"When Your Broker Calls Take Notes" - Idaho

When Your Broker Calls Take Notes is a legal document that was released by the Idaho Department of Finance - a government authority operating within Idaho.

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When Your Broker Calls, Take Notes!
(If you don't know the broker, feel free to hang up!)
Make copies of this form to
Date
Time
have handy and use it to make
notes of conversations with
Location
Call made
Call received
Meeting
your salesperson or adviser.
Be sure to record details of
the recommendations you
Name of Broker
Phone
receive and the instructions
you give. Keep the notes in
Broker's Firm
Phone
your files.
Broker's
CRD No.
Obtained CRD Report *
1
Investment Recommendation
Buy
Sell
I asked to receive written information about the
Name of Security
investment before making a decision.
Yes
No
I will get:
Reasons for recommendation
a prospectus
an offering memorandum
most recent Annual Report
most recent quarterly or interim reports
recent news releases
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
Sell
Number
Price $
* Call your securities regulator to obtain the CRD
report, which discloses any disciplinary incidents, on
your salesperson.
If you suspect wrong doing, please contact your securities regulator. The phone number of your
securities regulator can be obtained by checking the government listings in your telephone book, calling
NASAA at 202-737-0900, or visiting www.nasaa.org on the Internet.
NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION
When Your Broker Calls, Take Notes!
(If you don't know the broker, feel free to hang up!)
Make copies of this form to
Date
Time
have handy and use it to make
notes of conversations with
Location
Call made
Call received
Meeting
your salesperson or adviser.
Be sure to record details of
the recommendations you
Name of Broker
Phone
receive and the instructions
you give. Keep the notes in
Broker's Firm
Phone
your files.
Broker's
CRD No.
Obtained CRD Report *
1
Investment Recommendation
Buy
Sell
I asked to receive written information about the
Name of Security
investment before making a decision.
Yes
No
I will get:
Reasons for recommendation
a prospectus
an offering memorandum
most recent Annual Report
most recent quarterly or interim reports
recent news releases
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
Sell
Number
Price $
* Call your securities regulator to obtain the CRD
report, which discloses any disciplinary incidents, on
your salesperson.
If you suspect wrong doing, please contact your securities regulator. The phone number of your
securities regulator can be obtained by checking the government listings in your telephone book, calling
NASAA at 202-737-0900, or visiting www.nasaa.org on the Internet.
NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION
2
Additional Investment Recommendation on same date
Buy
Sell
Name of Security
I asked to receive written information about the
investment before making a decision.
Yes
No
I will get:
a prospectus
Reasons for recommendation
an offering memorandum
most recent Annual Report
most recent quarterly or interim reports
recent news releases
research reports
other information
How does this meet my investment objectives?
Proposed Trade
Number of shares/units
Price Per Share $
Total Cost $
What are the risks?
Commission
My instructions
Do nothing
Buy
Sell
Number
Price $
Notes
Notes made by:
Date
Time
IDAHO DEPARTMENT OF FINANCE/SECURITIES BUREAU (208) 332-8004
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