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# Investor Publications

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Investor Publications

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When Your Broker Calls,Take Notes!
*A checklist To Use When Talking To A Broker*
Use this checklist to record your conversation with any broker who recommends that you buy or sell an investment.
 Name of Broker:_________________________________________________
Company: ______________________________________________- Company Location:______________________________________________  Date:_________________        Time: ____________
  ___ Phone call
  ___ Meeting      Location: ____________________
Recommended that I:     ___ buy         ___ sell
- Name of security: _________________________________________  How does this recommendation meet my investment objectives? What are the specific reasons why I should invest in this? (or sell this?)
___________________________________________________________
___________________________________________________________
___________________________________________________________

What are the specific risks if I buy this investment?
____________________________________________________________
____________________________________________________________
____________________________________________________________

I asked to receive written information about this investment before making a decision:
-      ___ yes         ___ no  I asked for:-  ___ a prospectus   ___ most recent annual report (10K)
  - ___ most recent quarterly report (10Q)     ___ any other recent report (8K)
    - ___ any other available written material       ___ other _____________________
      After looking at the written material, I decided to:- ___ do nothing   ___ buy
  - ___ sell     - how much? _______________       at what price? _______________
      The total cost of this transaction will be: _______________
Other Notes:

Date:  __________________________
If you suspect wrongdoing, contact:
Office of Investor Education and AdvocacyU.S. Securities & Exchange Commission100 F Street, NE Washington D.C. 20549-0213Fax: (202) 772-9295**Online Complaint Form**						Modified:																			July 31, 2007					STAY CONNECTEDTwitterFacebookRSSYouTubeFlickrLinkedInPinterestEmail Updates-  Site Map 
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