What must be included on a sell order ticket?
The registered rep’s identification number. The customer’s account number. The description of the security (stocks, bonds, symbol, and so on) The number of shares or bonds that are being purchased or sold.
Which of the following is not required on a customer’s order ticket?
Which of the following is NOT required on a customer’s order ticket? The customer’s investment objective is not required on order tickets.
Which of the following information must be included on a customer confirmation?
Finally, the customer name, account number, size of the trade, and price of execution must all be on the CONFIRMATION.
What is an order ticket?
Order ticket. A form detailing an order instruction that a customer gives an account executive.
Which of the following information is required on a new account form?
There are 4 critical pieces of information that must be collected to open a new account for an individual customer – Name, Address, __, and Social Security number. … To verify the identity of a corporation that wishes to open an account, government issued identification is required to perform the match.
Which of the following records must be kept by a broker dealer firm for six years?
Which of the following records must be kept by a broker-dealer firm for six years? The following records must be maintained by a broker-dealer: partnership records, articles of incorporation, records of the board of directors (BOD), and Form BD and amendments to the form.
What is Memorandum Order?
Memorandum order and judgment states the rights and issues of the parties involved as to the issues on appeal. It is a summary written order that ends a Supreme Court appeal. It has no precedential value and cannot be cited as authority in any cases, but the parties involved in the case are bound by the decision.
What is a ticket in finance?
The term credit ticket refers to an accounting or bookkeeping transaction that generates a credit in the general ledger. These entries normally represent cash—or the cash value of other assets—accumulated by a business or individual. A receivable is an example of a credit ticket.
What does not held mean in trading?
What Is a Not-Held Order? A not-held order, usually a market or limit order, gives a broker both time and price discretion to get the best price available. As a result, the broker is not held responsible for any potential losses or missed opportunities that result from their best efforts.
What is administrative order Philippines?
Administrative orders (Filipino: Kautusang pampangasiwaan), according to Book III, Title I, Chapter II, Section 3 of Administrative Code of 1987, refer to the “Acts of the President which relate to particular aspects of governmental operations in pursuance of his duties as administrative head.”
What is memorandum Order Philippines?
“Acts of the President on matters of administrative detail or of subordinate or temporary interest which only concern a particular officer or office of the Government shall be embodied in memorandum orders.”
What is general or special order?
: a routine order issued by an authorized military headquarters that includes matter concerning individuals but is not of general interest — compare general order.
What is an administrative order in court?
An administration order is a formal, legal debt solution which means it’s approved by the court and your creditors have to stick to it. … two or more debts.
What is Department Administrative Order?
Department Administrative Orders (DAOs) are used to document and mandate continuing policies, standards requirements, and procedures prescribed by the Office of the Secretary for Departmentwide application or for application to two or more major program areas of the Department.
What administrative order means?
Administrative Order — a legal document issued by an administrative agency such as the Environmental Protection Agency (EPA) directing an individual, business, or other entity to take corrective action or refrain from an activity. It describes the violations and actions to be taken and can be enforced in court.
Who does an administration order apply to?
An Administration Order is a formal, legally binding agreement between you and your creditors to repay your debts over a period of time. You can apply to the County Court for an Administration Order if: you have at least one County Court Judgment or Higher Court Judgment against you.
What is the purpose of Administrative Order Number 3 series of 2011?
An Act Strengthening the Comprehensive Agrarian Reform Program (CARP), Extending the Acquisition and Distribution of All Agricultural Lands, Instituting Necessary Reforms, Amending for the Purpose Certain Provisions of Republic Act No.
What is Executive Order No 292?
Book V, Title I, Subtitle A of Executive Order No. 292 (The Revised. Administrative Code of 1987) lays down the basic policies and the systems and procedure by which the organization and operation of the bureaucracy are to be based, including the personnel administration aspect.