State Sales Maintenance

Overview of IL204

State Sales Maintenance enables you to define which term categories are available in each state and, in turn, which investment types are offered under each term category. The window contains three tables: Registration, Category, and Type. Its bottom portion displays a set of detail fields according to which table is selected above. Notice the header over the detail portion of the screen (“Registration Detail”, etc.) to quickly determine which type of detail is being displayed. For information on configuring Investment Types, please reference this page: Investment Type and Rate Maintenance

To set up term categories and investment types, you must have established at least one state in State Sales Maintenance. This procedure description assumes that you are setting up a new state and then adding term categories under that state and investment types under each term category, in succession. You could also be expanding the categories and/or investment types offered under an established state. As long as you select the appropriate table at the top of the interface first, you will be able to use the toolbar buttons above to add/delete/modify the elements desired.

To access the screen:

• From the DDI Connect main menu, double-click Financial Services
• Double-click Investments
• Double-click Setup
• Double-click State Sales Maintenance. You will see a screen similar to this one:

On this screen, you have the option to create a new Registration (state setup), a new category (to add to an existing state registration), or a new Type (to add to an existing category within an existing state setup).

New State Registration

To add a new state registration, click once in the Registration column and click Add. The fields now activate:

Field	Description
State	Type the state abbreviation or click the list icon to select from a list of states configured in the system
Registration	Open alphanumeric field that accommodates a registration code meaningful to your organization. Must be unique from all other registration codes
Sales limit	SEC-mandated investment limit for this state, if applicable
Start date	Effective date for this state registration
End date	Ending date for this state registration
Hidden	Setting this selection to “yes” disables this state registration, meaning no investments may be sold against it. Maintained in Name/Address code set #520
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