Series 53: 6.2.1.2. Manual Trade Confirmation And Comparison

Taken from our Series 53 Online Guide

6.2.1.2. Manual Trade Confirmation and Comparison

When transactions are not eligible for automated comparison, each party must send a confirmation of the transaction to the other party on the trade date (T + 0). For cash transactions, an oral confirmation should be given on the trade date and then this should be followed up with a written confirmation by close of business day on the following day (T + 1). For when-issued transactions, confirmations should be sent within one business day, and confirmations of the final settlement should be sent at least three business days prior to settlement date.

Every confirmation must contain the following information:

Confirming party’s name, address, and telephone number

Contra-party identification (the entity the security has been bought from or sold to)

Designation of transaction as a purchase or sale

Par value of the securities

Description of the securities: issuer, interest rate, maturity date, whether the bond is callable, whether it is a revenu

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