Step 1: Identify the Investor
Disclosures are stored in a special client subfolder, so each discussion tracked using this widget MUST be associated with a client. The first step in the process is to determine if the investor is already in the system.
Figure 1: Client Search
| 1 | Click the Tracker-BI link in the top toolbar. |  Figure 2: Navigation Link |
| 2 | Enter the investor’s information into the client search fields. Attention: Either their last name or SSN is required in order to begin. |  Figure 2: Navigation Link |
| 3 | Click Search. |  Figure 3: Client Search Button
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| 4 | Take one of the following actions based on the results that appear: A: Click the client search result that matches your investor. (Skip to step 6) B: Try your search again. (Repeat steps 2 and 3) C: Create a new client profile for your investor. (Continue to step 5) |  Figure 4: Client Search Results
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| 5 | Enter the investor’s information. Attention: The following fields are required
|  Figure 5: New Client Info page
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| 6 | Confirm that the client’s information is correct. |  Figure 6: Client Info Page Filled Out
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| 7 | Click Next. |  Figure 7: Next Button |
Step 2: Provide Discussion Details
Next, you must enter the details related to the conversation that you had with the investor. There are three fields on this page, though only two are required.
Figure 8: Client Disclosure Details Screem
| 1 | List the specific recommendation(s) discussed or considered |  Figure 9: Recommendations Field |
| 2 | Identify if you provided verbal disclosures. Tip: If you did not provide verbal disclosures, you can enter N/A in this field. Attention: This field is required. |  Figure 10: Verbal Disclosures Field |
| 3 | Provide any additional details about the conversation. Attention: This field is required. |  Figure 11: Additional Details Field |
| 4 | Click Next. |  Figure 12: Next Button |
Step 3: Select the Method of Disclosure Delivery
There are three ways that you can deliver disclosures. The next section contains more information about what happens after you click next.
Figure 13: Delivery Method Selection Screen
| 1 | Select one of the following delivery methods:
|  Figure 14: Mail Selected  Figure 15: Electronically Selected  Figure 16: Personally Supplied Selected |
| 2 | Click Next | Figure 17: Next Button |
| 3 | Click View or Start New. |  Figure 18: Navigational Buttons |
Confirmation Screens
The system will provide a confirmation screen with the address that will be used to send disclosures. It will also provide a confirmation number.
Figure 19: Mail Delivery Confirmation Screen
Electronic
Select this option if the investor wants to receive disclosures electronically. It also provides a confirmation number for later reference.
Figure 20: Electronic Delivery Confirmation Screen
Personally Supplied
Select this option if a financial professional either already personally supplied or will personally supply immediately after submitting the disclosures to the investor. A screen will appear with a confirmation code that can be used in the event of an audit.
Figure 21: Personally Supplied Delivery Confirmation Screen