Exempt Edge

ID Expiring (issued 30 days prior to ID expiring)

Investor Portal (includes activation, deactivation, and linking)

OTC Application signed (requires OTC Integration feature)

1. Active
2. Deceased
3. Document uploaded by another user
4. Do not Contact
5. ID Expiring (issued 30 days prior to ID expiring)
6. Investor Portal (includes activation, deactivation, and linking)
7. Note added by another user
8. OTC Application signed (requires OTC Integration feature)
9. Profile Merged
10. Profile Updates

1. All transaction types
   1. All transaction statuses

KYC (requires activation of KYC feature)

1. Draft
2. Pending Activation
3. Active
4. Out of Range (issued 30 days prior to out of range date)
5. Expiring (issued 30 days prior to expiry date)
6. Expired

1. KYC Status is Changed
 1. Draft
 2. Pending Activation
 3. Active
 4. Out of Range (issued 30 days prior to out of range date)
 5. Expiring (issued 30 days prior to expiry date)
 6. Expired
2. Compliance Approval status

KYP (requires activation of KYP feature)

1. Approved Date
2. Expiry Date (issues 30 days prior to expiry date)
3. View Access status

1. Purchase Transactions
   1. Available for Purchase status
   2. Active Date change
   3. Days until Expiry change
   4. Significant Change
2. Non-Purchase Transactions
   1.  Available for Purchase status
   2. Active Date change
   3. Days until Expiry change
   4. Significant Change

1. Advisor KYP
 1. Approved Date
 2. Expiry Date (issues 30 days prior to expiry date)
 3. View Access status
2. Offering KYP
 1. Purchase Transactions
 1. Available for Purchase status
 2. Active Date change
 3. Days until Expiry change
 4. Significant Change
 2. Non-Purchase Transactions
 1. Available for Purchase status
 2. Active Date change
 3. Days until Expiry change
 4. Significant Change

1. Offering Detail Update
2. CMV Update
3. Document Uploaded

EE-Sign (requires activation of EE-Sign feature)

Lead Gen (requires activation of Lead Gen feature)

1. Batch status
   1. Complete
   2. Error
   3. Pending Start

1. Creating a batch
   1. Draft
   2. Complete
   3. Error
2. Updating a batch
   1. Processing
   2. Complete

For more information on this feature, please refer to the article below:

This article highlights all of the notification setting options available to Admin users within the Dealer Edge system.

Investor

Transactions

KYC (requires activation of KYC feature)

KYP (requires activation of KYP feature)

Offering

EE-Sign (requires activation of EE-Sign feature)

Lead Gen (requires activation of Lead Gen feature)

Statement Batch

Transaction Batch