Home
Getting Started
About SES and On-boarding Agencies and Companies.
Agency Guide to Getting Started with the State Examination System (SES)
This guide provides information about adopting SES for your agency, onboarding your agency to the system, adoption timelines, SES training options, and SES Consumer Complaints,
Agency Onboarding
Enrolling a state agency to use the State Examination System.
SES Consumer Complaints
SES Consumer Complaints offers not only the ability to enter and process complaints and the ability to collaborate with other agencies on unlicensed or unknown entities, but also the functionality for optional escalation workflows.

Getting Started
About SES and On-boarding Agencies and Companies.
- A Tour of SES
  A video overview of the State Examination System.
- SES Quick Start Guide for Companies
  The State Examination System (SES) is a one-stop-shop for financial services industry supervision that brings an agency’s entire engagement with companies onto a single platform, which in turn brings efficiencies to state supervision.
- Agency Guide to Getting Started with the State Examination System (SES)
  This guide provides information about adopting SES for your agency, onboarding your agency to the system, adoption timelines, SES training options, and SES Consumer Complaints,
  - SES Home Page for Agency Users
    The home page is the main page and the first page you will see upon logging into SES. The page is dynamic, and the features and commands available depend on user roles and permissions.
  - Using Company Search
    There are two modes for Company Search. This topic explains searching for companies in the Supervisory Activity module.
  - SES Agency System Roles & Consumer Complaints Roles
    Permissions for SES user accounts are divided into two categories: roles and consumer complaints roles.
  - Supervisory Activity Participant Roles
    These roles are assigned at supervisory activity level, frequently change by exam, and indicate what the user can do in a specific supervisory activity.
  - State Examination System (SES) Hours of Operation and Agency Support Options
    Support hours and phone numbers for agency users.
  - State Examination System (SES) - Agency Interest Form
    The following information and attached form are intended for State Regulatory Agencies Only to review and complete as part of their initial commitment to adopting the State Examination System.
  - Agency Onboarding
    Enrolling a state agency to use the State Examination System.
    - SES Jumpstart Options
      The items below list optional actions and instructions state agencies can perform now prior to the start of formal SES On-boarding. Working on these options ahead of time will enhance your implementation process and make certain agency-specific features in the system readily available to you during the on-boarding process.
    - SES Consumer Complaints
      SES Consumer Complaints offers not only the ability to enter and process complaints and the ability to collaborate with other agencies on unlicensed or unknown entities, but also the functionality for optional escalation workflows.
  - Company Onboarding
    Setting up a company to use the State Examination System.
- Company Guide to Getting Started with the State Examination System (SES)
  Certain state agencies have begun conducting examinations through a new supervision platform known as the State Examination System (SES).

SES Consumer Complaints

SES Consumer Complaints offers not only the ability to enter and process complaints and the ability to collaborate with other agencies on unlicensed or unknown entities, but also the functionality for optional escalation workflows.

The system also offers functionality to communicate with companies and other agencies using a secure information exchange – no need for mail or secure email platforms! All agency complaints users have access to high-level nationwide complaint data and information can be accessed and utilized by agency exam schedulers and examiners.

Agency Benefits for Using SES Consumer Complaints

Build connections between complaints and other supervisory activities.
Be more informed about complaint activity in other states
Use complaint data to help create and refine the scope of your exam investigation
Gain quick access to reporting and identify trends

Industry Benefits for Using SES Consumer Complaints

Easily understand and track the status of a complaint
Securely respond and upload appropriate documentation
Manage all supervisory activities (exams, investigations, and complaints) in one system
Have a voice in the continuous improvement of the system

Consumer Benefits of SES Consumer Complaints

There is no consumer-facing functionality currently. This may be developed in the future.
If agencies and industry benefit from the efficiencies of the system, it could result in quicker resolution of complaints for consumers.

If your agency is interested in using SES Consumer Complaints, please submit the State Examination System (SES) - Agency Interest Form. PDF Version: Agency Interest Form (PDF format).

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.