How to Submit a Disclosure record

How to Add/Submit a new Disclosure Record

1. Navigate to the Disclosure menu in the top menu bar of your user profile.
2. Click the blue Add button in the upper-right corner.
3. Select the type of disclosure to be submitted from the list provided.
4. Enter a Title to name your disclosure item/activity and click Continue to proceed to complete the standard form fields and/or any additional questions as part of this disclosure record.
   • Nothing to Disclose - If you have nothing to report for a given disclosure category, you may still be required to log that on record for Compliance purposes. On the title page of your disclosure, select the Nothing to Disclose checkbox instead of entering a disclosure title.
5. Once your disclosure questionnaire is fully submitted, it will be queued for Compliance review and approval.

Note:

• Additional disclosure questions will vary by client account.

• Each disclosure record requires a separate disclosure questionnaire submission — if you have multiple items to report, submit them as seperate, individual disclosure records.