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Tip: Click the link under each image to view it in more detail.
Step 1: Identify the Investor
Each discussion tracked using this app MUST be associated with a prospect/client (investor). The first step in the process is to determine if the investor is already in the system or if you need to create a new prospect/client.
Figure 1: Client Search
Step 2: Provide Discussion Details
Next, enter the details related to the conversation that you had with the investor. Answering these questions is optional.
Attention: Your specific configuration may differ from the images shown here.
Note: This page may be bypassed depending on your firm’s configuration.
Figure 9: Client Disclosure Details Screen Showing Required Fields
Step 3: Select the Method of Disclosure Delivery
There are three ways that you can deliver disclosures. Read The Process to learn more about what happens after you click Next.
Figure 14: Delivery Method Selection Screen
Confirmation Screens by Delivery Method
More Information: You can learn more about what happens once you arrive on one of the pages below in The Process section of this guide.
The system displays a unique confirmation code that can be used to locate a specific disclosure delivery transaction in the system. The recipient’s mailing address appears below the confirmation message.
The system creates a task in the Pending Client Mail Delivery queue.
Tip: You can click View to see a copy of the disclosures.
Figure 23: Mail Delivery Confirmation Screen
Electronic
The system displays a unique confirmation code that can be used to locate a specific disclosure delivery transaction in the system. It also displays the email address that will receive the disclosures.
The system sends the investor an email with a hyperlink to the electronic disclosure documents.
Tip: You can click View to see a copy of the disclosures.
Figure 24: Electronic Delivery Confirmation Screen
Personally Supplied
The system displays a unique confirmation code that can be used to locate a specific disclosure delivery transaction in the system. The system displays the investor’s email address and mailing address.
Tip: You can click View to see a copy of the disclosures.
Figure 25: Personally Supplied Delivery Confirmation Screen