Transaction Report

All users are required to complete a Quarterly Transaction Report in gVue. Per SEC rules, these reports are due 30 days after quarter-end (January 30, April 30, July 30, October 30). These reports are automatically generated for all users and show as an action item on the "to-do" section of the user's dashboard.

Admin users can search and export all transaction data from the main menu by selecting "Certifications" and "Reports".

By default, the report will display all data except for the date range. 

Please note, a date range must be selected to run the report. Multiple quarters can be chosen or select "Custom Range" for a specific date range.

In addition to searching by a specific date range, any combination of parameters can be used and all matching transactions will be displayed. More than one user can also be chosen.

The "Compliance" option displays transactions based on the following definitions:

1. Compliant: These transactions match the compliance rules currently configured in gVue. For instructions on editing the compliance settings, click here.
2. No Matching Request: These transactions do not have a corresponding approved trade request OR the trade was executed outside of the approved request's trading window. For instructions on setting up an approval window for approved trade requests, click here.
3. Restricted: These transactions match to the Restricted List. For instructions on creating a restricted list, click here.
4. Holding Period Violation: These transactions violated the holdings period your firm established in gVue. For instructions on setting up a holdings period, click here.
5. Watch List: These transactions match to the Watch List. For instructions on creating a watch list, click here.

Please note that if your firm does not maintain a Restricted List, Holding Period, Watch List, or Restricted/Watched Sectors, using those parameters will not display any results.

After selecting the parameters, click "View" to display the results. Click "Export" to produce a XLSX export.

Admin users can manually add transactions on behalf of an user from the transaction report as well. Filter the specific user and date range for the transaction that needs added and click "View". At the bottom of the report, there will be two options: "Add Transaction" and "Import Transactions". 

Choose "Add Transaction", fill out the required details, and click "Add" to add an individual transaction to the report. The security type is blank by default. If a public security symbol is added the security type will automatically be filled in. Other security types must be manually selected from the dropdown.

To import multiple transactions, click "Download Import Template" and enter details into the XLSX. 

From the transaction report, choose "Import Transactions", select the template file, and the transactions will be uploaded to the report. 

Admin Users can also import transactions for multiple users at once. Filter by "All Users" and click Download Import Template. Complete the import template just as before, but be sure it specify which transaction belongs to which user. 

If more information needs added into a report - you can click into the submission and hit "Reopen Report" by following the steps below:

Certifications > Report Submissions

Click "View" next to the report needing reopened.

Scroll to the bottom of the report and hit "Reopen Report"