Exam Scheduling
Exam Scheduling allows an agency to plan out in advance which exams it will conduct in a given time period. Scheduling allows agencies to avoid duplicate examinations across state agencies through better information sharing.
Introduction
Networked Supervision ensures that resources are allocated efficiently, and companies will ultimately experience fewer exams. See Using Exam Scheduling for more information on how to use the tool in SES.
Using Networked Supervision to Address Challenges
One of the key goals of SES is to allow for networked supervision; delivering a technology solution that allows agencies to do more with less.
The challenge we face is that there are 64 different agencies regulating the financial services industries across the country. Each agency has its own objectives, plans, deadlines, and schedules. It can be difficult to get a sense of what all the agencies are planning to do and where efficiencies can be gained.
The scheduling tool helps to avoid conducting duplicative or redundant examinations by allowing agencies to see when exams are being conducted on companies. While some overlap may be necessary due to statutory requirements or other valid reasons, the exam scheduling tool will at least help agencies to know when duplicative examinations are occurring.
Frequently Asked Questions
- Staff directors.
- Companies licensed by your agency
- Companies you’re not examining currently, or that aren’t already scheduled for an exam in your agency
- As frequently as you like, and as far out in the future as you like. The further out you schedule, the better. It can be easily changed, and it allows other agencies to see your planned exams.
- No. Companies don’t know about an exam until you send them the information request and exam notification.
- Yes, in fact, this is a good practice to follow.
- Yes, but in order for those companies to appear in the exam scheduling tool in SES, they must create an account in NMLS (not pursue licensure or complete the MU forms).
A Few Important Things to Note
- Scheduling an exam or an investigation is not the same as initiating an exam or an investigation.
- Schedules can be sent for review, if appropriate for your agency.
- The Staff Director can get your “next exam due by” dates into SES by sending a
request through the system to be uploaded for you by CSBS support users.
- You can select an exact start date when confirming the initiation of a Supervisory Activity. This is optional. Your agency must define the start date.
- If you are conducting an investigation, you cannot request an exam due date.
The Scheduling Workflow in SES
