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And While We're on the Subject...

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And While We're on the Subject...

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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