Series 28: Order Memorandum

Taken from our Series 28 - Introducing Broker-Dealer Financial and Operations Principal Qualification Examination

Definition of the term Order Memorandum...

a record of every securities order, order execution and trade confirmation, required by the SEC for all member firms. The memorandum must show: each order’s terms and conditions, the account for which it was entered, the time it was received and entered, its execution price, and the time of execution or cancellation.

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