Free Version

Review Topics
Practice Exams
Overheard at Shmoop: "All I hear all day long at school is how great bison is at this or how wonderful bison did that. Bison bison bison!"

And While We're on the Subject...

Dashboard > Violations > And While We're on the Subject...

And While We're on the Subject...

To Do List


    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...

    Looking for more? Why is this annoying box in the way? It's because you haven't paid for the course yet!

    Next: Accepting Orders from Unauthorized Third Parties
    Prev: Unauthorized Transactions

    *Securities is a registered trademark of the College Board, which was not involved in the production of, and does not endorse this product.