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Supervisory Activities
Supervisory activities are used for examining and investigating companies.
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.
Viewing SES Research & Analytics
Information about the Research & Analytics tab in SES for agency users.

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).
- Managing Interactions
  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.
  - Viewing SES Shared Reports
    Information about the Shared Reports tab in SES for agency users.
  - Viewing SES Research & Analytics
    Information about the Research & Analytics tab in SES for agency users.
  - Viewing Agency Metrics
    The Agency Metrics in SES provide a dashboard view of both your agency's activity and nationwide activity in SES.
  - Nationwide Reports
    The nationwide reports in SES contain nationwide supervisory activity information about all agencies except the user's own agency.
  - Viewing the New Supervisory Activity Progress Report
    After your agency has initiated a Supervisory Activity, you can access the New Supervisory Activity Progress Report to view the progress of all your initiated supervisory activities and what actions need to be taken to move the exam or investigation forward.
  - The Supervisory Activity Staffing Report
    The SA Staffing report gives you insight into your agency’s examiners’ availability and workload. This can help you to determine who should be a participant on upcoming supervisory activities (SAs) based on their availability.
  - Responding to an SA Access Request Using the Access Request Report
    Allowing another agency to access supervisory activities completed by your agency allows information about companies under supervision to be shared. To leverage or accept a Supervisory Activity conducted by your agency, another agency must first have access to the SA.
  - Accepting or Rejecting an Invitation to an SA Using the SA Invitation Report
    Staff users and staff directors can view the SA Invitation Report to view invitations to join supervisory activities (SAs) that your agency has sent or received.
  - Viewing the SA Acceptance and Leverage Report
    The SA Acceptance and Leverage Report displays the following: SAs that are in any status in the acceptance process, and SAs that are being leveraged from other agencies.
  - Viewing the SA IR Response Activity Report
    You can access the SA IR Response Activity Report to view the progress of all the information requests on your agency’s supervisory activities that have been responded to by the company.
  - Viewing the Document Retention Report
    Rather than navigating directly to a specific SA to manage document retention, you can use the Document Retention Report to view and manage SAs with upcoming or currently suspended document retention policies.
  - Viewing SA Reports
    SES has reports available containing data about your agency’s supervisory activities. Within the reporting tool, agency users will find metrics and graphs for supervisory activities with findings, as well as open and closed supervisory activities.

Viewing SES Research & Analytics

Information about the Research & Analytics tab in SES for agency users.

All agency users have access to the Research & Analytics tab in SES:

The Research & Analytics page is connected to Strategy, a business intelligence and reporting application used to create, manage, and distribute reports and dashboards.

The information available in the Research & Analytics page is dependent on the user's permissions in Strategy. If you have questions about your access, contact the NMLS Account Administrator at your agency.

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.