Brokerage Engine Support

Document Statuses


In this article, we'll review the meaning of each Document Status. 

In Progress

  • The document has not been uploaded or waived. 

Pending Review

  • The document has been uploaded and is awaiting complaince review. 

Pending Final Review [Optional]: 

  • The document previously in Pending Review has been approved and is awaiting a second approval.
  • For example, the document was approved by a Compliance but still needs broker approval. 


  • File has been rejected by the reviewer.


  • File has been approved by the reviewer.


  • File attachment sent in via email that has yet to be split to corresponding checklist placeholders

Quick Reference: 

In the example below, note the column "Status."  

  • Tag colors are not customizable.

Note: Click on Image to enlarge 

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