If you select mail as the delivery method, a work item goes to the Pending Client Mail Delivery queue.

Next, a financial professional or associate must physically print and mail the disclosures.

After sending the disclosures, they must manually complete the step by clicking the button.

Figure 22: Mailed Disclosures Process

If you submit the form electronically, a work item goes to a queue called Pending Client Electronic Review.

The system also sends an email to the investor. The link is active for five days. After the investor clicks on the email link, the system will ask them to provide their consent to receive the disclosures electronically.

Then it provides them with the Customer/Client Relationship Summary (CRS) form. Finally, the system automatically completes the work item.

However, if this email is not opened within 5 days, then the work item is forwarded to the Pending Client Mail Delivery queue to manually send a physical copy.

Figure 23: Electronic Disclosures Process

If you select personally supplied, it closes out the work item, but allows you to print it and it to them.
This is the end of that flow and its added to the folder.

Figure 24: Personally Supplied Disclosures Process