In order to execute an order for a customer, a representative must first fill out an order ticket. Each ticket must describe the terms and conditions of the transaction, including:

• The name and description of the security

• The name of the customer and account number

• The type of order (market, limit, stop-loss order)

• Duration of order (day order, Good Till Cancelled, Good Though Week)

• Time and date order was placed

• Time and date order was executed or cancelled per customer’s request

• Order size (number of shares) and execution price

• Whether it is a buy or sell order; if sell, whether it is long or shor