DOB: Investor's Notepad

When Your Broker Calls, Take Notes!

(If you don't know the broker,
feel free to hang up!)

{pen in hand}
 

It's important to keep good records for all your investments. Retaining information such as account forms, transaction statements or confirmations, and copies of correspondence or notes detailing your instructions to a salesperson can provide an effective "paper trail" in the event of a dispute.

The Securities Division has prepared an Investor's Notepad
to help you take notes of conversations with your financial professional.


Print copies of the notepad. Then keep them handy for when you speak with your salesperson or adviser.  Record the details of any recommendations you receive and of any instructions you provide. If you are not familiar with an investment, insist on getting either a prospectus, offering memorandum or financial reports before investing. Keep these notes in your files. You may also wish to follow up verbal instructions with written confirmation letters.


As an alternative to printing the notepad from the Internet,
you may also download the form in Word 97 (25 KB) or as a PDF file (17KB).

Note: you will need Acrobat Reader, a free product, to view and print PDF files.

 

If you have investing questions or complaints, contact us.


What Every Investor Should Know