| Role | UCAA Role Name | Privileges |
| Compliance Certificate Preparer | UCAA_STATE_COMPLIANCE_PREPARER | E6 Certificate |
| Deposit Certificate Preparer | UCAA_STATE_DEPOSIT_PREPARER | E11 Certificate |
| Analyst/Examiner | UCAA_STATE_ANALYST_EXAMINER | Index of Forms Download Filing Download Form Status Send Email View Email |
| Administrator | UCAA_STATE_ADMINISTRATOR | Receive Filing Accept Filing Index of Forms |
| Manager | UCAA_STATE_MANAGER | Approve Filing Close Filing Index of Forms |
| Role | UCAA Role Name | Privileges |
| Compliance Certificate Preparer | UCAA_CORP_STATE_COMP_PREPARER | E6 Certificate |
| Deposit Certificate Preparer | UCAA_CORP_STATE_DEP_PREPARER | E11 Certificate |
| Analyst/Examiner | UCAA_CORP_STATE_EXAMINER | Index of Forms Download Filing Download Form Status Send Email View Email |
| Administrator | UCAA_CORP_STATE_ADMINISTRATOR | Receive Filing Accept Filing Index of Forms |
| Manager | UCAA_CORP_STATE_MANAGER | Approve Filing Close Filing Index of Forms |
| Role | UCAA Role Name | Privileges |
| Analyst/Examiner | UCAA_COMPANY_ANALYST_EXAMINER | Start New UCAA Application View Existing UCAA Application |
Manager |
UCAA_COMPANY_MANAGER | Complete Existing UCAA application Amend Existing UCAA Application |
| Function | Definition |
| Index of Forms | Ability to view all company submitted E forms including E6 & E11 |
| Download Filing | Ability to create a zipped (compressed) file on the users PC |
| Download Form | Ability to download/print individual forms |
| Status | Ability to view status information about the filing |
| Send Email | Ability to edit email send screen and submit |
| View Email | Ability to view email index for a filing, and view selected emails in detail |
| E6 Certificate | Ability to complete and submit the Certificate of Compliance |
| E11 Certificate | Ability to complete and submit the Certificate of Deposit |
| Receive filing | Ability to indicate that all hardcopies and filing fees have been received |
| Accept Filing | Ability to indicate that a filing has been accepted for completeness |
| Approve Filing | Ability to indicate that a filing has been approved for admission |
| Close Filing | Ability to indicate that a filing has been closed |
| Function | Definition |
| Checklist Functionality | Access all E forms ( Either Edit or View) Perform 6 attachments from checklist. ( Minimum Paid In Capital & Surplus requirements, Name Approval, Narrative, Holding Company Form B Registration Statement, Statutory Membership, Business Character Reports) Download/Print Electronic forms Send Email View Email Finish Application Check Status |
| Start New UCAA Application | Ability to create (edit) a filing before submission (pressing finish button). Includes all checklist functionality except finish application. |
| Complete Existing UCAA Application | Ability to edit and view an existing filing, and submit the filing. Includes all checklist functionality |
| View Existing UCAA Application | Ability to view the current version of a submitted filing, no edit capabilities. Checklist functionality will include access to all E forms in view mode as well as the ability to download/print all E forms. Status of the filing will also be accessible. |
| Amend Existing UCAA Application | Ability to create a new version of a submitted filing (Amend) This implies edit capabilities as well as the ability to submit (finish button) a filing which has already been previously submitted. Includes all checklist functionality. |