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The North American Securities Administrators Association (NASAA, www.nasaa.org) seeks to protect investors and educate them about trading in securities. NASAA recommends that investors take notes
The North American Securities Administrators Association (NASAA, www.nasaa.org) seeks to protect investors and educate them about trading in securities. NASAA recommends that investors take notes when talking to a broker using the form in Figure E4.7. (Use multiple forms when the broker makes multiple recommendations in a call.) Suppose that it is desirable to automate this form with software. Prepare a class model for the form.
Date Time Call made Call received Meeting Location Name of Broker Phone Broker's Firm Phone Broker's CRD No. Obtained CRD Report Investment Recommendation I asked to receive written information about the investment before making a decision. Buy Sell Yes No Name of Security Reasons for recommendation I will get: O a prospectus O an offering memorandum most recent Annual Report most recent quarterly or interim reports research reports other information How does this meet my investment objectives? Proposed Trade Number of shares/units Price per share $ Total cost $ commission What are the risks? My instructions Do nothing Buy Number Price Sell Notes Notes made by: Figure E4.7 NASAA form for broker calls Date Time Call made Call received Meeting Location Name of Broker Phone Broker's Firm Phone Broker's CRD No. Obtained CRD Report Investment Recommendation I asked to receive written information about the investment before making a decision. Buy Sell Yes No Name of Security Reasons for recommendation I will get: O a prospectus O an offering memorandum most recent Annual Report most recent quarterly or interim reports research reports other information How does this meet my investment objectives? Proposed Trade Number of shares/units Price per share $ Total cost $ commission What are the risks? My instructions Do nothing Buy Number Price Sell Notes Notes made by: Figure E4.7 NASAA form for broker calls
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