T R A I N I N G GU I D E 20
Broker-Dealer Approvals for E-signed Applications
If your firm is required to obtain home office or broker-dealer approval on account open applications, there will be
an additional step within the Digital Account Open workflow.
If broker-dealer approvals for account open are turned on (via SEI Broker Dealer Center), the status will update to
Awaiting Broker Dealer Approval.
Once approval has been obtained, the status will update to In Progress at SEI.
If you work with an affiliated broker-dealer or home office that needs to review and approve applications outside of
the SEI Broker Dealer Center site, providing an approval sheet, you will have a status of Awaiting Download for Broker
Dealer Approval.
Select the account from the pending accounts page and you will have the option to download the application so
you can submit it for broker-dealer review/approval. If you are downloading the application in Google Chrome,
it will appear in the bottom left corner, while Mircrosoft Edge will have the download appear in the upper right
corner.
Once you have obtained your approval, you can select the link stating that you attest the broker has approved the
application. It will then update the status to In Progress at SEI.
