Securities-Related Entities
Broker-dealers can be a person or a company in the business of buying and selling securities, operating as both a broker and a dealer, depending on the transaction.
Broker-dealer agents are individuals who represent broker-dealers, interact with investors and service brokerage accounts.
Investment advisers are firms or individuals compensated for advising investors on the purchase, sale or value of securities.
Investment adviser representatives (IA Reps) are individuals who represent investment adviser firms.
Issuers are companies that are raising capital through equity or debt to grow their business. Each offering of securities must be either registered or exempt from registration.
Contact Us:
Office of Corporation Finance:
(717) 425-5481
Bureau of Securities Compliance and Examinations:
(717) 783-4223
Securities Registration Office:
(717) 783-4217
RA-BNSECURITIESREG1@pa.gov
DoBS Portal FAQs
General Portal Usage
The DoBS Portal is a secure, digital self-service web portal for use by professionals, institutions, and businesses regulated by the Pennsylvania Department of Banking and Securities that replaces many processes that previously required paper forms and documentation. It is also significantly more efficient than prior methods, allowing for securely submitting documentation to the department.
The DoBS Portal will allow you to access the dashboard that is appropriate for your specific industry. The services and benefits of the DoBS Portal will differ based on industry, license, or registration type.
Non-Depository Institutions: Apply for a license online; retrieve a copy of a license certificate; edit or remove an officer; access books/records; update information; track pending tasks; and submit documents and information for examinations.
Depository Institutions: Apply for a new bank charter; track pending tasks; and submit, review and withdraw filings.
Securities: Track pending tasks; join an organization; receive notices of examination; and receive decision notifications.
Corporation Finance: Track pending tasks and submit a generic filing.
A task is an assignment that the firm will need to complete. The task could pertain to registration, examination, or a request for financial information.
The DoBS Portal requires use of the Keystone Login, a single, secure user credential used to log in to multiple online services provided by the commonwealth. Keystone Login uses advanced authentication tools to prevent unauthorized access and protect personal data.
If you need assistance with your Keystone Login, contact the Keystone Login Help Desk. The help desk can be reached at (877) 328-0995 or keystoneloginsupport@randstadusa.com.
Securities Portal Usage
The Licensing Examiner will send an email to the Firm requesting a conference call. The email used will be the email that is identified in the Form ADV filings.
After conference call, you will receive an email from PA DOBS Self-Service Portal. The message will state “Pennsylvania Dept. of Banking and Securities - Join Code Invitation.” There is a link to access the DoBS Portal and a join code. Copy the join code from the email. The join code will need to be pasted inside the Portal to gain access to notifications and correspondence from the Department, Licensing Examiner and/or Accountant (if applicable).
You will receive notification of an examination through email. The email used will be the email that is identified in the Form ADV filings. You will receive an invite code to join the Portal, where you will need to create a Keystone Login. Once logged into the Portal, you will respond to the examination letter and continue the examination process through the Portal.
- The email that contains the user’s join code is only active for 30 days. If the join code expires, email or call your examiner and request another email be sent
- When reviewing a Task, click and save all attachments BEFORE clicking [Submit] or [Acknowledge]. Once the user clicks [Submit] or [Acknowledge], any attachments will no longer be available.
- If there is a change to the Firm’s contact person, please notify an examiner to update the DoBS Portal.
If you have any additional questions about the DoBS Portal, please contact the following:
Securities:
- For Broker-Dealer Firms: (717) 783-4217
- For Broker-Dealer Agents: (717) 783-4217
- For Investment Adviser Firms and Representatives: (717) 783-4217
- For Investment Adviser Notice Filers: (717) 783-4217
- For issues regarding securities offerings, call (717) 787-8059
- Or by email: RA-BNSECURITIESREG1@pa.gov
