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Order Tickets and Trade Confirmations

Dashboard > Violations > Order Tickets and Trade Confirmations

Order Tickets and Trade Confirmations

On the exam, you may come across questions about the information on order tickets and trade confirmations (referred to as “trade tickets” on the exam). Check out the chart below for 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 (s...

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