The Pennsylvania Department of Banking and Securities (DoBS) has created a DoBS Portal that permits licensees and institutions to securely submit applications, manage all licensing changes which were previously in paper form, and more effectively communicate during an examination through the use of automated notices, web-based questionnaires, and the ability to securely upload examination materials. The new portal also eliminates the costs and delays of overnighting large application packages and allows DoBS staff and the user to track all documentation and online payments for a fully digital experience.
The department will no longer be accepting paper forms, documents, or checks for its non-depository licensees. Licensees that currently use NMLS for their licensing functions will continue to do so and will be required to use the DoBS Portal for all non-licensing functions, such as examinations and compliance.
Broker-dealers, investment agents, investment advisers, investment adviser representatives, and notice filers will continue to register through the Central Registration Depository (CRD). The portal can be used to upload supplemental documents as requested by the department. Securities registrants will use the self-service portal for compliance and examinations. Applications can be submitted for securities offerings through the DoBS Portal.
A Keystone Login account is now required to access the portal. If you have not already done so, you must create a Keystone Login account before you can login.