Adding multiple Content Records at one time with the new Bulk Upload feature is now live and ready for use. This process begins with a template spreadsheet where all the metadata you would typically enter into the Common App is entered into the template spreadsheet and then uploaded.
Note: This is available for broad use, but access will be granted by request. If you would like to use this feature, please contact our Support Team.
Use case: Adding multiple NEW (not previously on 4U) Content Records at one time.
Step 1. Prepare and Complete Spreadsheet
This process begins with a spreadsheet template which has been specifically designed for this workflow. You can access the template here (note you must use File>Save As to begin entering your data) or email our Support Team for a copy.
Complete the fields in the spreadsheet as follows:
4U Content ID: Leave blank
4U Update Key: Leave blank
File Name: Full file name for each Content Record, including the extension (.pdf)
Replacement Version: Enter No
Material Changes: Leave blank
Non-Material Changes: Leave blank
Content Title: Enter the Title of your Content
Content Format: Enter the Content Format (see Lookup Fields tab on spreadsheet)
Note: enter exactly as appear, including capitalization, spacing, and spelling
Category>Subcategory: Enter the Category>Subcategory (see Lookup Fields tab on spreadsheet)
Note: enter exactly as appear, including capitalization, spacing, and spelling
Product Department: Enter the Product Department (see Lookup Fields tab on spreadsheet)
Note: enter exactly as appear, including capitalization, spacing, and spelling
RP/Approver Name: Enter your compliance approver
Content Expiration: Enter the Content Expiration date
Intended Audience: Enter the Intended Audience (see Lookup Fields tab on spreadsheet)
Note: enter exactly as appear, including capitalization, spacing, and spelling
Public Use Restrictions: If applies, enter the Public Use Restrictions (see Lookup Fields tab on spreadsheet), or leave blank
Note: enter exactly as appear, including capitalization, spacing, and spelling
Restricted Presenters: If applies, enter the Restricted Presenters (see Lookup Fields tab on spreadsheet), or leave blank
Note: enter exactly as appear, including capitalization, spacing, and spelling
FINRA Filing: Enter Yes or No
FINRA Filing Update: No
Reason No FINRA Letter: If FINRA Filing is No, enter the Reason No FINRA Letter (see Lookup Fields tab on spreadsheet)
Note: enter exactly as appear, including capitalization, spacing, and spelling
FINRA Document: If FINRA Filing is Yes, enter full file name for FINRA document corresponding to the Content Record, including the extension (.pdf)
Clean FINRA Letter: If FINRA Filing is Yes, choose appropriate response Yes, this is a clean FINRA letter or No, the letter contains comments or edits requested by FINRA
CE Credit: Enter Yes or No
CE Credit Type: If applies, enter the CE Credit Type(s), comma separated for multiple (see Lookup Fields tab on spreadsheet)
Note: enter exactly as appear, including capitalization, spacing, and spelling
Available To: Enter the corresponding number to the appropriate Partners (comma separated), or enter All Current and Future Partners
All Current Partners
304 - Ameriprise Financial
302 - D.A. Davidson & Co.
340 - Dynasty Financial Partners
198 - Edward Jones
344 - HUB International
269 - Janney Montgomery Scott
396 - Kestra Financial
356 - MassMutual
60 - Merrill Lynch Wealth Management
59 - Morgan Stanley Wealth Management
62 - Morningstar Office
267 - Northwestern Mutual
359 - PNC Investments
176 - Raymond James
316 - RBC Wealth Management
199 - Truist
327 - Wells Fargo Advisors
297 - William Blair & Company
Future Partners: Enter Yes or No
Yes indicates the Content will automatically be Made Available to Future Partners,
No indicates the Content will NOT automatically be Made Available to Future Partners.
Step 2. Save File
Save your spreadsheet. Then, save only the New Content Bulk Upload Template tab as a CSV UTF-8 (Comma delimited)(*.csv) file.
Step 3. Begin Upload
In Manage tab choose Bulk Upload
Choose Add New Bulk Upload
Choose Content
The Bulk upload process is three simple steps.
Step 1. Select Files
Select files for upload, including FINRA letters, by selecting Choose a File. Select Choose a File as many time as necessary to find and select all files needed.
Once all files have been selected and you see them on the right side under Attachment(s), click Upload. The files will upload and you will receive a message when the upload is complete.
Step 2. Select CSV File
The file will automatically check for accuracy and, if errors exist, a message will be displayed. To review errors, choose Download Error Report.
The error report is an Excel spreadsheet that plays back the upload spreadsheet, and the errors are reported in Column V.
Best Practice Tip: If there are multiple errors for a line item, the error report automatically starts each error on it's own line, but the column must be formatted to Wrap Text and the cells then expand.
Warnings
1 - Provider Ref Code that is provided matches existing document in the system but the Replacement Version value is No.
Errors
1 - file_name is not provided
2 - provider_ref_code is not provided
3 - replacement_version is not provided
4 - content_title is not provided
5 - content_format is not provided
6 - product_department is not provided
7 - rp/approver_name is not provided
8 - content_expiration is not provided
9 - intended_audience is not provided
10 - finra_filing is not provided.
12 - reason_for_no_finra_letter is not provided.
13 - finra_letter is not provided.
14 - finra_document is not provided
15 - material_changes is not provided
16 - nonmaterial_changes is not provided
17 - finra_document is not found in uploaded documents
18 - provider_ref_code does not match an existing document in the system.
19 - finra_filing value is "Yes" but reason_for_no_finra_letter is provided.
20 - finra_filing value is "No" but finra_document and/or finra_code are provided.
21 - replacement_version is "No" but material_changes and/or nonmaterial_changes are provided.
22 - material_changes is "No" but nonmaterial_changes is provided.
23 - ce_credit does not match an existing value in the system.
24 - make_available_to is not provided.
25 - make_available_to does not match an existing partner ID in the system.
26 - category_subcategory is not provided.
27 - ce_credit_type does not match existing value in the system.
Take corrective action in the CSV file (not the error report), save changes and reattach the CSV file. Choose Delete and then choose the updated file and wait for confirmation the records are ready for upload.
When no errors exist, the file will indicate that it is ready for upload
Step 3. Review and Submit
Choose Upload to process
IMPORTANT: If you need to step away from the Bulk Upload and you want to work on it at a later time, simply choose Save as Draft.
Once all the files are uploaded, previews of each are generated for review. If changes are needed, choose Back to previous step. If no changes are needed, choose Submit.
The Bulk Upload will be given a Title and will first indicate Processing, and then indicate Completed.
💡 When submitting New Content with Bulk Uploads, you will need to go to Approval Request page (if not already redirected after submitting) to Submit the group. If this is not done, the Group Approval Request will stay as "Not Submitted."
Adding New Versions with Bulk Upload is also available. Click here for more information and detailed instructions.
Your Partnership fuels our efforts. Many more enhancements are in the works. Please contact us at support@4uplatform.com with questions about current features or suggestions for future enhancements.