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When A Stockbroker Calls, Take Notes!
(If you don't know the broker, feel free to hang up!)

 

Date: Time:

Make copies of this form and use it to make notes of conversations with your salesperson or adviser.

Be sure to record details of the recommendations you receive and the instructions you give.  Keep the notes in your files.
 o   Call made o   Call received o   Meeting Location:
Name of Broker: Phone:
Broker's Firm: Phone:
Broker's CRD No. o   Obtained CRD Report *

 

1                Investment Recommendation

o Buy        o Sell

Name of Security
__________________________________________________
__________________________________________________		 I asked to receive written information about the investment before making a decision.  
o   Yes             o   No
 
Reasons for recommendation
__________________________________________________
__________________________________________________
__________________________________________________
__________________________________________________
__________________________________________________
__________________________________________________
__________________________________________________		 I will get:
o  a prospectus
o  an offering memorandum
o  most recent Annual Report
o  most recent quarterly or interim reports
o  recent news releases
o  research reports
o    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
o  Do nothing       o  Buy        o Sell
Number ___________  Price $ _____

* Call 405/280-7700 to obtain a CRD report or for a record of any reported disciplinary incidents, on your salesperson.

2                Additional Investment Recommendation on same date

o Buy        o Sell

Name of Security
__________________________________________________
__________________________________________________		 I asked to receive written information about the investment before making a decision.  
o   Yes             o   No
 
Reasons for recommendation
__________________________________________________
__________________________________________________
__________________________________________________
__________________________________________________
__________________________________________________
__________________________________________________
__________________________________________________		 I will get:
o  a prospectus
o  an offering memorandum
o  most recent Annual Report
o  most recent quarterly or interim reports
o  recent news releases
o  research reports
o    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
o  Do nothing       o  Buy        o Sell
Number ___________  Price $ _____

* Call 405/280-7700 to obtain a CRD report or for a record of any reported disciplinary incidents, on your salesperson.
       

Notes

 

 

 

 

 

Notes made by:                                          Date:                                                        Time: