/
Guide to Backing out an Accepted Filing

Guide to Backing out an Accepted Filing

This document will walk you step by step through the process of backing out a filing in the Broker Portal.

This process should be used if a filing that has already been accepted by the SLA was filed incorrectly or needs to be modified. Before beginning this process, be sure that you have been added as a Broker Portal user, and have filing permissions for the broker account that originally filed this transaction.

If this filing was for a valid transaction, be sure to refile it with the correct information via the Broker Portal.

Instructions

Step 1 – Access the Filing

You can locate the filing you need to backout in two ways. Regardless of the option used, once you have located the correct filing, open the filing details.

Option 1: If it has already been invoiced:

  1. Navigate to the Dashboard.

  2. In the Financial Summary panel, click View invoices and select the invoice from the grid.

  3. On the invoice screen, select the filing #.

Option 2: If it has been accepted but not invoiced:

  1. Go to the Financials module.

  2. Click on Fees and Taxes.

  3. Select the Broker Account associated with the original filing and, if desired enter the dates between which it was filed.

  4. Locate the filing in the Results Grid and click on the Filing #. The filing will open in a new browser tab.

Step 2 – Start the Backout

  • In the page header, click Backout.

  • The New Filing screen opens with Transaction Type set to Backout.

Review Pre-Populated Information

  • All details from the original filing are pre-filled.

  • Only Broker Account and Filer Notes can be edited.

  • No documents are required for a backout.

Verify or Edit Broker Account

  • Check that the Broker Account is correct.

  • If it needs to be changed:

  • - Click Edit.

  • - Select a broker account from the list of accounts you have filing privileges for.

Add Optional Filer Notes

  • In the Filer Notes field, you may include details about why the original transaction is being backed out.

Step 3 – Submit the Backout

  • Click Submit.

  • Complete the Certification step.

  • The filing is sent to the SLA for processing.

Quick Tips

  • No document uploads are required when doing a backout.

  • If your filing has not yet been accepted, then a backout is not required. Instead, if your filing currently has a status of Submitted or Resubmitted you can delete it.

Related articles