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Delivery Settings for Activity Statements and Trade
Reports

The Activity Statements and Trade Reports page lets you set up notification preferences for daily and monthly Activity Statements and for Daily Trade Reports, and specify your preferred delivery method for your customized Activity Statements. Non-disclosed Broker Masters can also specify delivery settings for client statements.

Additional Guidelines

• Notifications are delivered only when there is trading activity.
• In multi-account structures (for example, Registered Advisors, Fully Disclosed Brokers or Non-disclosed Brokers), these notifications are for the master account only. They are not consolidated across all client accounts.
• Using a Registered Advisor as an example, the daily Activity Statement or Daily Trade Report would only be delivered to the master account user if there were trade allocations. The daily Activity Statement or Daily Trade Report would not be delivered to a Fully Disclosed or Non-disclosed Broker Master.
• Multi-account structures looking to receive daily or monthly statements on a consolidated basis should set up a customized activity statement for the master account user.

Who can access the Activity Statements and Trade Confirmations page?

You can access this page if you are a(n):

• Individual, Joint, Trust or IRA Account User
• Small Business Account User
• Friends and Family Group Master or Client User
• Advisor Master User Individual
• Advisor Master User Organization
• Advisor Client User Individual
• Advisor Client User Organization
• Proprietary Trading Group Master User
• Proprietary Trading Group Client User
• Broker Master User (master account only)
• Broker Fully Disclosed Client User
• Broker Fully Disclosed Client User Organization
• Investment Manager Master User
• Fund

To enter notification and delivery settings

1. Click Reports > Settings > Delivery > Activity Statements & Trade Reports.

2. Set your Activity Statement and Trade Report notification preferences:

• Daily Trade Reports, select the Email Notification with Statement check box to receive notification with the actual report via email, or select Disable Notification if you do not want to be notified when a new Daily Trade Report is available. Note that the Client Services Message Center and Email Notification Only options are not available for Daily Trade Reports.
• For Activity Statements, select your preferred method of notification by clicking the radio button for Email Notification Only, Email Notification with Statement or Client Services Message Center. Note that you cannot disable notification for Monthly Activity Statements.
  Registration is immediate upon submitting the page, and you will receive daily statements beginning the next business day, and monthly statements within the first week following the end of the month.
  

3. Select your preferred delivery method and enable delivery for each customized statement that you have created.

• Select Email or FTP as the Delivery Mode.
• Click the Encryption check box to encrypt your statements.

You must request FTP delivery and Encryption to enable those options. Contact your Sales Representative to make these requests.

• For each statement listed, click the Enable Delivery check box to enable delivery using the selected delivery mode.

Although email and FTP delivery methods are available, we recommend that Advisors and Brokers choose FTP as their delivery method for customized statements with ALL accounts selected on the Activity Statements page. Advisors and Brokers who select email as the delivery method for customized statements with ALL accounts selected will get an emailed statement for each client or sub account.

4. If you are a Broker Master with non-disclosed clients, specify delivery settings for your client accounts in the  Statement Delivery section:

• FTP is the default Delivery Mode. You must send a request to us to enable FTP delivery.

Files delivered to the FTP site are removed after 100 days.

• Select a language from the Language drop-down.
  
  While we use English as the default language for Activity Statements for legal purposes, you have the option of selecting a different language. If you select a different language, we will provide statements in two languages, English, and your selected language.
• Select the Enable Delivery check box to enable delivery of Daily and Monthly Client Activity Statements to the Master account. Daily statements are delivered only when there is activity in the client account.

5. Click Submit.