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Supervisory Activities
Supervisory activities are used for examining and investigating companies.
SES Examinations and Investigations Resources for Companies
Responding to examinations and investigations in State Examination System (SES).
Transaction Requests for Companies
Transaction requests in SES allow agency users to initiate and manage formal requests related to specific transactions during a money services business (MSB) examination. Unlike information requests or loan requests, which target broader data or document categories, transaction requests focus on obtaining evidence tied to individual transactions, supporting detailed analysis and issue identification throughout the examination lifecycle.

Supervisory Activities
Supervisory activities are used for examining and investigating companies.
- SES Examinations and Investigations Resources for Agencies
  How to initiate and manage examinations and investigations of supervised companies.
- SES Examinations and Investigations Resources for Companies
  Responding to examinations and investigations in State Examination System (SES).
  - Job Aid: Your First Examination in SES
    This job aid serves as a guide for company users to complete the setup process for their company (i.e., company enrollment) and respond to an exam in the State Examination System (SES).
  - Managing Company Supervisory Activity Participants
    Company participants on a Supervisory Activity can be added or removed at any time until the Examination or Investigation is Closed. You can also update user roles on an SA or reassign the company lead.
  - Leveraged or Accepted Supervisory Activities
    You may receive notifications that an agency is leveraging another agency’s Supervisory Activity for your company. Or you may receive notifications from SES indicating that an agency has accepted aSupervisory Activity) for your company.
  - Information Requests
    Information Request (IR) are used by the examining or investigating agency to obtain information relevant to the supervisory activity. Your company lead can respond to these information requests directly or assign them to other participants at your company.
  - Responding to Loan Requests
    After an agency sends you loan requests, you can add responses to those loan request and assign those loan requests to other participants on your supervisory activity.
  - Transaction Requests for Companies
    Transaction requests in SES allow agency users to initiate and manage formal requests related to specific transactions during a money services business (MSB) examination. Unlike information requests or loan requests, which target broader data or document categories, transaction requests focus on obtaining evidence tied to individual transactions, supporting detailed analysis and issue identification throughout the examination lifecycle.
    - Assigning an Individual Transaction Request Response
      This task explains how company users can assign individual transaction request (TR) responses to another participant on a supervisory activity in SES.
    - Bulk Assigning Transaction Request Responses
      This task explains how company users can bulk assign multiple transaction requests (TRs) to a participant on a supervisory activity (SA) in SES.
    - Adding Responses to Transaction Requests
      This task explains how company users can add responses to transaction requests (TRs) in SES as part of a supervisory activity (SA). Users can upload documents, enter comments, and provide required transaction-level information in response to requests submitted by the agency.
    - Sending Transaction Request Responses to the Agency
      This task explains how company users can send completed transaction request (TR) responses to the agency through SES. After uploading documents and entering required information, users must submit the TRs to make them available for agency review.
  - Matters Requiring Attention
    Matters Requiring Attention (MRA) are areas of concern which the examining or investigating agency expects to be addressed at the close of the Supervisory Activity. This section describes how to repsond to MRAs and, if you require more time, to request an extension of the due date.
  - Report of Examination
    The examining or investigating agency will present a Report of Examination (ROE) at the completion of the supervisory activity. Your company may be allowed to respond to the report.
  - Reviewing Closure Materials
    At the conclusion of a supervisory activity (SA) for your company, an agency can add comments or closure documents. If comments or closure documents are added to your company’s SA, they can be accessed on the Closure Materials tab for the SA.
  - QuickIR
    QuickIR is an SES feature that allows your company to browse through the standard information requests (IRs) in the State Examination System (SES) and prepare your responses to the IRs in advance of an upcoming examination of your company in SES.
- Capturing Communications Between Agency and Company
  The Interactions page serves as a place where communication between the agency and company is captured. This includes emails, phone calls, meetings, physical mail and other miscellaneous forms of communication specific to the supervisory activity.
- SES Supervisory Activity Reports
  SES has several reports that allow you to view staff workload, plan assignments, identify supervisory activities with no examiners assigned, and view the progress or status of supervisory activites and responses to information requests.

Transaction Requests for Companies

Transaction requests in SES allow agency users to initiate and manage formal requests related to specific transactions during a money services business (MSB) examination. Unlike information requests or loan requests, which target broader data or document categories, transaction requests focus on obtaining evidence tied to individual transactions, supporting detailed analysis and issue identification throughout the examination lifecycle.

Transaction requests are formal requests for documentation or information that you may receive from a state agency during a non-bank examination conducted in SES. These requests typically relate to accounts, transactions, or business practices that the regulator is reviewing as part of the exam.

How Transaction Requests Fit into the Examination Process

Transaction requests are an important part of how examiners collect supporting information to evaluate your company’s compliance with applicable laws and regulations. Your timely and complete responses help examiners complete their review and may be used to support findings or close out specific areas of the examination.

In SES, companies use the Transaction Requests feature to:

View and track all open and completed transaction requests from one or more state agencies.
Upload documents and provide explanations or responses directly in the system.
Collaborate with internal team members to gather the required information.
Monitor the status of each request and respond by the specified due dates.

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.