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Table of Contents

1. Overview ......................................................................................................................................................................... 3

2. File a Notice ..................................................................................................................................................................... 4

3. File an Application ......................................................................................................................................................... 10

of 15

1. Overview

The Self Service Portal allows users to submit credit card payments for securities and franchise related filing fees. At the

completion of an application or filing, a fee, if required will be calculated and displayed to you. Upon proceeding to

submit payment, the user will be taken to a separate payment processing service (PayPoint) for the actual payment

transaction. Upon completion of the payment, the user is returned to the self service portal, and will receive an email

receipt of the transaction at the address specified in the user’s profile.

Please note that credit card information is not stored in the self‐service portal. Credit card information is entered only

within the payment processing service site and is not retained.

At this time, only securities and franchise notices/application fees can be paid online. For financial services applications,

please submit application fees via check to the address posted on the form.

2.

Users

that

Secu

File

s are able to f

one tutorial i

rities and Fra

Franchise

Notice of

Request f

Note, Dra

NF Notice

Limited O

Notice of

Qualified

Qualified

EPEN

Notice of

Senior to

Notice –R

Qualified

1. Log into

With the

open to

homepa

“File a N

the Secu

Franchis

at the to

screen.

eaNo

file many diff

s shown for f

anchise notice

Notice of Exe

a Transaction

or Designatio

ft, Bill of Exch

e and NF Ame

Offer Exemptio

Issuance

Purchasers N

Purchasers N

Exchange Tra

Listed Securit

Rule 506

Purchaser 25

the portal.

e Portal being

the

ge, click on

otice” from

urities &

e Filings men

op of the

otice

ferent notices

filing a notice

es that can be

emption

n Exempt Und

on

hange or Ban

endment‐Inve

on Notices (LO

Notice – 1st No

Notice – 2nd N

ansaction

ties

5102.1(n)

g

nu

s (listed below

, but similar s

e filed throug

der Corporati

ker’s Accepta

estment Corp

OEN)

otice

otice

Steps to C

w). The proce

steps are used

h the DBO Se

ions

ance

oration

Complete P

ess for filing e

d for each typ

elf Service Por

Process

each notice is

pe of notice.

rtal are:

the same wh

of 15

hich means

5

2. Click on

“Securiti

Notices”

the notic

example

Exemptio

3. Enter the

then clic

continue

to that f

red aste

to save t

page and

through

required

4. Some fili

definitio

Subfranc

filer is a

mark the

then clic

button.

the hyperlink

ies Notices” o

”. Click on the

ce that is to b

e, the “Franch

on” is selecte

e filing inform

ck the “Next”

e filling out de

iling. Fields m

risk are requi

the informatio

d move forwa

each screen,

d information

ings require

n of a

chisor. If the

Subfranchiso

e checkbox an

ck the “Next”

k either for

or “Franchise

e hyperlink of

be filed. In thi

hise Notice of

ed.

mation and

button to

etails related

marked with a

red in order

on on the

ard. Continue

filling out

for the filing

or,

nd

f

s

a

e

.

of 15

5

5. Enter an

agent co

need to

the “Loo

Contact”

6. Select th

the cont

added by

their firs

y regular or

ontacts you

add by clickin

okup for a

” button.

he names of

act to be

y clicking on

st name.

ng

of 15

5

7. Repeat s

until all d

contacts

then clic

button.

8. Some fili

user with

“Browse

the “Nex

NOTE: It

steps 6 & 7

desired

s are listed an

ck the “Next”

ings require t

h a screen tha

e”, selecting t

xt” button.

is highly reco

nd

the upload of

at includes a

he document

ommended th

f supporting e

list of all requ

t and then clic

hat such docu

evidentiary do

uired docume

cking “Open”

uments be pr

ocuments. If

ent types. Up

”. Do this for e

rovided in a P

required, the

pload the rela

each required

PDF format w

e portal will p

ted documen

d document a

henever poss

of 15

present the

nts by clicking

and then click

sible.

5

g

k

9. Every fili

applicati

electron

page tha

minimum

name.

10. Review t

informat

amount

then clic

to Paym

ing or

ion includes a

ic signature

at requires, at

m, the filer’s

the

tion about th

to be paid an

ck the “Procee

ent” button.

an

t a

e

nd

ed

of 155

*No

step

con

sent

ente

11. Enter pa

informat

click the

Your Cre

button.

ote: Once you

p an email

firmation/rec

t to the emai

ered.

yment

tion and then

“Pay with

edit Card”

u complete th

ceipt will be

l address

n

his

of 155

3.

Users

that

Appli

File

s are able to f

only one tuto

ications that

Uniform F

Non‐Issue

Removal o

Repurcha

Transfer o

Real Estat

Applicatio

1. With the

homepa

the Secu

the top o

2. Select Se

Applicat

for the a

this exam

Registrat

eanA

file several ap

orial is shown

can be filed t

Francise Regis

er Notification

of Condition

se Offer

of Securities

te Related Inf

on for Qualific

e Portal being

ge, select “Fi

urities and Fra

of the screen

ecurities Appl

ions, and the

application th

mple, Uniform

tion Applicati

Applic

pplications (li

for submittin

through the D

stration Appli

n

formation

cation of Offe

g open to the

le an Applicat

anchise Filing

.

lications or Fr

n click on the

at is to be su

m Franchise

ion has been

cation

sted below).

ng an applica

DBO Self Servi

ication

er and Sale of

Steps to C

tion” from

s menu at

ranchise

e hyperlink

bmitted. In

selected.

n

The process f

tion, but the

ice Portal are

f Securities

Complete P

for filing each

same steps a

e:

Process

h application

are used for e

is the same w

each type of a

of 15

which means

application.

5

3. Enter the

4. If the file

e initial applic

er is a Subfran

cation inform

nchisor, mark

mation.

k the checkboox and then cllick the “Nextt” button.

of 15

5

5. Enter an

contacts

clicking t

Contact”

6. Select th

to be ad

first nam

7. Repeat s

contacts

then clic

y regular or a

s you need to

the “Lookup f

” button.

he names of t

ded by clickin

me.

steps 5 & 6 un

s have been a

ck the “Next”

agent

add by

for a

he contact

ng on their

ntil all

dded and

button.

of 15

5

8. Upload t

for each

9. Complet

the related do

related docu

te the signatu

ocuments by

ument and the

ure page and

clicking “Brow

en click the “

click “Next”

wse”, selectin

Next” button

ng the docum

n.

ment and thenn clicking “Op

of 15

pen”. Do this

5

10. Review t

11. Enter pa

*Note: Once

the informati

yment inform

e you complet

on about the

mation and th

te this step an

amount to b

hen click the “

n email confir

be paid and th

“Pay withYou

rmation/rece

hen click the “

r Credit Card

eipt will be se

“Proceed to P

” button.

nt to the ema

Payment” but

ail address en

of 15

tton.

ntered.

5

of 15

5

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