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And While We're on the Subject...

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And While We're on the Subject...

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    Quizlet

    You may get questions on what is on an order ticket and a trade confirmation (called ‘trade ticket’ on the Series 63 exam) on your exam. The following chart lists the basic information that can be found on each ticket:

    Order TicketTrade Confirmation (Trade Ticket)
    Buy or Sell X X
    Stock symbol/ticker X X
    Number of units X X
    Principal amount X
    Commission X
    Agent ID # X
    Registered rep ID # X
    Customer account # X X
    Transaction # X
    Transaction description X
    Order type (stop ord...

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