206 n The Art of Software Modeling
iv. Once all reviews are completed, the Ticket is logged into the
“Large Order Log” for tracking, a “Large Order checklist” is
attached and then distributed for execution (see Appendix B).
(see Exceptional Workflow: Supervisor Denial of Trade
).
2. Change the Ticket status to “Execute”
a. Place a memo on the ticket indicating the Trader Name, Time and Date
of trade.
3. Call the Security Market and speak to a Broker to conduct the trade (or
a Representative for Mutual Fund Trades). e phone number will usually
have a “T” code for Sell and “Y” code for Buy.
1
a. e Representative/Broker may ask for the following information
Account Number
Verification of Tax ID and Client Add ...