Investments Don't Appear on SEC Sales Reports

We are running our SEC sales reports and have noticed that some of our investments aren't appearing on the report

If investments that were purchased within the date range you are reporting on are not appearing on the SEC sales reports, it is likely that the investment types were not set up to be SEC limited. To correct this:

• Go to Investment Type and Rate Maintenance
• Click the Investment Type for the investments not appearing on the report
• Look at the SEC limited selection:

If it is NOT selected, click Edit and select the box, then click Save. You can now re-run the reports.

If the investments still do not appear on the reports, contact DDI Client Support for assistance.