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