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What is a "Nothing to Disclose" Record?

Learn about the option to log a record of no disclosable activity for a given category

Some disclosure categories require a response even when you have no activity to report. A "Nothing to Disclose" record allows you to formally document this for your Compliance team — confirming that you reviewed the category and had nothing to report.

How to Submit a "Nothing to Disclose" 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 applicable disclosure category from the list.
  4. On the title page, select the Nothing to Disclose checkbox instead of entering a disclosure title.
  5. Confirm and submit. Your Compliance team will be notified of the record.

If your status changes in the future: If you later have an activity or item to report under that disclsoure category, log back in and submit a new disclosure — enter a title and complete the full disclosure questionnaire so your Compliance team can review and approve it.