1. NASAA EFD: Regulator Q&A THURSDAY, MARCH 05, 2015

2. REMINDERS Please silence your phones when not talking. You may send written questions to JW@NASAA.ORG and we will try to answer them during this presentation.

3. EFD Support Information Hours of Operation (24/7 – except maintenance) Help Desk Support (9-6 Eastern) support@efdnasaa.org Phone: 601-453-1979 User Manuals (coming soon) Previous Webinar Recordings are available at www.nasaa.org/efd Frequently Asked Questions (FAQs) www.efdnasaa.org/faq

4. EFD Production Online Webinars – We will continue to offer Regulator and Filer Q&A sessions throughout the year. Fee Settings Form completion and updates Ensure your fee settings are correct. Send updates to Mike Bertkau (MB@nasaa.org).MB@nasaa.org State Setup and Fee Settings Testing with SCS support Configure a filing for your state with our support team and ensure your required fields and fee calculations are correct. SEC emails modified to include links back to www.efdnasaa.org for filer’s to continue their notice filing process with states. www.efdnasaa.org

5. EFD Fun Facts 945 Filer Accounts 188 Regulator Accounts 41 States accepting EFD notices Over 2,000 Notices Filed Over 600 offerings managed within EFD Averaging about 25 new offerings digitized daily

6. Super State Account Administrator (SSAA) vs. State Administrators Super State Account Administrator (SSAA) has the ability to communicate with SCS support about fee settings and banking information. SSAA has the ability to create administrators. State Administrators (SA) – Can perform any state regulator action in EFD except to configure fee settings. You must be configured as a “Notice Administrator” to edit a filing. By Default Regulator Accounts are granted “VIEW ONLY” permissions within the regulator groups. PAGE 3

7. EFD: Getting Started OVERVIEW

8. Website Demonstration The production EFD site is BLUE The demonstration EFD site is RED PAGE 1

9. www.efdnasaa.org Website Demonstration Navigation Overview Regulators Pending Notices Disbursement Center Deficiency Center Reporting PAGE 2

10. www.efdnasaa.org Questions and Answers Contact Jason Wolf (jw@nasaa.org) for any further questions you may have after this presentationjw@nasaa.org Contact Support with any additional questions or for personalized help with using the EFD system. Thank you for joining! PAGE 3