If you select Mail as the delivery method, the system creates a task in the form of a work item 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 Complete button in the Work Item.

Figure 22: Mailed Disclosures Process

If you choose to send disclosures Electronically, a task goes to a queue called Pending Client Electronic Review.

The system sends an email to the investor with a link that remains 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.

if the investor consents, then the system displays the Customer/Client Relationship Summary (CRS) form. Finally, the system automatically completes the task and marks the work item as Complete.

However, if this email is not opened within 5 days or if the investor opts out of electronic disclosures, 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 task. However, you can still open the work item to view and/or print the disclosures. This is the end of that flow and its added to the folder.

Figure 24: Personally Supplied Disclosures Process