to related regulatory activity.

Related supervisory activities in SES

If the related supervisory activity or complaint exists in SES, select No for Is the related Supervisory Activity outside of SES? and enter the appropriate SA ID or Complaint ID.

SES automatically retrieves and displays information from the related supervisory activity or complaint, including the company name and the date of the supervisory activity or complaint.

Supervisory activities outside of SES

If the related supervisory activity is managed outside of SES, select Yes for Is the related Supervisory Activity outside of SES?.

You can then enter an External SA Comment or upload supporting documents to provide information about the external supervisory activity.

Where related supervisory activity information appears

Related supervisory activity and complaint information is stored with the enforcement action record and is displayed on the Summary page of the enforcement action.

Need More Help?

Agency users, please visit the Secure Portal for phone and email contacts.
Company users should call the Call Center at 1-800-269-6189. Agency users should not call this number.