My Trading Journal (Excel Spreadsheet)

Answer 8 In this circumstance, a broker-dealer would be in compliance with Rule 17a-3 a 19 i if it created a single record describing the firm's practice of providing an end-of-year non-cash bonus to a certain number of representatives, a description of the non-cash bonus, the criteria used to select which representatives would achieve such a bonus, a list or description of the representatives eligible to receive the bonus, and the names of the registered representatives that received the non-cash bonus. Must a broker-dealer create the record required under Rule 17a-3 a 19 ii for the attorney or the branch manager based on the compensation schemes described above where they do not directly participate in securities transactions with customers? When you copy a block trade, the new trade reflects all trade attributes including allocations and trade expenses. I must say, you are seriously perhaps the most helpful software provider I have ever dealt [with]! If you use a Forward FX transaction, you must fully allocate the trade manually. Account number smart search now available in Allocations In an effort to further streamline the allocation of blocked trades, the Web Trading platform now provides smart search results in the Allocation Worksheet when manually entering the account number information. The trading tab now supports trailing stop functionality for equity and options buy, sell, and short orders.

A trade blotter is also used in the options and commodity market. A broker usually provides a blotter to its traders as a software program. A blotter includes what security was traded, the time of trade, the quantity and price of sale or purchase, the ECN market the trade occurred over, and whether it was a buy, sell, or short order.

Menu Options

View and edit business process status values. Color-coded icons indicate the status of a trade as it progresses through typical business processes. Move your pointer over an icon to view status information. As needed, you can click a status field and enter a new value. If the appropriate field does not appear, click the Column Chooser button to show it. Update a field in multiple rows at once.

You can add, edit, or clear a field value in multiple block trades, allocations, or expenses at once. For example, you can update the business process status of multiple block trades to "Approved. When you're prompted to apply your change to all the selected rows, click Yes. The screen shows the latest available data from electronic data providers. Zoom in to details. Right-click a row and choose Zoom to zoom in on a block trade transaction distribution or allocation child transaction for an individual portfolio.

Mark a row for deletion. Select a block trade or allocation to delete and click Mark for Delete , or right-click it and choose Mark for Delete. When you save changes, the row will be removed. To unmark a row for deletion, select it and click Unmark Delete , or right-click it and choose Unmark Delete. Show or hide columns. For details, see Showing and Hiding Columns in Grids. Show the Notional Amount column if you're viewing trades for futures, credit facilities, swaps, and credit default swaps, or credit default swap indexes.

Show Cap Expenses and Non-Cap Expenses columns to see at a glance the cash impact of both capitalized expenses and non-capitalized expenses which are not reflected in net trade amounts. Edit column heading text. Right-click a column heading and choose "Configure Column. To revert to the original column heading, click Revert. Select formatting options for numeric columns. Then click Apply or OK to save your changes.

Add or edit a calculated columns. See Using Calculated Columns. Remove a calculated column. Right-click a calculated column heading and choose "Remove Calculated Column. Revert all column headings to original column text.

Right-click a column heading and choose "Reset All Headers. Row Filtering Display the filter button in column headings. Column Pinning Display the pushpin button in column headings.

You can click this button to lock a column so that it remains visible while you scroll through data. The column will then move to the far left, and then remain locked.

Grouping Display the grouping bar above the grid. You can then drag a column heading to the gray bar above the grid to group data based on this column value. You cannot add block trades or allocations while viewing grouped data. Display the grouping bar above the grid. Zoom Zoom in to details about a block trade transaction distribution or allocation child transaction for an individual portfolio.

Zoom to Contract Terms For swap and contract for difference CFD trades, from the Contract Terms field, zoom in to details about contract terms in a streamlined version of the Swap Investment screen. The trading tab now supports trailing stop functionality for equity and options buy, sell, and short orders.

This feature expands on the functionality of a traditional stop order, allowing traders to capture additional upside for positions while still offering downside protection. There are risks associated with these order types. Please consult Service Guide—Trailing Stops for more information. Along with the rest of the industry, Schwab revised our settlement practices on September 5, to meet new industry standards.

This change means that sellers will receive proceeds more quickly, while buyers will need to have funds available one day sooner. To protect sensitive client data, you can view the Trade Confirmation Report only if you have access to the associated master account and if all the sub-accounts enrolled in the report are linked to your firm for the entire period covered by the report. Soon, many firms will receive an alert listing accounts for which non-account holders are authorized to receive duplicate statements on paper.

In many cases, these recipients and their physical addresses may not have not been reviewed regularly. As a result, sensitive client information could be sent based on out-of-date information, posing significant data risk. We recommend you consider replacing these paper statements with Schwab Alliance View Only access, which offers a more robust and secure option for providing the information that spouses and third-party professionals need.

You can enroll accounts in View Only using our secure electronic process, illustrated in the accompanying video. If you have questions about these accounts, or about initiating View Only access for accounts, please contact your service team. Now, you can select similar orders from within the Import Trade Files Blotter to create a block trade for a selected master account. The new block trade replaces the individual client orders that you selected from the blotter. This feature is applicable only for equities and options.

Selected orders must be for different individual accounts whose parameters match exactly. Also, the dividend instructions for individual orders will not be submitted with the resulting block trade.

The choice to automatically submit allocation instructions will be selected by default. You can also choose to export and save the allocation file for the trade. For those who have used the block trade functionality on the Order Entry page, note that on the Import Trade Files blotter, you must use the control and shift keys to select the orders. Now, you can select similar orders from within the Order Entry Blotter to create a block trade for a selected master account.

This feature is only applicable for equities and options. The option to automatically submit allocation instructions will be selected by default. Can You Use B for Taxes? Most active traders and investors cannot rely on broker-provided B alone for tax reporting. IRS rules require taxpayers to make additional wash sale adjustments on Form that are not required by brokers on the B.

This can make trader tax reporting complicated. Your B may not report all required wash sale adjustments if you Take control of harmful wash sale situations: Many traders become aware of wash sale adjustments only after-the-fact. TradeLog Software empowers you with reporting and knowledge to help avoid wash sales that hurt your bottom line. Beneficial tax treatment for Section Contracts:


A trade blotter is a record of each trade that transacted for a given period of time, normally one day. A blotter would include the time of the trade, the ECN or dark pool market the trade occurred over, the quantity, the exact price, and . A Trade Blotter is a record of the number of trades transacted over a certain period as well as the details of each trade. Usually, the period is a hours period, and the details provided vary. Start trading binary options with the most trusted brokers. The Trade Blotter does not automatically generate new Swap Investment or Financing Investment records. You must manually enter data for new records that you add while working in the Trade Blotter. This workflow applies only to total return swaps (TRS), interest rate swaps, and CFDs.